Section 911 of the Dodd-Frank Act established the new Investor Advisory Committee to advise the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. The Dodd-Frank Act authorizes the committee to submit findings and recommendations for review and consideration by the Commission.
Committee Members
Officers
- Anne Sheehan, Vice Chairman
- Director of Corporate Governance
California State Teachers'
Retirement System - Craig Goettsch, Secretary
- Director of Investor Education and Consumer Outreach
Iowa Insurance Division - Nancy LeaMond, Assistant Secretary
- Executive Vice President
Chief Advocacy and
Engagement Officer - Community, State and
National Affairs, AARP -
Members
- Joseph V. Carcello
- Department Head
and Professor,
University of Tennessee Department of Accounting and Information Management,
and Executive Director, University of Tennessee Corporate Governance Center - John Coates
- John F. Cogan Jr. Professor
of Law and Economics at
Harvard Law School
and Research Director
of the Center on the
Legal Profession - Lisa Fairfax
- Leroy Sorenson Merrifield Research Professor of Law
and Director of Conference Programs, C-LEAF
The George Washington University Law School
- Rick Fleming
- Investor Advocate
U.S. Securities and
Exchange Commission - Matthew Furman
- General Counsel
- Willis Group
- Stephen Holmes
- General Partner Emeritus
InterWest Partners - William Lee
- Senior Vice-President and Chief Investment Officer
New York-Presbyterian Hospitals - Hester Peirce
- Senior Research Fellow
Mercatus Center at George Mason University - Barbara Roper
- Director of Investor Protection
- Consumer Federation of America
- Damon Silvers
- Director of Policy and Special Counsel
- AFL-CIO
- Anne Simpson
- Investment Director,
- Sustainability,
- California Public Employees’ Retirement System
- Jerome Solomon
- Fixed-income Portfolio Manager
- Capital Group
- Elisse Walter
- Former Chairman
U.S. Securities and
Exchange Commission - Susan Ferris Wyderko
- President and CEO
- Mutual Fund Directors Forum
See also: Subcommittee Members
Recommendations of the Investor Advisory Committee
To Enhance Information for Bond Market Investors
Empowering Elders and Other Investors: Background Checks in the Financial Markets
Shortening the Trade Settlement Cycle in U.S. Financial Markets
Accredited Investor Definition
Impartiality in the Disclosure of Preliminary Voting Results
Legislation to Fund Investment Adviser Examinations
General Solicitation and Advertising
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Meetings
Schedule for 2017
March 9, 2017
Remarks by Prof. Annamaria Lusardi
Slides by Prof. Annamaria Lusardi
December 8, 2016
July 14, 2016
June 7, 2016
Recommendation of the Market Structure Subcommittee: Enhance Information for Bond Market Investor (Updated: May 25)
April 14, 2016
Recommendation of the Investor as Purchaser Subcommittee: Mutual Fund Cost Disclosure