Investor Advisory Committee

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The SEC’s Investor Advisory Committee will hold its next public meeting on December 13, 2018 at 9:00 am.  The Committee’s agenda includes a discussion regarding disclosures on sustainability and environmental, social and governance topics, and a discussion regarding unpaid arbitration awards.  Earlier this fall, the SEC received a petition for rulemaking on ESG disclosure, which…

The Securities and Exchange Commission’s Investor Advisory Committee will meet telephonically on November 7 at 2 p.m. Eastern Time.  The meeting is open to the public.  During this meeting, the committee intends to address the proposed Regulation Best Interest and the proposed Form CRS Relationship Summary.  In recent remarks, representatives of the Commission have indicated …

The Securities and Exchange Commission’s Investor Advisory Committee has released the agenda for its upcoming meeting on September 13, 2018.  The committee will begin with a discussion on U.S. proxy voting infrastructure.  The Committee will then address the SEC’s proposed transaction fee pilot in National Market System (NMS) stocks, which, as the agenda notes, may…