SEC to hold roundtable discussions at two Georgia colleges next week to discuss investment challenges

The Securities and Exchange Commission (SEC) will take part in roundtable discussions at the University of North Georgia, and Dalton State College next week to discuss investments.

Along with the SEC, the roundtable discussion will feature speakers from the North American Securities Administrators Association (NASAA) and the Georgia Secretary of State’s office.

On March 27, the roundtable discussion will take place at the University of North Georgia in Dahlonega, Ga., and on March 28, it will convene at Dalton State College in Dalton, Ga. The live session, which will also be available virtually, will run from 10 am to 4:30 pm ET on both days. The public is invited to 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.

The event will feature:

• 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 discussions 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.

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

“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.

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

“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.

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