Washington, D.C. — BetterInvesting Chairman Roger Ganser will serve on the new Investor Issues Committee to advise the Financial Industry Regulatory Authority (FINRA) staff on matters that significantly affect individual and institutional investors.
FINRA’s new committee will become active in January and will advise senior staff at FINRA on proposed rulemaking, policy initiatives and other issues that significantly impact both retail and institutional investors. The committee will also help inform FINRA’s economic analysis from the perspective of investors.
Roger is the founder and managing director of Venture Investors LLC, headquartered in the University Research Park, Madison, Wis., with a second office in Ann Arbor, Mich.
“I am eager to work with our new Investor Issues Committee, which will help FINRA better understand the needs and protect the interests of the investing public,” said Richard Ketchum, FINRA chairman and chief executive officer.
Serving on the committee with Roger will be:
- Brandon Becker, executive vice president and chief legal officer, TIAA-CREF;
- James Choi, associate professor of finance, Yale School of Management;
- Lawrence Greenberg, chief legal officer, The Motley Fool;
- Catherine L. Heron, former senior vice president and senior counsel, Fund Business Management Group, Capital Research and Management Company;
- Mark Ready, department chair for finance, investments and banking and academic director of the Hawk Center for Applied Security Analysis, University of Wisconsin School of Business;
- Barbara Roper, director of investor protection, Consumer Federation of America;
- Paul F. Roye, senior vice president, Fund Business Management Group, Capital Research and Management Company;
- Nancy M. Smith, corporate secretary and chief integration officer, AARP;
- Elisse Walter, former chairman, U.S. Securities and Exchange Commission; and
- Stephen L. Williams, former senior special adviser to the director, trading and markets, U.S. Securities and Exchange Commission.
FINRA, the Financial Industry Regulatory Authority, is the largest independent regulator for all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through regulation and complementary compliance and technology-based services. FINRA touches virtually every aspect of the securities business — from registering and educating all industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws, informing and educating the investing public, providing trade reporting and other industry utilities, and administering the largest dispute resolution forum for investors and firms. For more information, see www.finra.org.
BetterInvesting is a national nonprofit organization that has been empowering individual investors since 1951. Founded in Detroit, the association (formerly known as National Association of Investors Corporation) was born out of the conviction that anyone can become a successful long-term investor by following commonsense investing practices. BetterInvesting has helped more than 5 million people become better, more informed investors by providing webinars, in-person events, easy-to-use online tools for analyzing stocks and mutual funds, a monthly magazine and a community of volunteers and like-minded investors. For more information about BetterInvesting, visit its website at http://www.betterinvesting.org/investing/landing/openhouse/blog/index.html or call toll free (877) 275-6242.