September 13th SEC-IAC

September 13th Agenda for SEC-IAC

The Securities and Exchange Commission today announced the agenda for the September 13th meeting of its Investor Advisory Committee (SEC-IAC). The meeting will begin at 9:00 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, NE, Washington, D.C., and is open to the public. The meeting will be webcast live and archived on the committee’s website for later viewing. The committee will hold panel discussions with outside speakers on two topics. These topics, especially the first, take on increased importance as Trump Administration appointment fill out the SEC and as the SEC seeks input on its strategic plan.

September 13th SEC-IAC Morning Agenda

9:30-11:45 a.m.Discussion Regarding the U.S. Proxy Voting Infrastructure
(which may include two separate panel discussions)

  • Arthur Crozier, Chairman, Innisfree M&A Incorporated
  • Lyell Dampeer, President, Investor Communication Solutions U.S., Broadridge Financial Solutions, Inc.
  • David A. Katz, Partner, Wachtell, Lipton, Rosen & Katz
  • Deborah P. Majoras, Chief Legal Officer & Secretary, The Procter & Gamble Company
  • Edward Rock, Martin Lipton Professor of Law; Director, Institute for Corporate Governance & Finance, New York University School of Law
  • Brian L. Schorr, Partner and Chief Legal Officer, Trian Fund Management, L.P.

September 13th SEC-IAC Afternoon Agenda

11:45-1:30 p.m.Lunch/Non-Public Administrative Session
1:30-2:00 p.m.Discussion Regarding the Commission’s Proposed Transaction Fee Pilot in NMS stocks
(which may include a Recommendation of the Market Structure Subcommittee)
2:00-3:15 p.m.Discussion Regarding the Implications of Passive Investing

  • Rodney Comegys, Principal and Head of the Risk Management Group, Vanguard
  • Jeb B. Doggett, Managing Director, Casey Quirk by Deloitte
  • Marcel Kahan, George T. Lowy Professor of Law, New York University School of Law
  • Robert C. Pozen, Senior Lecturer, MIT Sloan School of Management
3:15-3:30 p.m.Subcommittee Reports
3:30 p.m.Adjourn

About the SEC-IAC

Members of the SEC-IAC 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. I believe the Commission is also legally required to respond to those recommendations.

I hope you will be joining September 13th meeting of this important Committee either in person or via the webcast


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