WASHINGTON, DC – Stephen Hall, Legal Director and Securities Specialist, and Scott Farnin, Legal Counsel, will be speaking on panels at the U.S. Securities and Exchange Commission Investor Advisory Committee meeting on Thursday, December 8.
Stephen Hall is a panelist on the “Panel Discussion on Account Statement Disclosure: Do client statements adequately serve investors?” which will focus on analyzing the content and format of information that is conveyed to customers through account statements and through account information available from firms online and through apps. Scott Farnin is a panelist on the “Panel Discussion regarding Single Stock ETFs” which will focus on the recent rise of single-stock ETFs, ETFs that give investors leveraged returns to the daily returns of specific stocks.
WHAT: The U.S. Securities and Exchange Commission Investor Advisory Committee Meeting
WHO: Stephen Hall, Legal Director and Securities Specialist
Scott Farnin, Legal Counsel
When: Thursday, December 8, 10:00am EST
10:30am – 12:00pm: Panel Discussion on Account Statement Disclosure: Do client statements adequately serve investors?
3:00pm – 4:00pm: Panel Discussion regarding Single Stock ETFs
Where: Remote, webcast available on the SEC website
Details: As established by the Dodd-Frank Act, the Investor Advisory Committee advises the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace.
Better Markets is a non-profit, non-partisan, and independent organization founded in the wake of the 2008 financial crisis to promote the public interest in the financial markets, support the financial reform of Wall Street and make our financial system work for all Americans again. Better Markets works with allies—including many in finance—to promote pro-market, pro-business and pro-growth policies that help build a stronger, safer financial system that protects and promotes Americans’ jobs, savings, retirements and more. To learn more, visit www.bettermarkets.org.