Securities and Exchange Commission to host roundtable at UNG

The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association, 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.
  

The full agenda is available here.

SEC Chair Gary Gensler, Commissioner Caroline Crenshaw, Commissioner Mark Uyeda, and Commissioner Jaime Lizarraga will provide virtual remarks, and Commissioner Hester Peirce will attend in person.

“We are pleased to co-convene these roundtables with our colleagues from NASAA and Georgia to hear directly from individuals about their current investment challenges, while bringing the regulatory and enforcement community together to support investors’ needs. I look forward to hearing from investors willing to share their diverse experiences,” SEC Investor Advocate Cristina Martin Firvida said.

“State securities regulators have been protecting main street investors for over 100 years; I am looking forward to joining my SEC and Georgia colleagues to hear directly from investors about their needs and to support our investor protection efforts,” Claire McHenry, NASAA president and deputy director of the Nebraska Department of Banking and Finance, said.

“Protecting our Georgia investors is our division’s No. 1 priority. Working together with our SEC colleagues and partners strengthens investor advocacy in Georgia. We welcome the SEC staff and are excited about this outreach event; it will give Georgia investors the opportunity to share their experiences directly with all of us,” Noula Zaharis, assistant commissioner of securities in the office of the Georgia secretary of state, said.

“Events like these allow us to engage the local community, and better collaborate with our partners to ensure that investors’ interests are supported, and that everyone has access to federal resources,” SEC Atlanta Regional Office Director Nekia Hackworth Jones said.

The event is open to the public, and no registration is required. The afternoon sessions will be webcast on the SEC website.

Date: March 27, 2024

Location: University of North Georgia, 265 S. Chestatee St, Dahlonega, GA 30597

Time: 10 a.m. to 4:30 p.m. ET

Date: March 28, 2024

Location: Dalton State College, 650 College Dr, Dalton, GA 30720

Time: 10 a.m. to 4:30 p.m. ET

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