Securities Law Prof Blog

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

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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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