Tagged: investor advisory committee

SEC Investor Advisory Committee Schedules Meeting for March, Payment for Order Flow on the Agenda

The US Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled its next meeting to take place on March 7th. One of four advisory committees, the IAC aims to provide the Commission with advice, and recommendations from the perspective of the investor. Created… Read More

SEC Commissioner Peirce: We Should Not Look to Impose Public Market Style Regulations on Private Markets. Meanwhile, Chair Gensler Aims to Change Reg D for the Worse

Speaking at the beginning of last week’s meeting of the Investor Advisory Committee (IAC), SEC Commissioner Hester Peirce went to bat for smaller firms and private securities issuers – once again. The SEC is currently considering making the definition of an Accredited Investor more rigorous…. Read More

Angel Capital Association Provides Compelling Information to Broaden Definition of an Accredited Investor, Countering SEC’s Ambition to Exclude More Investors

During the Securities and Exchange Commission’s meeting of the Investor Advisory Committee (IAC) yesterday (September 21, 2023), a representative from the Angel Capital Association (ACA) gave a compelling presentation advocating on behalf of his industry and why we need more Accredited Investors and NOT fewer…. Read More

Meeting of the SEC Investor Advisory Committee Will Address Reg D and Definition of an Accredited Investor

The Securities and Exchange Commission (SEC), Investor Advisory Committee will meet next week and will discuss two very important policy items that impact capital raising for private firms. The first panel discussion will review exempt securities offerings under Reg D. This exemption, only available to… Read More

SEC Investor Advisory Committee to Discuss Funds with Private Investments, Single Stock ETFs, More

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC) has posted its agenda for its meeting next week. Established under Dodd-Frank, the IAC is supposed to represent the interests of individual investors, including smaller ones. In the past, the Committee has largely focused on… Read More

SEC Investor Advisory Committee to Discuss Modifying Private Securities Exemptions, More

  The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled a meeting to take place on Thursday, March 2nd, 2023. The IAC was created under the D0dd-Frank Act and is designed to advise the Commission on initiatives aimed at representing individual investors,… Read More

SEC Investor Advisory Committee Schedules Meeting for December

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled its next meeting for December 8, 2022. The IAC was created under the Dodd-Frank Act and holds a mission to protect investor interests but has tended to overweight investor protection over investor access… Read More

SEC Investor Advisory Committee Shares Agenda for September Meeting

The SEC’s Investor Advisory Committee (IAC) is scheduled to hold a meeting this week, on September 21st. The agenda of the meeting has just been released. The meeting will focus on four panels including: Human capital management labor valuation and performance data; 10B-1 position reporting; 13D… Read More

SEC Investor Advisory Committee to Discuss AI, Robo-Advisors Plus Cyber Concerns at Next Meeting

The Securities and Exchange Commission (SEC) has posted its agenda for its upcoming meeting of the Investor Advisory Committee which will take place this week. The Committee has scheduled two-panel discussions: the first is about ethical artificial intelligence and “Robo-adviser” fiduciary responsibilities, and the second… Read More

We Need More Investor Protection in Crypto Assets, SEC Chair Gary Gensler States: “It’s best not to wait for a big spill on aisle three”

During the opening comments at the Securities and Exchange Commission’s meeting of the Investor Advisory Committee, SEC Chair Gary Gensler once again rang the warning bell on the need for greater oversight of the fast-growing digital asset/crypto sector. Gensler stated in prepared remarks: “… with… Read More

SEC Investor Advisory Committee Scheduled to Discuss Digital Assets and Investor Protection

The Securities and Exchange Commission (SEC) Investor Advisory Committee will be discussing digital assets or crypto on December 2nd. According to the agenda, a panel discussion will be hosted  entitled “Helping to Ensure Investor Protection and Market Integrity in the Face of New Technologies.” This… Read More

SEC Investor Advisory Committee Agenda Includes Behavioral Design of Online Trading Platforms, Robinhood is Not Invited

The Securities and Exchange Commission (SEC) Investor Advisory Committee is scheduled to hold a meeting tomorrow (September 9th). The topics of discussion include two panels: “Reimagining Investor Protection in a Digital World: the Behavioral Design of Online Trading Platforms;” A discussion regarding competition and regulatory… Read More

SEC Announces New Investor Advisory Committee Members, Still No Fintechs

The Securities and Exchange Commission (SEC) has added six new members to its Investor Advisory Committee. The Committee is required under law and it seeks to advise the Commission on regulatory priorities regarding securities, trading and investment, disclosure, and investor protection issues. The new members… Read More

SEC: Small Business Capital Formation Advisory Committee & Investor Advisory Committee Schedule Meetings to Discuss COVID-19 Impact

The Securities and Exchange Commission has announced two meetings of Committees that provide recommendations to the Commission. The Small Business Capital Formation Advisory Committee on Small and Emerging Companies Meeting and the Investor Advisory Committee will both be holding meetings on Thursday, April 2, 2020…. Read More

Sara Hanks Comments on SEC Concept Release, Defends Reg A+, Advocates on Behalf of Companies in Need of Growth Capital

Last week, a meeting of the Securities and Exchange Commission (SEC) Investor Advisory Committee (IAC) held a meeting. On the agenda was the topic of the SEC’s concept release on regulatory harmonization. The concept release was initiated in recognition of the current ecosystem of private… Read More

SEC Chairman Jay Clayton: Main Street investors should be able to invest in the private market on terms similar to those available to institutional investors

Securities and Exchange Commission (SEC) Chairman Jay Clayton has re-affirmed his belief that retail investors should have a compliant path to access more private securities offerings. While initial public offerings (IPOs) have morphed into an exit opportunity for big money where retail investors end up… Read More

SEC Investor Advisory Committee Schedules Meeting, Will Discuss Concept Release on Harmonization of Securities Exemptions

The Securities and Exchange Commission’s (SEC) Investor Advisory Committee will hold a public meeting on Nov. 7, 2019. A portion of the meeting will address the SEC’s concept release on the Harmonization of Securities Offering Exemptions. The meeting, which is open to the public and… Read More

SEC Investor Advisory Committee Requests an Extension on Deadline for Concept Release Comments

The Securities and Exchange Commission (SEC) Investor Advisory Committee (IAC) has requested an extension on comments regarding the current Concept Release for regulatory harmonization pertaining to securities exemptions. The Concept Release, akin to a consultation, was launched in June as an attempt to simplify securities… Read More

SEC Investor Advisory Committee Joins Full Commission in Atlanta for “Townhall” that Includes Discussion on Fintech, Breakout on Crypto

The Securities and Exchange Commission Investor Advisory Committee (IAC) is holding its next meeting in Atlanta on June 13th. The meeting will coincide with an “Investor Town Hall” coordinated by the SEC Atlanta Office. While the IAC agenda appears to be fairly routine (see below),… Read More

SEC Investor Advisory Committee Scheduled for March 8th

The Securities and Exchange Commission (SEC) has scheduled its first meeting for 2018 of the Investor Advisory Committee (IAC). The Committee helps to guide the SEC on initiatives that protect individual investor interests. In practice, this largely means investor protection issues. The upcoming meeting includes… Read More

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