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.

Procedures for Appointments to the Investor Advisory Committee

If you are interested in serving on the Investor Advisory Committee, please email a letter of interest with applicable information about your relevant experience here.

Committee Members

Officers Paul Mahoney, Interim Chairman David and Mary Harrison Distinguished Professor of Law

University of Virginia School of Law 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 Cien Asoera Financial Advisor, Edward Jones Allison A. Bennington Former Partner and

Chief Global Affairs Officer

ValueAct Capital Ted Daniels Founder and President

Society for Financial Education

and Professional Development Rick Fleming Investor Advocate

U.S. Securities and

Exchange Commission Elissa Germaine Professor, Pace Law School

Executive Director, John Jay Legal Services

Director, Investor Rights Clinic, at Pace Law School Satyam Khanna Resident Fellow, NYU School of Law Institute for Corporate Governance and Finance Lori Lucas President and CEO,

Employee Benefit Research Institute Jennifer Marietta-Westberg Principal

Cornerstone Research Christopher Mirabile Senior Managing Director and Board Member, Launchpad Venture Group Chair Emeritus, Angel Capital Association Mina Nguyen Managing Director Jane Street Capital Anne Simpson Interim Managing Investment Director, 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

See also: Subcommittee Members

Recommendations of the Investor Advisory Committee

Disclosure Effectiveness

Accounting and Financial Disclosure

ESG Disclosure

SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder Proposals

Exchange Rebate Tier Disclosure

Proxy Plumbing

Investment Research in a Post-MiFID II World

Human Capital Management Disclosure

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

Promotion of Electronic Delivery and Development of a Summary Disclosure Document for Delivery of Investment Company Shareholder Reports

To Enhance Information for Bond Market Investors

Mutual Fund Cost Disclosure

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

Crowdfunding

Decimalization and Tick Sizes

Legislation to Fund Investment Adviser Examinations

Broker-Dealer Fiduciary Duty

Universal Proxy

Data Tagging

Target Date Mutual Funds

General Solicitation and Advertising

Other Actions

Investor as Owner Subcommittee Letter to FASB re: Corporate Income Taxes

Investor as Owner Subcommittee Letter re: Subpart 400 of Reg S-K and Study on Modernization and Simplification

Letter on Regulation S-K Concept Release and Disclosure Effectiveness

Letter to FASB re: Materiality