Aggregated News From Investment Management Regulators

SEC Announces New Investor Advisory Committee Members


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The Securities and Exchange Commission today announced the appointment of six new members to its Investor Advisory Committee.

The Committee was established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to advise the Commission on regulatory priorities, regulation of securities products, trading strategies, fee structures, disclosure effectiveness, and initiatives to protect investors and promote investor confidence and the integrity of the U.S. securities markets. 

“I welcome and look forward to working with this accomplished and diverse group of new Committee members,” said Chairman Jay Clayton. “I also thank the SEC staff and Commissioners Peirce, Roisman, and Lee for their collective efforts to bring a strong group of new members to the Committee.”

The new members of the Investor Advisory Committee are:

  • Cien Asoera, Financial Advisor, Edward Jones
  • Theodore “Ted” Daniels, Founder and President, Society for Financial Education and Professional Development
  • Elissa Germaine, Professor, Pace Law School; Executive Director, John Jay Legal Services, and Director, Investor Rights Clinic, at Pace Law School
  • Satyam Khanna, Resident Fellow, NYU School of Law Institute for Corporate Governance and Finance (who will join the Committee on July 5, 2020)
  • Lori Lucas, CFA, President and CEO, Employee Benefit Research Institute
  • Christopher Mirabile, Senior Managing Director and Board Member, Launchpad Venture Group; Chair Emeritus, Angel Capital Association

The new members will join the current members, who continue to serve their terms.

The Investor Advisory Committee’s next meeting will take place Thursday, May 21, and will be available to view via webcast at

Regulator Information

Abbreviation: SEC
Jurisdiction: United States

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