Tagged: investor advisory committee

July 9, 2015 @ 12:42 pm By JD Alois  |  

The SEC Investor Advisory Committee has scheduled its next meeting for July 16th, from 9:30AM to 3:30PM at the SEC headquarters in Washington, DC. These meetings are open to the public but the SEC also live-streams proceedings on their web site. The SEC IAC was… Read More

July 5, 2015 @ 8:29 pm By JD Alois  |  

The Office of the Investor Advocate is a relatively new addition to the Securities and Exchange Commission. Its creation was mandated by Dodd-Frank which was enacted in 2010.  This new regulatory role is required by statute to file two separate reports each year: A report on… Read More

April 6, 2015 @ 1:14 pm By JD Alois  |  

The Investor Advisory Committee is scheduled to meet at the offices of the SEC this week on Thursday, April 9th from 9:30 a.m. until 4:00 p.m.  The meeting will be webcast on the Commission’s website. The agenda, as distributed by the SEC, is published below. Agenda: April 09, 2015,… Read More

October 13, 2014 @ 3:12 pm By JD Alois  |  

Last week the Investor Advisory Committee met at the Securities and Exchange Commission to review and make recommendations on several issues regarding investors.  At the top of the list was the hot polemic on how an accredited investor should be defined. As it stands today… Read More

October 10, 2014 @ 11:22 am By Anthony Zeoli  |  

The Investor Advisory Committee (IAC) of the Securities and Exchange Commission (SEC) met yesterday to vote on the approval of its recommendations to the SEC for reforming the current definition of “accredited investor.” Most of the recommendations of the IAC call for changes to the… Read More

September 19, 2014 @ 12:41 pm By JD Alois  |  

As part of their regularly scheduled quarterly meetings, the Investor Advisory Committee (IAC) is planning to meet at the offices of the SEC on October 9th. The IAC, a mandated group under Dodd-Frank legislation, advises the SEC on various aspects of securities regulations.  One of the… Read More

July 23, 2014 @ 7:36 am By Georgia Quinn  |  

On July 10, thanks to the Dodd-Frank Act which mandated its reinstitution, the revived SEC Investor Advisory Committee met in a public forum to discuss certain securities law issues, including a subcommittee’s initial proposals on the definition of “accredited investor” (as defined in Section 501(a)… Read More

July 15, 2014 @ 10:30 am By JD Alois  |  

The Investor Advisory Committee (IAC) of the SEC met last week to tackle several pressing issues that are on the agenda at the Commission today.  One of the items on the agenda was the definition of an “accredited investor”.  For most people this is an… Read More

July 11, 2014 @ 11:45 am By JD Alois  |  

The Securities and Exchange Commission hosted a meeting of the Investor Advisory Committee yesterday where they tackled the very important issue of defining an “accredited investor”.  Barbara Roper, the Chairman of the ‘Investor as a Purchaser Subcommittee’ closed the meeting without recommendations on altering the… Read More

July 9, 2014 @ 6:27 pm By JD Alois  |  

The Securities and Exchange Commission Investor Advisory Committee (IAC) is set to convene tomorrow, July 10th, at the SEC headquarters in Washington, DC.  On the committees’s agenda is the important topic of the definition of an “accredited investor”. Recently Crowdfund Insider published an article by… Read More

June 30, 2014 @ 7:14 pm By JD Alois  |  

The Office of Investor Advocate (IA), a new role mandated by Dodd-Frank, has submitted its inaugural report to Congress.  In February of this year, SEC Chair Mary Jo White appointed Rick A. Fleming as the first Investor Advocate for the SEC. Fleming, a well known… Read More

June 28, 2014 @ 9:38 am By JD Alois  |  

The Securities and Exchange Commission has created an Investor Advisory Committee (IAC), as mandated by Dodd-Frank, to advise the SEC on regulatory practices and priorities.  You would think the SEC would get tired of all of these outside advisors but that is the world of… Read More

May 10, 2014 @ 9:23 am By JD Alois  |  

The Crowdfund Intermediary Regulatory Advocates (CFIRA) recently posted a comment letter on the SEC web site regarding JOBS Act implementation.  The comment letter was in direct response to the recommendations provided by the Investor Advisory Committee (IAC) who recently met – reviewing their requests for… Read More

April 4, 2014 @ 2:23 pm By JD Alois  |  

The Securities and Exchange Commission Investor Advisory Committee has scheduled a meeting for April 10, 2014 to take place from 10AM to 4:30PM EST. The agenda for the meeting includes: remarks from Commissioners; remarks from the Investor Advocate; election of Investor Advisory Committee Chair; a recommendation… Read More