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, Chairman
- Former Director of Corporate Governance
California State Teachers' Retirement System (Retired) - Elisse Walter, Vice Chairman
- Former Chairman
U.S. Securities and
Exchange Commission - 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
- Allison A. Bennington
- Partner and Chief Global Affairs Officer
ValueAct Capital - 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 - Rick Fleming
- Investor Advocate
U.S. Securities and
Exchange Commission - Stephen Holmes
- General Partner Emeritus
InterWest Partners
- Paul Mahoney
- David and Mary Harrison Distinguished Professor of Law
University of Virginia School of Law - Jennifer Marietta-Westberg
- Principal
Cornerstone Research - Mina Nguyen
- Managing Director
- Jane Street Capital
- Barbara Roper
- Director of Investor Protection
- Consumer Federation of America
- Damon Silvers
- Director of Policy and Special Counsel
- AFL-CIO
- Anne Simpson
- Director, Board Governance and Strategy
- Executive Office, California Public Employees’ Retirement System
- Jerome Solomon
- Fixed-income Portfolio Manager
- Capital Group
- Heidi Stam
- Former Managing Director and General Counsel (Retired)
- Vanguard
- J.W. Verret
- Associate Professor of Law (with tenure)
- Antonin Scalia Law School, George Mason University and
Senior Scholar, Mercatus Center
See also: Subcommittee Members
Recommendations of the Investor Advisory Committee
Investment Research in a Post-MiFID II World
Human Capital Management Disclosure
Proposed Regulation Best Interest
Transaction Fee Pilot for NMS Stocks
Select Enhancements to Protect Retail Investors in Municipal and Corporate Bonds
Financial Support for Law School Clinics that Support Investors
On Dual Class and Other Entrenching Governance Structures in Public Companies
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
Other Actions
Investor as Owner Subcommittee Letter to FASB re: Corporate Income Taxes
Letter on Regulation S-K Concept Release and Disclosure Effectiveness