Security - Check Permissions

MFDF - Mutual Fund Directors Forum - May 17 SEC Investor Advisory Committee Meeting Agenda

Member Login

Request an account

Sample Banner 1

May 17 SEC Investor Advisory Committee Meeting Agenda

The SEC has announced the agenda and list of panelists for its May 17, 2010 open meeting. The meeting at the SEC's headquarters in Washington, DC, will begin at 9:00AM and conclude at 4:30PM. The event is open to the public.

Agenda and Panelists

9:00 a.m.    Welcome by Commissioner Luis A. Aguilar

9:10 – 10:30 a.m.    Discussion with Dr. Dan Ariely, author of Predictably Irrational

10:30 – 12:30 p.m.    Discussion with Panel: Mandatory Arbitration
     Moderator:  Mercer Bullard, Chair of Investor as Purchaser Subcommittee


  • Linda Fienberg, President, FINRA’s Dispute Resolution Department
  • Patricia Cowart, Section Manager, Retail Brokerage Litigation Section, Wells Fargo Corp. Law Department
  • Jennifer Johnson, Professor, Lewis & Clark Law School
  • Barbara Black, Professor, University of Cincinnati College of Law

12:30 – 1:00 p.m.    Lunch Break

1:00 – 2:00 p.m.    Discussion with Staff: Fiduciary Responsibility
     Staff Presenter:  Jennifer McHugh, Senior Advisor to the Chairman, Office of the Chairman, SEC

2:00 – 2:45 p.m.    Discussion with Staff: Money Market Funds and Net Asset Value
     Staff Presenter: Robert Plaze, Associate Director, Division of Investment Management ,SEC

2:45 – 3:00 p.m.    Update and Recommendation from Education Subcommittee: Public Service Announcement Campaign

3:00 – 3:10 p.m.    Break

3:10 – 3:45 p.m.    Discussion with Investor as Owner Subcommittee

  • Update from Staff: Status of Prior Committee Recommendations
  • Update from the Subcommittee: ESG Work Plan
  • Discussion: Pending Legislation

3:45 – 4:30 p.m.    Next Steps/Closing Comments

4:30 p.m.    Adjourn


More information about this event is available at: