In the morning, the committee will hold a panel discussion on the SEC’s approach to regulation in areas with limited competition. In addition, the committee will hold discussions, which may include recommendations, on two other topics:  trends in investment research and the impact of MiFID II; and the proxy process.  In the afternoon, the heads of SEC Office of the Advocate for Small Business Capital Formation and the Office of Minority and Women Inclusion will present their work. The full agenda is available here.

Members of the committee represent a wide variety of investor interests, including those of individual and institutional investors, senior citizens, and state securities commissions. For a full list of committee members, see the committee’s webpage.

The Investor Advisory Committee was established to advise the SEC 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 committee is authorized to submit findings and recommendations to the Commission.