SEC Spotlight
Investor Advisory Committee
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
- Kurt Schacht, Chairman
- Managing Director
CFA Institute - Anne Sheehan
Vice Chairman - Director of Corporate Governance
California State Teachers'
Retirement System - Barbara Roper, Chairman, Investor as Purchaser Subcommittee
- Director of Investor Protection
Consumer Federation of America - Joseph V. Carcello
Chairman
Investor as Owner Subcommittee - Department Head
and Professor, University - of Tennessee Department
of Accounting and
Information Management
and Executive Director
University of Tennessee Corporate Governance Center - Matthew Furman, Chairman, Market Structure Subcommittee
- Executive Vice President and Group General Counsel, Willis Group
- Craig Goettsch, Vice Chairman, Investor as Purchaser Subcommittee
- Director of Investor Education and Consumer Outreach
Iowa Insurance Division - Damon Silvers, Vice Chairman, Investor as Owner Subcommittee
- Director of Policy
and Special Counsel
AFL-CIO
-
Members
- 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 - Stephen Holmes
- General Partner Emeritus
InterWest Partners - Nancy LeaMond
- Executive Vice President
Chief Advocacy and
Engagement Officer Community, State and
National Affairs, AARP - William D. Lee
- Senior Vice-President and Chief Investment Officer
New York-Presbyterian Hospital - Hester Peirce
- Senior Research Fellow
Mercatus Center at George Mason University - Anne Simpson
- Investment Director,
- Sustainability,
- California Public Employees’ Retirement System
- Elisse Walter
- Former Chairman
U.S. Securities and
Exchange Commission - Susan Ferris Wyderko
- President and CEO
Mutual Fund Directors Forum
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
Email Updates
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News
-
SEC Announces Agenda for December 8 Investor Advisory Committee Meeting
Nov. 21, 2016 -
SEC Announces New Investor Advisory Committee Members
July 12, 2016 -
SEC Issues Staff Report on Accredited Investor Definition
Dec. 18, 2015 -
SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds
April 3, 2014
Meetings
Schedule for 2017
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