| 9:30—10:00 a.m. | Welcome Remarks and Approval of Minutes of Previous Meeting |
| 10:00—12:00 p.m. | Discussion of Regulatory Approaches to Combat Retail Investor Fraud
- R. Cromwell Coulson, President, Chief Executive Officer and Director, OTC Markets Group
- Thomas Drogan, Senior Vice President and Deputy, Member Regulation’s Office of Sales Practice, FINRA
- Sara Hanks, CEO, CrowdCheck, Inc.
- Melissa Hodgman, Associate Director, Division of Enforcement, SEC
- Christian Leuz, Joseph Sondheimer Professor of International Economics, Finance and Accounting, Booth School of Business, University of Chicago
- Lori J. Schock, Director, Office of Investor Education and Advocacy, SEC
|
| 12:00—1:40 p.m. | Lunch/Non-Public Administrative Session
|
| 1:40—2:00 p.m. | Discussion Regarding Financial Support for Law School Clinics that Support Investors (which may include a Recommendation of the Committee as a Whole)
|
| 2:00—2:30 p.m | Discussion Regarding Dual-Class Share Structures (which may include a Recommendation of the Investor as Owner Subcommittee) |
| 2:30—4:00 p.m. | Discussion Regarding Efforts to Combat the Financial Exploitation of Vulnerable Adults
- Gregory J. Dean, Senior Vice President of Government Affairs, FINRA
- Mark LeDuc, Majority Chief Counsel, United States Senate Special Committee on Aging
- Robert E. Roush, Director, Texas Consortium Geriatric Education Center
- Judith M. Shaw, Maine Securities Administrator and Co-chair of the Maine Council for Elder Abuse Prevention
|
| 4:00—4:15 p.m. | Subcommittee Reports |
| 4:15 p.m. | Adjourn |
