AGENDA - OLDER INVESTOR ROUNDTABLE

HOSTED BY SEC AND NASAA, FEATURING AARP

www.sec.gov

April 28, 2022 | 10:00 am to 12:00 pm | Webcast on sec.gov

The Older Investor Roundtable - hosted by SEC and NASAA, featuring AARP is a multi-topic listening 

session intended to encourage input and feedback from senior and older communities. Designed to take 

a closer look at the needs of older Americans as they relate to investing, this roundtable will focus on 

issues surrounding the lived experiences of older investors, those with diminished capacity, their loved 

ones, and caregivers. With a specific eye on rulemaking and policy, this roundtable is an opportunity 

where older individuals and advocates can share their perspectives with SEC and NASAA Staff and 

Leadership.

During this two hour-long virtual session, older investors and advocates will engage in a moderated 

panel discussion with The Investor Advocate and other SEC and NASAA Staff on topics related to their 

experiences investing. The panelists selected have been screened by AARP, and include diverse and 

representative viewpoints of their membership. The intent is for the presentations to describe real 

experiences from seniors, and better understand the “main street investor” perspective from the 

participants. 

Agenda:

10:00 – 10:02 Opening Remarks Adam Anicich

10:02 – 10:07 Welcome Remarks Investor Advocate Rick Fleming and Richard Szuch

10:07 – 10:12 Introductory Remarks Commissioner Hester M. Peirce

10:12 – 11:05 Fraud Overview and Panel Discussion, common frauds perpetrated against older 

investors, risks associated with digital assets and blockchain technology, rising interest 

rates and the impact on “safe” bond funds.

Moderated by Nancy LeaMond, Executive Vice President, AARP – a discussion and Q&As

Featuring: Amy Nofziger, Director of Fraud Victim Support, AARP

Mary Bach, Independent Consumer Advocate, and 

Chair, AARP Pennsylvania Consumer Issues Task Force 

Bill Raker, Retired CEO, Firefly Credit Union (MN)

Byron Peterson, AARP Connecticut Executive Council and Lead 

Fraud Watch Network Volunteer

Gary Miller, Senior Enforcement Attorney, SEC’s Miami 
AGENDA - OLDER INVESTOR ROUNDTABLE

HOSTED BY SEC AND NASAA, FEATURING AARP

www.sec.gov

 Regional Office

11:05 – 11:10 Mid-Session Remarks Commissioner Caroline A. Crenshaw

11:10 – 11:50 Older Client Servicing and Related Issues Panel Discussion, point-of-Sale Disclosures, 

 Fiduciary responsibilities, Reg BI and Suitability. 

Moderated by Richard Szuch, Chief, Enforcement Division, Bureau of Securities, NJ 

Attorney General’s Office, and Chair, NASAA’s Senior and Diminished Capacity Working 

Group – a discussion and Q&As. 

Featuring: Lee Baker, AARP Regional Volunteer Director, and Certified 

Financial Planner

Phillip (Phil) Aidikoff, Securities arbitration attorney, and past 

President of PIABA

 Stephen Brundage, AARP Tax Aide Volunteer

11:50 – 11:55 Program Summary and Recommendations Nancy LeaMond

11:55 – 11:58 Keynote Remarks Chair Gary Gensler

11:58 – 12:00 Closing Remarks Investor Advocate Rick Fleming

Disclaimers: (1) The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement 

by any of its employees. The views expressed herein and during the event are those of the author or speaker and do not necessarily reflect the 

views of the Commission or of the staff of the Commission, or any participating organization. (2) Pursuant to statute, the Investor Advocate 

shall (A) assist retail investors in resolving significant problems such investors may have with the Commission or with self-regulatory 

organizations; (B) identify areas in which investors would benefit from changes in the regulations of the Commission or the rules of selfregulatory organizations; (C) identify problems that investors have with financial service providers and investment products; (D) analyze the 

potential impact on investors of (i) proposed regulations of the Commission; and (ii) proposed rules of self-regulatory organizations registered 

under this title; and to the extent practicable, propose to the Commission changes in the regulations or orders of the Commission and to 

Congress any legislative, administrative, or personnel changes that may be appropriate to mitigate problems identified under this paragraph 

and to promote the interests of investors.