Securities and Exchange Commission Hosts Joint Investor Roundtable at Dalton State


The Securities and Exchange Commission (SEC) will host a joint investor roundtable at Dalton State on Thursday, Oct. 5, along with the North American Securities Administrators Association (NASAA) and the Georgia Secretary of State’s Division of Securities to provide an opportunity for investors, regulators and members of the investment community to share their experiences with the SEC, law enforcement and regulatory staff.

The event is open to the public and will feature a meet and greet, multiple roundtables with presentations by Dalton State business students and faculty, financial and investment literacy training, and the opportunity to meet with regulatory leaders and staff. Portions of the event will be available via live stream on SEC.gov.

“As a finance major, having the SEC on campus is a great opportunity to speak with the professionals tasked with regulating our industry that we've studied for the past few years,” said Isaac Lacle, business student at Dalton State. “Hosting the SEC is a tremendous opportunity for our school and community.”

The meet and greet hosted by Dalton State’s Society ’63 Alumni Association will be from 9 to 9:45 a.m. Attendees are invited to share their thoughts related to financial literacy, talent pipelines and opportunities in the capital markets.

An investor roundtable will be from 10 to 11:45 a.m. The roundtable will be a moderated discussion with an Investor Advocate and Georgia Securities Administrator.

A public roundtable with presentations to the SEC will be from 1 to 3 p.m. Presenters will include retail investors, investigators, regulators, Dalton State students and faculty, and other market participants on topics related to investor issues.

An informational session titled, “Money Talks,” will be held from 3 to 4:30 p.m. and will include presentations on financial and investment literacy by leading authorities with the Office of Investor Education and Advocacy and the FINRA Investor Education Foundation.

Lacle and a team of his peers will present during both the investor and public roundtables, allowing students to apply skills learned in the classroom in a real-world setting.”

“We learn about the regulatory rules that come down from the SEC in class, and now we get to have the real-world professionals involved with that process here on campus,” Lacle said. “Having their representatives on campus is an opportunity to put our best foot forward as students and represent Dalton State well. I couldn't be more excited for this opportunity.”

Attendees may submit questions to the SEC in advance to investormanagement@sec.gov. Local investors and entrepreneurs interested in presenting during the public roundtable are encouraged to contact Lauren Holverson at lholverson@daltonstate.edu or Patrick Ryle at pryle@daltonstate.edu.