SEC Chairman Hosts Investor Roundtable with the Division of Continuing Education

SEC Chairman Hosts Investor Roundtable with the Division of Continuing Education

(L-R) DCIE Dean, Rebecca M. Fox; Securities and Exchange Commission Chairman, Jay Clayton; OLLI Member and Former Boeing Executive, Richard Hauser
By DCIE News

(L-R) DCIE Dean, Rebecca M. Fox; Securities and Exchange Commission Chairman, Jay Clayton; OLLI Member and Former Boeing Executive, Richard Hauser

SEC Chairman Hosts Investor Roundtable with the Division of Continuing Education

By DCIE News
SEC Invites Main Street Investors to Share Their Investor Experience

Coral Gables, Florida—On July 9, 2018, the Division of Continuing & International Education (DCIE) hosted an investor roundtable with the Securities and Exchange Commission (SEC) Chairman Jay Clayton and senior SEC staff. During the event, investors spoke directly with Chairman Clayton and SEC staff about the SEC’s efforts to enhance retail investor protection and promote choice and access to a variety of investment services and products. The event was held at the Osher Lifelong Learning Institute (OLLI at UM) at Lau Founders Hall on the Coral Gables campus and was open to both OLLI members and the public.  

Securities and Exchange Commission Chairman Jay Clayton has been inviting Main Street investors from around the country to Tell Us’ about their investor experience through roundtable discussions in several cities. The roundtable discussions provide an opportunity for the Chairman and staff to hear first-hand from those who will be directly impacted by the Commission’s rules. They also provide a chance for retail investors to share their views on key questions about their relationship with their investment professional that will help inform the disclosure outlined in the proposed rules. 

“It has been incredibly informative and gratifying to talk with investors in their own backyards about their expectations regarding relationships with their investment professionals,” said Chairman Clayton.  “Our proposed rules are intended to match our rules with investor expectations, and it is crucial that we hear directly from the investors themselves on how we can best ensure that result.” 

Details about upcoming investor roundtables in other cities, including dates, times, and RSVP information, can found hereInvestors who are unable to attend one of the roundtables in-person are invited to share their insights with the SEC by going to sec.gov/Tell-Us.

The involvement of the SEC in this event does not serve as an endorsement of the general policies, activities, or products of the University of Miami, OLLI at UM, or the Division of Continuing & International Education.