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 - 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 Towers Watson plc
- Stephen Holmes
- General Partner Emeritus
InterWest Partners - William Lee
- Senior Vice-President and Chief Investment Officer
New York-Presbyterian Hospitals - Paul Mahoney
- David and Mary Harrison Distinguished Professor of Law
University of Virginia School of Law - Jennifer Marietta-Westberg
- Senior Economist
Cornerstone Research - Lydia Mashburn
- Managing Director
Center for Monetary and Financial Alternatives
Cato Institute - 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
- Investment Director,
- Sustainability,
- 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 - Susan Ferris Wyderko
- President and CEO
- Mutual Fund Directors Forum
See also: Subcommittee Members
Recommendations of the Investor Advisory Committee
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
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Organization
Meetings
Schedule for 2018 and 2019
December 13, 2018
November 7, 2018
September 13, 2018
Draft of the Market Structure Subcommittee: Transaction Fee Pilot
June 14, 2018
Where: Georgia State University, College of Law, 85 Park Place NE, Atlanta, GA
Remarks and Visuals by Joe Carberry
Remarks by David Certner, AARP
March 8, 2018
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 R. Cromwell Coulson