Other
Investor Advisory Committee — Archival Materials
March 8, 2021
Meetings
December 13, 2018
November 7, 2018
- Notice of Meeting
- Agenda
- Sunshine Act Notice
- Recommendation of the Investor as Purchaser Subcommittee Regarding Proposed Regulation Best Interest, Form CRS, and Investment Advisers Act Fiduciary Guidance
- Webcast Archive
- Minutes
September 13, 2018
- Notice of Meeting
- Agenda
- Draft of the Market Structure Subcommittee: Transaction Fee Pilot
- Sunshine Act Notice
- Remarks by Ken Bertsch
- Remarks by Arthur Crozier
- Remarks by David A. Katz
- Remarks by Deborah Majoras
- Remarks by Brian Schorr
- Remarks by John Zecca
- Webcast Archive
- Minutes
June 14, 2018
- Notice of Meeting
- Where: Georgia State University, College of Law, 85 Park Place NE, Atlanta, GA
- Agenda
- Recommendation of the Market Structure Subcommittee: Select Enhancements to Protect Retail Investors in Municipal and Corporate Bonds
- Remarks by Karen Barr
- Remarks by Dale Brown
- Remarks and Visuals by Joe Carberry
- Remarks by David Certner, AARP
- Remarks by Micah Hauptman
- Slides by Susan Kleimann
- Webcast Archive
- Minutes
March 8, 2018
- Agenda
- Notice of Meeting
- Sunshine Act Notice
- Update: Notice of Meeting
- Recommendation of the Investor as Owner Subcommittee: Dual Class and Other Entrenching Governance Structures in Public Companies
- Recommendation of the Subcommittee of the Whole: Financial Support for Law School Clinics that Support Investors
- Who Falls Prey to the Wolf of Wall Street?
- The Twilight Zone: OTC Regulatory Regimes and Market Quality
- Slides co-authored by Robert E. Roush
- Remarks by Christian Leuz
- Remarks by R. Cromwell Coulson
- Webcast Archive
- Minutes
December 7, 2017
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Recommendation of the Investor as Purchaser Subcommittee: Promotion of Electronic Delivery and Development of a Summary Disclosure Document for Delivery of Investment Company Shareholder Reports
- Discussion Draft Re: Cybersecurity and Risk Disclosure
- Discussion Draft Re: Dual Class and Other Entrenching Governance Structures in Public Companies
- List of Articles by Sunita Sah
- Slides by K. Jeremy Ko
- Webcast Archive
- Minutes
October 12, 2017
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Slides by Nancy Liao
- Remarks by Jeff Bandman
- Article by Nasdaq CEO
- Remarks by Nicole Iannarone
- Remarks by Qudsia Shafiq
- Remarks by David White
- Discussion Draft of the Investor as Purchaser Subcommittee (Oct. 2, 2017)
RE: Development of an Enhanced Notice Document for Delivery of Investment Company Shareholder Reports - Slides by Charles Callan
- Webcast Archive
- Minutes
June 22, 2017
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Remarks by Scott Kupor
- Slides by Jeffrey M. Solomon
- Report by EY
- Article by Elisabeth de Fontenay
- Remarks by John C. Coffee, Jr.
- Outline by Jim Brau
- Webcast Archive
- Minutes
March 9, 2017
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Remarks by Prof. Annamaria Lusardi
- Slides by Prof. Annamaria Lusardi
- Slides by Brian Scholl
- Remarks by David J. Berger
- Remarks by Ken Bertsch
- Webcast Archive
- Minutes
December 8, 2016
July 14, 2016
- Meeting Notice; correction
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Remarks by Jean Rogers
- Remarks by Christianna Wood
- Remarks by Daniel L. Goelzer
- Remarks by Lisa French
- Comments by Linda Sherry
- Webcast Archive
- Minutes
June 7, 2016
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Recommendation of the Market Structure Subcommittee: Enhance Information for Bond Market Investor (Updated: May 25)
- Draft Comment Letter to the Commission re: Concept Release on Business and Financial Disclosure Required by Regulation S-K and Disclosure Effectiveness
- Minutes
April 14, 2016
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Recommendation of the Investor as Purchaser Subcommittee: Mutual Fund Cost Disclosure
- Webcast Archive
- Minutes
January 21, 2016
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Draft Letter to FASB re: Materiality
- Webcast Archive
- Minutes
October 15, 2015
July 16, 2015
- Meeting Notice
- Agenda
- Sunshine Act Notice
- Recommendation of the Investor as Owner Subcommittee: Empowering Elders and Other Investors: Background Checks in the Financial Markets
- Webcast Archive
- Minutes
April 9, 2015
- Meeting Notice
- Agenda
- Sunshine Act Notice
- Recommendations of the Investor as Owner Subcommittee: Empowering Elders and other Investors: Background Checks in the Financial Markets
- Webcast Archive
- Minutes
February 12, 2015
- Meeting Notice
- Agenda
- Recommendation of the Market Structure Subcommittee: T+2 Settlement
- Webcast Archive
- Minutes
October 9, 2014
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Recommendation of the Investor as Purchaser Subcommittee and the Investor Education Subcommittee: Accredited Investor Definition
- Statement of Dissent Regarding Accredited Investor Definition
- Recommendation of the Investor as Owner Subcommittee: Impartiality in the Disclosure of Preliminary Voting Results
- Webcast Archive
- Minutes
July 10, 2014
April 10, 2014
- Recommendation of the Investor as Purchaser Subcommittee: Crowdfunding Regulations
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Webcast Archive
- Minutes
January 31, 2014
- Recommendation regarding Decimalization and Tick Sizes
- Dissenting Opinion and Alternative Recommendation
- Attachment for Dissenting Opinion and Alternative Recommendation
- Materials Submitted by IAC Members Steve Wallman and Barbara Roper
- Materials Submitted by IAC Member Joseph Grundfest
- IAC Member Stephen Holmes's Remarks to the Committee re: Decimalization
- Sunshine Act Notice
- Meeting Notice
- Agenda
- Webcast Archive
- Minutes
November 22, 2013
- Recommendation of the Investor as Purchaser Subcommittee: Legislation to Fund Investment Adviser Examinations
- Recommendation of the Investor as Purchaser Subcommittee: Broker-Dealer Fiduciary Duty
- Meeting Notice
- Agenda
- Webcast Archives
- Minutes
July 25, 2013
- Recommendations of the Investor as Owner Subcommittee — Data Tagging
- Recommendations of the Investor as Owner Subcommittee — Universal Proxy
- Meeting Notice
- Agenda
- Webcast Archives
- Minutes
April 11, 2013
- Recommendation of the Investor Advisory Committee — Target Date Mutual Funds
- Agenda
- Recommendation of the Investor as Purchaser Subcommittee — Target Date Mutual Funds
- Sunshine Act Notice
- Meeting Notice
- Webcast Archives
- Minutes
January 18, 2013
October 12, 2012 (Telephonic Meeting)
September 28, 2012
June 12, 2012
Modified: Jan. 29, 2024