Meeting Agenda

U.S. Securities and Exchange Commission
Investor Advisory Committee
September 9, 2021

10:00-10:25 a.m.Welcome Remarks
10:25-10:30 a.m.Approval of Previous Meeting Minutes
10:30-12:00 p.m.

Panel Discussion: Reimagining Investor Protection in a Digital World: the Behavioral Design of Online Trading Platforms

Moderated by:

Elissa Germaine
Professor, Elisabeth Haub School of Law at Pace University
Director, Investor Rights Clinic
Executive Director, John Jay Legal Services


Paul Sommerstad
Partner, Cerity Partners


  • Stephen Hall, Legal Director and Securities Specialist, Better Markets
  • Daniel P. Egan, Director of Behavioral Finance and Investing, Betterment
  • Punam Anand Keller, PhD, Charles Henry Jones Third Century Professor of Management
  • Steve Shu, PhD, Managing Principal, Digital Nudging Tech
12:00-1:00 p.m.Lunch/Non-Public Administrative Session
1:00-2:30 p.m.

Panel Discussion Regarding Competition and Regulatory Reform at the PCAOB

Moderated by:

JW Verret, Associate Professor, Antonin Scalia Law School


  • Wes Bricker, Vice Chairman, PWC Americas, and former Chief Accountant at the SEC
  • Colleen Honigsberg, PhD, Professor of Accounting, Stanford Law School
  • Sara Lord, Chief Auditor, RSM
  • Alistair Thompson, Director of Remedies, Business and Financial Analysis, United Kingdom Competition and Markets Authority
  • Lynn Turner, Senior Advisor, Hemming | Morse, and former Chief Accountant at the SEC
2:30-2:50 p.m.Discussion of a Recommendation Regarding 10b5-1 Plans
2:50-3:10 p.m.Discussion of a Recommendation Regarding SPACs
3:10-3:30 p.m.Subcommittee Reports
3:30 p.m.Adjourn