U.S. Securities and Exchange Commission hosts joint investor roundtable


The U.S. Securities and Exchange Commission (SEC) will host a joint investor roundtable at Dalton State College on Thursday, March 28, from 10 a.m. to 4:45 p.m., in partnership with the North American Securities Administrators Association (NASAA) and the Georgia Secretary of State’s Division of Securities. The event is designed to provide investors the opportunity to share their needs in future policy and practice.

“Bringing members of the SEC to our campus enriches the academic journey of undergraduate business students, and it fosters a vital bridge between regulatory expertise and community engagement,” Marilyn Helms, dean of the Wright School of Business, said. “We hope the joint investor roundtables will spark a dialogue that empowers our students and local stakeholders with the knowledge and insight necessary for navigating the complexities of the financial world.”

The event is open to the public and will feature a meet-and-greet, presentations by Dalton State students and faculty, a fireside chat, and two roundtables. Roundtables will include retail investors, financial and investment literacy training, and the opportunity to meet with regulatory leaders and staff.

A meet-and-greet with Dalton State leadership, alumni, students and community leaders will be from 9 to 9:45 a.m. in Gignilliat Hall.

An investor roundtable will be held in the Goodroe Auditorium from 10 to 11:45 a.m. The roundtable will be a moderated discussion with Investor Advocate and Georgia Securities Administrator focused on retail investors and capital formation opportunity. Investors and members of the investment community will be invited to comment.

Dalton State students and faculty will give presentations in the Goodroe Auditorium from 11:10 to 11:30 a.m. and 2:40 to 3 p.m. Presentations will address the needs of retail investors, focusing on issues surrounding rulemaking and policy.

A moderated fireside chat will be held in the Goodroe Auditorium from 11:30 to 11:45 a.m. Representatives from the Securities Investor Protection Corporation and the Canadian Investor Protection Fund will discuss issues related to the protection of investors during times of high insolvency, such as during high-profile bank failures.

A public roundtable with presentations from retail investors, academics, investigators, regulators and other market participants will be held in Goodroe Auditorium from 1 to 2:40 p.m. A selection of presentations will be webcast via sec.gov.

Presentations by representatives of the Georgia Secretary of State, FINRA Investor Education Foundation and the Office of Investor Education and Advocacy will be held in Goodroe Auditorium from 3 to 4:30 p.m. Representatives will discuss the investing landscape and money management techniques.

Attendees may submit questions to the SEC in advance via email at investormanagement@sec.gov.