Agenda: October 12, 2017, Meeting of the Securities and Exchange Commission Investor Advisory Committee

9:30-10:00 a.m.Networking Session and Continental Breakfast
10:00-10:30 a.m.Welcome Remarks
10:30-10:35 a.m.Approval of Minutes of Previous Meeting
10:35-12:05 p.m.Discussion Regarding Blockchain and Other Distributed Ledger Technology and Implications for Securities Markets

Confirmed Speakers:

  • Jeff Bandman, Principal, Bandman Advisors. Former FinTech Advisor at the U.S. Commodity Futures Trading Commission (CFTC) and Director and Architect of LabCFTC.
     
  • Michael C. Bodson, President and Chief Executive Officer, DTCC
     
  • Nancy Liao, Associate Research Scholar in Law and the John R. Raben/Sullivan & Cromwell Executive Director at the Yale Law School Center for the Study of Corporate Law
     
  • Adam Ludwin, Co-founder and Chief Executive Officer, Chain
     
  • Fredrik Voss, Vice President, Blockchain Innovation, Nasdaq
12:05-1:30 p.m.Lunch/Non-Public Administrative Session
1:30-2:00 p.m.Overview of Law School Clinic Advocacy Efforts on Behalf of Retail Investors

Confirmed Speakers:

  • Nicole G. Iannarone, Director, Investor Advocacy Clinic, Assistant Clinical Professor, Georgia State University College of Law
     
  • Qudsia Shafiq, Student Intern, Investor Advocacy Clinic, Georgia State University College of Law, JD Expected May 2018
     
  • David White, Director, Investor Advocacy Project, Director, Conflict Management Program, Seton Hall University School of Law
2:00-3:00 p.m.Discussion Regarding Electronic Delivery of Information to Retail Investors (which may include a Recommendation of the Investor as Purchaser Subcommittee)

Confirmed Speakers:

  • Charles V. Callan, Senior Vice President, Regulatory and Corporate Affairs, Broadridge Financial Solutions
     
  • Margaret Darin Hagan, Director of Legal Design Lab, Stanford Law School (by videoconference)
     
  • Gary Mottola, Associate Director, FINRA Office of Investor Education
     
  • Michael Woodall, Chief of Operations at Putnam Investments
3:00-3:10 p.m.Subcommittee Reports
3:10 p.m.Adjourn