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Bookmark or Share- Investor Advisory Committee Meeting Agenda - SEC.govBuilding on a June 2023 report from the SEC’s Office of the Investor Advocate and the Office of the Ombuds, this panel will discuss the use and scope of mandatory arbitration clauses by Registered Investment Advisers (RIAs) and examine the impact of such clauses.
- Advisory Committees - SEC.govThe committee provided a formal mechanism for the SEC to receive advice and recommendations on privately held small businesses and publicly traded companies with a market capitalization less than $250 million. Learn more on the committee's archive webpage.
- Investor Advisory Committee Information - SEC.govIf you are interested in serving on the Investor Advisory Committee, please email a letter of interest with applicable information about your relevant experience.
- Investor Advisory Committee Members Biographies - SEC.govCristina Martin Firvida was appointed as the Investor Advocate and Director of the Office of the Investor Advocate at the U.S. Securities and Exchange Commission (SEC) in January of 2023.
- Approved by the Investor Advisory Committee at the March 7 ... - SEC.govThe IAC has been examining the use of digital engagement practices (“DEPs”) by broker-dealers and investment advisers and assessing the benefits and risks they pose to investors.
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