SEC Investor Advisory Committee

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SEC Investor Advisory Committee
Founded 2009
Headquarters Washington, D.C.
Web site www.sec.gov

On June 3, 2009, Securities and Exchange Commission Chairman Mary Schapiro announced the formation of an Investor Advisory Committee to give investors a greater voice in the Commission's work.[1] SEC Commissioner Luis A. Aguilar will serve as the Commission's primary sponsor of the Committee.

Purpose

The Investor Advisory Committee's charter provides for a broad scope of interest, including:

  • Advising the Commission on matters of concern to investors in the securities markets
  • Providing the Commission with investors' perspectives on current, non-enforcement, regulatory issues
  • Serving as a source of information and recommendations to the Commission regarding the Commission's regulatory programs from the point of view of investors

Current Members

The Advisory Committee will be co-chaired by Richard (Mac) Hisey, president of AARP Financial Incorporated and AARP Funds, and Hye-Won Choi, senior vice president and head of corporate governance for TIAA-CREF. Fred J. Joseph, president of the North American Securities Administrators Association and securities administrator for the State of Colorado, will be an ex-officio participant.

The Advisory Committee's other members will include:

  • Mark Anson, president and executive director of investment services, Nuveen Investments
  • Mercer Bullard, founder and president of Fund Democracy, Inc. and Associate Professor of Law, University of Mississippi Law School
  • Jeff Brown, senior vice president, legislative and regulatory affairs, Charles Schwab & Co., Inc.
  • Stephen Davis, senior fellow and project director, Yale University School for Management's Millstein Center for Corporate Governance, and nonexecutive chair of Hermes Equity Ownership Service
  • Abe Friedman, global head of corporate governance and proxy voting and managing director, Barclays Global Investors
  • Mellody Hobson, president of Ariel Capital Management
  • Dennis A. Johnson, managing director, Shamrock Capital Advisors, Inc.
  • Adam Kanzer, managing director and general counsel, Domini Social Investments LLC
  • Mark Latham, director of Proxy Democracy, a nonprofit organization helping individual investors
  • Barbara Roper, director of investor protection, Consumer Federation of America
  • Dallas Salisbury, president and ceo, Employee Benefit Research Institute
  • Kurt Schacht, managing director, CFA Institute
  • Damon Silvers, associate general counsel, AFL-CIO
  • Kurt Stocker, chairman of the Individual Investors Advisory Board of the NYSE
  • Ann Yerger, executive director, Council of Institutional Investors


References

  1. Press Release. Securities and Exchange Commission.
Last modified on 6 February 2012, at 12:29