The Impact of the SEC Investor Advisory Committee on Private Markets

Investor Advisory, Securities and Exchange Commission
Investor Advisory, Securities and Exchange Commission Report

The Investor Advisory Committee of the Securities and Exchange Commission will hold a public meeting online on March 2 at 10:00 a.m. ET. On the SEC website, the meeting will be shown live.
Three panels will be held by the committee to talk about: Growth of Private Markets Compared to Public Markets:

What Causes It and What It Means; Checks and Balances on investment advisers: Can regulators keep up with the growth of the industry, as well as the management of open-end fund liquidity risk and swing pricing? Here you can find the full schedule.

This will also be the first meeting at which Cristina Martin Firvida, the Commission’s new investor advocate and a member of the Committee by law, will be present.

The Investor Advisory Committee looks out for the interests of investors and gives the Commission advice on regulatory priorities and other projects that will help protect investors and keep the U.S. securities markets honest. Congress gave the committee the power to send the Commission its findings and suggestions through the Dodd-Frank Act.

Investor Advisory Committee in the Spotlight

Section 911 of the Dodd-Frank Act created the Investor Advisory Committee. Its job is to give the Commission advice on how to set regulatory priorities, how to regulate securities products, trading strategies, and fee structures, how well disclosure works, how to protect investors’ interests and improve investor confidence, and how to maintain the integrity of the securities market. The Dodd-Frank Act gives the committee the right to send the Commission its findings and suggestions for review and consideration.

For more details on member names, visit

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