Investor Advisory Committee

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  SEC’s New Chief: Dodd-Frank, JOBS Act Top SEC’s Priority List

  By Melanie Waddell, AdvisorOne  |  January 21, 2013

  SEC Chairwoman Elisse Walter said Friday that despite the current “2-2 divide” among the agency’s commissioners, she’s confident that they “are eager to find common ground.”

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  SEC, NASAA Tell Small Businesses: Wait to Join the ‘Crowd’

  By Melanie Waddell, AdvisorOne  |  July 24, 2012

  The SEC and state regulators are warning small businesses and entrepreneurs to hold off on crowdfunding.

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  SEC, NASAA to Small Businesses: Hold Off on Crowdfunding

  By Melanie Waddell, AdvisorOne  |  June 29, 2012

  State regulators warned small businesses that they should wait until the SEC has finalized its crowdfunding rules before offering shares in their ventures for public sale.

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  New SEC Committee to Put Retail Investors First

  By Melanie Waddell, AdvisorOne  |  June 12, 2012

  “Many individual investors feel like they are under siege,” SEC Commissioner Luis Aguilar said at the group's first meeting.

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  SEC Forms New Investor Advisory Committee

  By Marlene Y. Satter, AdvisorOne  |  April 12, 2012

  The SEC announced the makeup of its new Investor Advisory Committee, a Dodd-Frank requirement. Among its members: Mellody Hobson of Ariel, Steven Wallman of Foliofn, and Barbara Roper of the CFA.

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  Dodd-Frank Is Providing Meaningful, Tangible Benefits to Investors

  By David Massey, NASAA  |  July 18, 2011

  At the one-year anniversary of Dodd-Frank, my message to Congress is clear: Don't weaken the law's critical investor protections.