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Spotlight on Investor Advisory Committee

Investor Advisory Committee header

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.

Procedures for Appointments to the Investor Advisory Committee

If you are interested in serving on the Investor Advisory Committee, please email a letter of interest with applicable information about your relevant experience here.

Committee Members


Officers

Jennifer Marietta-Westberg, Chair
Principal
Cornerstone Research
Heidi Stam, Vice Chair
Former Managing Director and General Counsel (Retired)
Vanguard
Ted Daniels, Secretary
Founder and President
Society for Financial Education
and Professional Development
J.W. Verret, Assistant Secretary
Associate Professor of Law (with tenure)
Antonin Scalia Law School, George Mason University and
Senior Scholar, Mercatus Center

Members

Jamila A. Abston
Partner
Ernst & Young LLP
Cambria Allen-Ratzlaff
Corporate Governance Director
UAW Retiree Medical Benefits Trust
Cien Asoera
Financial Advisor
Edward Jones
Allison A. Bennington
Partner
PJT Partners
Rick Fleming
Investor Advocate
U.S. Securities and
Exchange Commission
Elissa Germaine
Professor, Elisabeth Haub School of Law at Pace University
Executive Director, John Jay Legal Services
Director, Investor Rights Clinic, at Elisabeth Haub School of Law at Pace University
Brian A. Hellmer
Managing Director, Global Public Market Strategies
State of Wisconsin Investment Board
Nancy LeaMond
Executive Vice President
Chief Advocacy and
Engagement Officer
Community, State and
National Affairs, AARP
Lori Lucas
President and CEO,
Employee Benefit Research Institute
Paul Mahoney
David and Mary Harrison Distinguished Professor of Law
University of Virginia School of Law
Christopher Mirabile
Senior Managing Director and Board Member, Launchpad Venture Group
Chair Emeritus, Angel Capital Association
Mina Nguyen
Managing Director
Jane Street Capital
Sandra J. Peters
Senior Head, Global Financial Reporting Policy
CFA Institute
Jerome Solomon
Fixed-income Portfolio Manager
Capital Group
Paul Sommerstad
Partner
Cerity Partners
Alice Stinebaugh
Social Studies Department Chair, Parkland School District
Adjunct Instructor in Economics, University of Scranton
Leslie Van Buskirk
Administrator, Division of Securities
State of Wisconsin Department of Financial Institutions
Joanne Yoo
Managing Director
Development Partners International

See also: Subcommittee Members

Recommendations of the Investor Advisory Committee


Disclosure Effectiveness

Accounting and Financial Disclosure

ESG Disclosure

SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals

Exchange Rebate Tier Disclosure

Proxy Plumbing

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

Promotion of Electronic Delivery and Development of a Summary Disclosure Document for Delivery of Investment Company Shareholder Reports

To Enhance Information for Bond Market Investors

Mutual Fund Cost Disclosure

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

Crowdfunding

Decimalization and Tick Sizes

Legislation to Fund Investment Adviser Examinations

Broker-Dealer Fiduciary Duty

Universal Proxy

Data Tagging

Target Date Mutual Funds

General Solicitation and Advertising

Other Actions


Investor as Owner Subcommittee Letter to FASB re: Corporate Income Taxes

Investor as Owner Subcommittee Letter re: Subpart 400 of Reg S-K and Study on Modernization and Simplification

Letter on Regulation S-K Concept Release and Disclosure Effectiveness

Letter to FASB re: Materiality

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News

  • SEC Announces New Investor Advisory Committee Members
    Dec. 3, 2020
Archives

Organization


Charter

By-Laws

Subcommittees

Meetings


Schedule for 2021 and 2022

March 11, 2021

Meeting Notice

Agenda

December 3, 2020

Meeting Notice

Sunshine Act Notice

Agenda

Webcast Archive

September 24, 2020

Meeting Notice

Sunshine Act Notice

Agenda

Recommendation of the Investor-as-Owner Subcommittee on COVID-19 Challenges to Going Concern Opinions and Audit/Controls Assessments

Webcast Archive

Minutes

May 21, 2020

Agenda

Meeting Notice

Sunshine Act Notice

Recommendation of the Investor as Purchaser Subcommittee on Disclosure Effectiveness

