SEC, NASAA, and Wisconsin DFI to host Investor Roundtable in Madison, Wisconsin on July 25

The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA) and Wisconsin Department of Financial Institutions (DFI) for a Joint Public Roundtable at the DFI headquarters on Tuesday, July 25, 2023, at 10 a.m. CT. The afternoon session of the roundtable will be webcast on the SEC website.

The event will consist of the following key sessions:

  • An Investor Roundtable focused on retail investor issues, where investors will engage in a moderated discussion with the Investor Advocate and the Wisconsin DFI Securities Administrator;
  • A Public Roundtable Webcast and Investor Case Studies, where retail investors, investigators, and regulators will share experiences of securities frauds, and engage in discussions related to identifying frauds and avoiding suspicious investments;
  • Securities Investor Protection Corporation (SIPC) and Canadian Investor Protection Fund (CIPF) moderated discussion on investor protection during periods of firm insolvency; and
  • A stakeholder discussion with the SEC’s Retail Strategy Task Force on retail investor frauds, deceptive practices, and what the future of investor protection looks like

The full agenda is available here.

SEC Chair Gary Gensler will provide virtual opening remarks, and SEC Commissioner Mark Uyeda will attend in-person.

“We are pleased to co-convene this roundtable because it is important to hear directly from retail investors while bringing the regulatory and enforcement community together to support investors’ needs. I look forward to joining my colleagues from NASAA and Wisconsin DFI to learn about current investment challenges from individuals who are willing to share their experiences,” said SEC Investor Advocate Cristina Martin Firvida.

“Wisconsin investors will have the opportunity to share, firsthand, their experiences with investing products and services directly with SEC staff who are joining us in Madison. I look forward to welcoming our SEC colleagues, and further strengthening investor advocacy in Wisconsin,” said Leslie Van Buskirk, Wisconsin Department of Financial Institutions Securities Division Administrator and Vice Chair of the SEC’s Investor Advisory Committee.

“Protecting main street investors is the core of what state regulators do,” said Andrew Hartnett, NASAA President and Deputy Commissioner of the Iowa Insurance Division. “Events like this one allow regulators – working together – to hear directly from investors and target their investor protection efforts.”

The event is open to the public, and the afternoon session will be webcast on the website.

Location:          Wisconsin Department of Financial Institutions Headquarters, Hill Farms State Office Building - 4822 Madison Yards Way, Madison, WI 53705           

Date:                July 25, 2023

Time:                10 a.m. to 3 p.m. (CT)

Registration:     Wisconsin DFI Registration Link (for In-Person Attendance)


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