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The SEC is partnering with the North American Securities Administrators Association (NASAA) and Georgia Secretary of State for two joint investor roundtables. One will be hosted on March 27, 2024 at the University of North Georgia and the second will be on March 28, 2024 at Dalton State College.
University of North Georgia
Mike Cottrell College of Business
265 S. Chestatee St.
Dahlonega, GA 30597
10 a.m. to 4:30 p.m. (EST)
Dalton State College
Wright School of Business
650 College Dr.
Dalton, GA 30720
10 a.m. to 4:30 p.m. (EST)
These public roundtables will be an opportunity for investors, regulators, and members of the investment community to share their experiences with SEC staff and discuss topics that are important to them, such as securities fraud and feedback on SEC rulemaking. These events are designed to listen to investors and better understand their needs in future policy and practice. Questions may be submitted in advance to investorengagement@sec.gov.
[+] 10:00-10:45 a.m. | Investor Education & Advocacy Roundtable (Open to Students and the Public)
Location: Don and Connie Cottrell Ballroom
Hosted by Adam Anicich
Discussion with Investor Advocate Cristina Martin Firvida and Georgia Securities Assistant Administrator Noula Zaharis, focused on investor education, small business ownership and capital formation, and diversity, equity, and inclusion considerations in investor advocacy.
Chris Nedza, Lead Entrepreneur-in-Residence, Georgia Tech’s Advanced Technology Development Center
Mike Lavender, JD, Associate Dean of Undergraduate Programs, University of North Georgia
[+] 10:45-11:05 a.m. | Academic Presentation from UNG Students and Faculty
Location: Don and Connie Cottrell Ballroom
Hosted by Carla Anglin
Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.
[+] 11:05-11:20 a.m. | Fireside Chat with Gurbir Grewal, Director of the SEC’s Division of Enforcement
Location: Don and Connie Cottrell Ballroom
This fireside chat will include a discussion of the Enforcement Division’s role in investor protection and Division priorities with respect to retail investors.
Moderated by Nekia Hackworth Jones
[+] 11:20-11:45 a.m. | Founders and Funders: A Panel Discussion on Capital Formation and Funding
Location: Don and Connie Cottrell Ballroom
In this session, small business owners and venture funders will discuss barriers to engaging in successful capital formation efforts, with a specific focus on investing in their own communities – many of which are underserved.
Moderated by Dar’shun Kendrick, Georgia State Representative and Securities Attorney
Panelists:
Bona Allen, Private Investor
Allyson Eman, CEO, Venture Atlanta (Virtual)
Diona Richards, Founder & CEO See Me Fund
H. Douglas Williams, Founder of Empowrd
[+] 11:45-12:00 p.m. | Discussion on Investor Protection with the Securities Investor Protection Corporation and the Canadian Investor Protection Fund
Location: Don and Connie Cottrell Ballroom
In this moderated fireside chat, the audience will hear from representatives from the Securities Investor Protection Corporation (SIPC) and the Canadian Investor Protection Fund (CIPF) on issues related to the protection of investors during periods of firm insolvency.
Public roundtable with presentations/remarks from retail investors, investigators/regulators, and other market participants on topics related to retail investor experiences with securities and investor education initiatives.
Claire McHenry, President, North American Securities Administrators Association (NASAA), and Deputy Director, Securities Bureau, Nebraska Department of Banking and Finance
Noula Zaharis, Assistant Commissioner of Securities, Georgia Secretary of State’s Office
Dr. Chaudron Gille, Provost and SVP for Academic Affairs
[+] 2:20-2:40 p.m. | Academic Presentation from UNG Students and Faculty
Location: Don and Connie Cottrell Ballroom
Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.
[+] 2:50-4:15 p.m. | Discussions regarding Investment Fraud Prevention, Investor Education Resources, and Retail Investor Research (Open to the Public)
Location: Don and Connie Cottrell Ballroom
In this public session, the audience will hear financial education presentations from three of the country’s leading authorities. This interactive session will provide attendees with the knowledge to better understand the investing landscape and how to manage their money.
[+] 2:50-4:15 p.m. | Law Enforcement/Regulators Only: Discussions regarding Retail Investor Fraud Trends and Case Studies (Non-Public/Confidential)
Discussion with stakeholders, including the US Attorney’s Office, FBI, Army CID, and others that focus on specific retail investor issues and regulator-to-regulator topics.
Location: Goodroe Auditorium
Hosted by Adam Anicich
Discussion with Commissioner Hester Peirce, Investor Advocate Cristina Martin Firvida, and Georgia Securities Assistant Administrator Noula Zaharis focused on investor education, small business ownership and capital formation, and diversity, equity, and inclusion considerations in investor advocacy.
Brief Opening Remarks
The Honorable Hester M. Peirce, Commissioner, U.S. Securities and Exchange Commission
Kamila Elliott, Collective Wealth Partners CEO and Founder, Certified Financial Planner
Randy Russell, CFP, Senior Financial Advisor, Corebridge Financial
James Young, Retail Investor
[+] 11:10-11:25 a.m. | Discussion on Investor Protection with the Securities Investor Protection Corporation and the Canadian Investor Protection Fund
Location: Goodroe Auditorium
Hosted by Carla Anglin
In this moderated fireside chat, the audience will hear from representatives from the Securities Investor Protection Corporation (SIPC) and the Canadian Investor Protection Fund (CIPF) on issues related to the protection of investors during periods of firm insolvency.
Josephine Wang, President and CEO, Securities Investor Protection Corporation
Ilana Singer, Vice President and Corporate Secretary, Canadian Investor Protection Fund (Virtual)
[+] 11:25-11:45 a.m. | Academic Presentation from Dalton State College Students and Faculty
Location: Goodroe Auditorium
Session Host: Nekia Hackworth Jones
Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.
Location: Goodroe Auditorium
Hosted by Adam Anicich
Public roundtable with presentations/remarks from retail investors, investigators/regulators, and other market participants on topics related to retail investor experiences/issues with securities and investor education initiatives.
Claire McHenry, President, North American Securities Administrators Association (NASAA), and Deputy Director, Securities Bureau, Nebraska Department of Banking and Finance
Noula Zaharis, Assistant Commissioner of Securities, Georgia Secretary of State’s Office
Retail Investors, including those from minority and underserved populations
[+] 2:20-2:40 p.m. | Academic Presentation from Dalton State College Students and Faculty
Location: Goodroe Auditorium
Hosted by Carla Anglin
Designed to take a closer look at the needs of retail investors, these presentations will focus on issues surrounding rulemaking and policy, giving students and faculty an opportunity to share their perspectives with the SEC, NASAA, and the Georgia Securities Division.
Claire McHenry, President, North American Securities Administrators Association (NASAA); and Deputy Director, Securities Bureau, Nebraska Department of Banking and Finance
[+] 2:50-4:15 p.m. | Discussions regarding Investment Fraud Prevention, Investor Education Resources, and Retail Investor Research (Open to the Public)
In this session open to the public, the audience will hear financial education presentations from three of the country’s leading authorities. This interactive session will provide attendees with the knowledge to better understand the investing landscape and how to manage their money.
