The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia Secretary of State, the University of North Georgia, and Dalton State College to host joint public roundtables and interactive sessions at both academic institutions on Wednesday, March 27, and Thursday, March 28, 2024, at 10 a.m. ET. Portions of the event will be webcast on the SEC website, and in-person public attendance is welcome.
The event will consist of the following key sessions:
Public roundtable webcast and investor case studies where retail investors, investigators, and regulators will share experiences confronting securities fraud with the SEC’s Investor Advocate and the Georgia Securities Administrator, and engage in discussions related to identifying frauds and avoiding suspicious investments;
Moderated discussion with officials from the Securities Investor Protection Corporation and Canadian Investor Protection Fund regarding investor protection during periods of firm insolvency;
Panel Discussion with entrepreneurs and venture funders regarding barriers to engaging in successful capital formation efforts, with a specific focus on investing in their own communities – many of which are underserved; and
Academic student and faculty presentations that will take a closer look at the needs of retail investors, including issues surrounding rulemaking and policy, and where students and researchers/professors will share their perspectives with SEC, NASAA, and Georgia Secretary of State leadership, as well as other federal and state regulatory and law enforcement agencies.