Recommendation of the Investor as Owner Subcommittee on Accounting and Financial Reporting Disclosure

Recommendation of the Investor As Owner Subcommittee on ESG Disclosure

Statement of Dissent Regarding ESG Disclosure Recommendation (Holmes)

Webcast Archive

Minutes

May 4, 2020

Agenda

Sunshine Act Notice

Webcast Archive

Minutes

April 2, 2020

Agenda

Sunshine Act Notice

Webcast Archive

Minutes

Feb. 27, 2020

Agenda

Meeting Notice

Sunshine Act Notice

Webcast Archive

Minutes

Jan. 24, 2020

Agenda

Recommendation of the Market Structure Subcommittee on the Exchange Rebate Tier Disclosure (Revised January 15, 2020)

Recommendation of the Investor-as-Owner Subcommittee Relating to SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Jan. 16, 2020)

Statement of Dissent Regarding SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Stam)

Statement of Dissent Regarding SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Mahoney and Verret)

Statement of Abstention Regarding SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals (Holmes)

Notice of Meeting

Sunshine Act Notice

Webcast Archive

Minutes

November 7, 2019

Agenda

Press Release

Meeting Notice

Sunshine Act Notice

Webcast Archive

Minutes

September 19, 2019

Agenda

Notice of Meeting

Sunshine Act Notice

Webcast Archive

Minutes

September 5, 2019

Agenda

Notice of Meeting

Sunshine Act Notice

Recommendation of the Investor as Owner Subcommittee on the U.S. Proxy System

Webcast Archive

Minutes

July 25, 2019

Notice of Meeting

Agenda

Sunshine Act Notice

Recommendation of the Market Structure Subcommittee on Investment Research in a Post-MiFID II World

Recommendation of the Investor as Owner Subcommittee on the U.S. Proxy System

Opening Statement of Aline Darbellay

Webcast Archive

Minutes

March 28, 2019

Notice of Meeting

Agenda

Sunshine Act Notice

Recommendation of the Investor as Owner Subcommittee on Human Capital Management Disclosure

Statement of Dissent Regarding Recommendation on Human Capital Management Disclosure

Webcast Archive

Minutes

December 13, 2018

Notice of Meeting

Agenda

Sunshine Act Notice

Webcast Archive

Minutes

November 7, 2018

Notice of Meeting

Agenda

Sunshine Act Notice

Recommendation of the Investor as Purchaser Subcommittee Regarding Proposed Regulation Best Interest, Form CRS, and Investment Advisers Act Fiduciary Guidance

Webcast Archive

Minutes

September 13, 2018

Notice of Meeting

Agenda

Draft of the Market Structure Subcommittee: Transaction Fee Pilot

Sunshine Act Notice

Remarks by Ken Bertsch

Remarks by Arthur Crozier

Remarks by David A. Katz

Remarks by Deborah Majoras

Remarks by Brian Schorr

Remarks by John Zecca

Webcast Archive

Minutes

June 14, 2018

Notice of Meeting

Where: Georgia State University, College of Law, 85 Park Place NE, Atlanta, GA

Agenda

Recommendation of the Market Structure Subcommittee: Select Enhancements to Protect Retail Investors in Municipal and Corporate Bonds

Remarks by Karen Barr

Remarks by Dale Brown

Remarks and Visuals by Joe Carberry

Remarks by David Certner, AARP

Remarks by Micah Hauptman

Slides by Susan Kleimann

Webcast Archive

Minutes

March 8, 2018

Agenda

Notice of Meeting

Sunshine Act Notice

Update: Notice of Meeting

Recommendation of the Investor as Owner Subcommittee: Dual Class and Other Entrenching Governance Structures in Public Companies

Recommendation of the Subcommittee of the Whole: Financial Support for Law School Clinics that Support Investors

Who Falls Prey to the Wolf of Wall Street?

The Twilight Zone: OTC Regulatory Regimes and Market Quality

Slides co-authored by Robert E. Roush

Remarks by Christian Leuz

Remarks by R. Cromwell Coulson

Webcast Archive

Minutes

Meeting Archives

Public Comments


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Modified: Feb. 14, 2017

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