On February 17, 2021, the SEC announced a virtual meeting of the Investor Advisory Committee that will take place on Thursday, March 11, 2021. The event will begin at 10:00 a.m. ET and will be presented live via webcast for public viewing on
sec.gov. Apart from the non-public administrative session, the meeting is open to the public and will also be archived on the Committee’s website for later viewing. The meeting will feature discussions regarding the following matters: (1) self-directed individual retirement accounts (IRAs); (2) special purpose acquisition companies (SPACs); (3) minority and underserved inclusion, and (4) credit rating agencies.
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The SEC encourages interested parties to submit remarks on or before March 10, 2021. Comments may be submitted electronically via the SEC’s internet submission form or emailed to rule-comments@sec.gov. Paper submissions may be mailed to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090. Submissions should refer to File No. 265-28. Information that is submitted will become part of the meeting’s public record and posted on the SEC’s website at sec.gov. For further information, contact Marc Oorloff Sharma, Chief Counsel, Office of the Investor Advocate at (202) 551-3302.
Investor Advisory Committee Meeting Agenda
Thursday, March 11, 2021 10:00. ET
10:00 a.m. — Opening Remarks
10:25 p.m. — Approval of Minutes of Previous Meeting
10:25 p.m. — Follow-On Panel Discussion Regarding Self-Directed Individual Retirement Accounts (IRAs)
- Moderated by:
- Lori Lucas, President and CEO, Employee Benefit Research Institute
- Panelists:
- William R. Carrigan, Deputy Commissioner for Securities, Vermont Department of Financial Regulation
- Courtney Eccles, Director, Secure Choice Savings Program, Illinois State Treasurer’s Office
- Michael P. Kreps, Principal, Groom Law Group, Chartered
- Mary L. Mohr, Executive Director, Retirement Industry Trust Association
- J. Spencer Williams, Founder, President & CEO, Retirement Clearinghouse
12:00 p.m. — Lunch/Non-Public Administrative Session
1:00 p.m. — Panel Discussion Regarding Special Purpose Acquisition Companies (SPACs)
- Moderated by:
- Christopher Mirabile, Senior Managing Director and Board Member, Launchpad Venture Group, and Chair Emeritus, Angel Capital Association
- Panelists:
- Jocelyn Arel, Partner; National Head of SPAC Practice, Goodwin Procter LLP
- Michael Olhrogge, Assistant Professor of Law, NYU School of Law
2:30 p.m. — Discussion of Recommendation Regarding Minority and Underserved
3:00 p.m. — Discussion of Recommendation Regarding Credit Rating Agencies
3:30 p.m. — Subcommittee Reports
4:00 p.m. — Adjournment
The Investor Advisory Committee is comprised of members who represent diverse investor interests, including seniors, individual and institutional investors, and state securities commissions. The Committee was established under Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 to counsel the SEC on:
- promoting investor confidence and the integrity of the securities marketplace
- regulatory priorities and the regulation of securities products
- trading strategies and fee structures
- the effectiveness of disclosure and initiatives to protect investor interests
Sources:
Meeting Notice (sec.gov)
Meeting Agenda (sec.gov)
