Tagged: iac

February 17, 2025 @ 11:03 am By JD Alois  |  

The Securities and Exchange Commission has posted a request for candidates interested in serving on the SEC’s Investor Advisory Committee (IAC). The IAC was the creation of the Dodd-Frank Act and aims to support individual investors by providing guidance to the Commission. In the posting,… Read More

December 10, 2024 @ 5:27 pm By JD Alois  |  

The SEC Investor Advisory Committee met today, and one of the topics reviewed was access to alternative assets. More specifically, the fast-growing private securities markets. Private securities in both debt and equity markets have boomed in recent years. Meanwhile, public securities have diminished due to… Read More

December 10, 2024 @ 11:20 am By JD Alois  |  

In a meeting today, the Securities and Exchange Commission’s Investor Advisory Committee (IAC) published draft recommendations regarding the rise of “Finluencers”—individuals who may promote securities offerings on social media. While the IAC may submit recommendations to the Commission, there is no requirement for the SEC… Read More

December 5, 2024 @ 11:15 am By JD Alois  |  

Next week, the Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC) will meet to discuss several topics. Perhaps most interesting is the topic of “Mainstreaming of Alternative Assets to Retail Investors.” The second issue is Examining the Use of Mandatory Arbitration Clauses by Registered… Read More

September 12, 2024 @ 12:24 pm By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has published its agenda for its meeting next week. The IAC will focus on two panels: Investment Advice: A History and Update on Who is Required to Serve in Your Best Interest; and Key Topics… Read More

September 10, 2024 @ 11:22 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has announced new members on the Investor Advisory Committee (IAC). While having no regulatory authority, the IAC advises the Commission on issues impacting investors. Each member serves a term of 5 years. More members are expected to be announced… Read More

June 5, 2024 @ 7:05 pm By JD Alois  |  

U.S. Securities and Exchange Commission Investor Advisory Committee Thursday, June 6, 2024 http://www.sec.gov     10:00 a.m. – 10:05 a.m. Welcome 10:05 a.m. – 10:30 a.m. Opening Remarks 10:30 a.m. – 10:35 a.m. Approval of Previous Meeting Minutes 10:35 a.m. – 12:05 p.m. Panel Discussion: Examining the New Frontier for… Read More

May 8, 2024 @ 11:21 am By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled a meeting for June 6th. Topics include artificial intelligence (AI) and the ongoing discussion of investment advice. Regarding investment advice, the Committee worries that younger investors are receiving guidance from “non-traditional ways,” including… Read More

March 29, 2024 @ 3:56 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) is looking for new members to add to its Investor Advisory Committee (IAC). Currently, they have five openinings on the Committee that aims to provide guidance to the Commission on items that impact individual investors. The Dodd-Frank Wall Street… Read More

February 26, 2024 @ 11:30 am By JD Alois  |  

The US Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled its next meeting to take place on March 7th. One of four advisory committees, the IAC aims to provide the Commission with advice, and recommendations from the perspective of the investor. Created… Read More

September 25, 2023 @ 5:44 pm By JD Alois  |  

Speaking at the beginning of last week’s meeting of the Investor Advisory Committee (IAC), SEC Commissioner Hester Peirce went to bat for smaller firms and private securities issuers – once again. The SEC is currently considering making the definition of an Accredited Investor more rigorous…. Read More

September 22, 2023 @ 10:24 am By JD Alois  |  

During the Securities and Exchange Commission’s meeting of the Investor Advisory Committee (IAC) yesterday (September 21, 2023), a representative from the Angel Capital Association (ACA) gave a compelling presentation advocating on behalf of his industry and why we need more Accredited Investors and NOT fewer…. Read More

September 15, 2023 @ 10:30 am By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee will meet next week and will discuss two very important policy items that impact capital raising for private firms. The first panel discussion will review exempt securities offerings under Reg D. This exemption, only available to… Read More

June 16, 2023 @ 3:36 pm By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC) has posted its agenda for its meeting next week. Established under Dodd-Frank, the IAC is supposed to represent the interests of individual investors, including smaller ones. In the past, the Committee has largely focused on… Read More

February 22, 2023 @ 11:44 am By JD Alois  |  

  The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled a meeting to take place on Thursday, March 2nd, 2023. The IAC was created under the D0dd-Frank Act and is designed to advise the Commission on initiatives aimed at representing individual investors,… Read More

November 27, 2022 @ 11:44 pm By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), has scheduled its next meeting for December 8, 2022. The IAC was created under the Dodd-Frank Act and holds a mission to protect investor interests but has tended to overweight investor protection over investor access… Read More

September 20, 2022 @ 7:52 am By Omar Faridi  |  

Vivian Health, an IAC (NASDAQ: IAC) company and the leading healthcare jobs marketplace serving healthcare professionals first, announced an agreement with Lume, a banking platform for healthcare workers, which “allows Vivian to leverage Lume’s technology to create new banking and financial services for the more… Read More

September 19, 2022 @ 3:19 pm By JD Alois  |  

The SEC’s Investor Advisory Committee (IAC) is scheduled to hold a meeting this week, on September 21st. The agenda of the meeting has just been released. The meeting will focus on four panels including: Human capital management labor valuation and performance data; 10B-1 position reporting; 13D… Read More

September 6, 2022 @ 11:57 am By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC) has scheduled a meeting for September 21st. According to the Sunshine Act Notice, the IAC will be discussing Climate Disclosure along with a recommendation made by the Committee. Currently, the SEC is proposing new rules… Read More

November 24, 2021 @ 5:08 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) Investor Advisory Committee will be discussing digital assets or crypto on December 2nd. According to the agenda, a panel discussion will be hosted  entitled “Helping to Ensure Investor Protection and Market Integrity in the Face of New Technologies.” This… Read More