Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, May 10, 2010

SEC Investor Advisory Committee Will Discuss Mandatory Arbitration

Here's the agenda for the May 17 meeting of the SEC's Investor Advisory Committee.  I'm pleased to say that I will be speaking on the experts panel on mandatory securities arbitration (item vi) along with Professor Jennifer Johnson (Lewis & Clark), Linda Fienberg (FINRA) and Patricia Cowart (Wells Fargo Advisors).  Professor Mercer Bullard (Mississippi) chairs the Committee.

The agenda for the meeting includes: (i) remarks by Dan Ariely, behavioral economist, on investor reaction to disclosure; (ii) update on recommendations previously adopted by the Committee; (iii) briefing on the Investor as Owner Subcommittee's environmental, social, and governance disclosure workplan; (iv) update on certain issues involved in financial reform legislation; (v) discussion of fiduciary duty, in the context of investment advisers and registered broker-dealers, including a presentation by SEC staff; (vi) discussion with an expert panel on mandatory arbitration; (vii) discussion of money market funds and the issue of net asset value (NAV), including a presentation by SEC staff; (viii) recommendation by Investor Education Subcommittee of an investor education campaign; (ix) reports from Subcommittees on other activities; and (x) discussion of next steps and closing comments.

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