Date: 4/5/2022
Event start time: 12:00 PM E.T.
Event end time: 5:00 PM E.T.
Category: Seminar
Price: Members: $395; Nonmembers: $595


The BIG I – Investor and Issuer Invitational Forum

2022 Theme: The Rise of Retail Investing

12-5 pm ET, April 5, 2022 (Virtual)

About   |    Agenda     |    Speakers  

*Subject to change
All times in Eastern Time

Tuesday, April 5
12:00-12:05 pm Welcome and Orientation
12:05-1:00 pm Retail Trading Boom: App-Driven Fad or Here to Stay?
Some have suggested that the relatively recent trading surge among retail investors may have in part been driven by the financial innovation of fintech brokers that led to herd behavior. There has also been speculation that broader economic forces and declines in “meme stocks” point to the end of the retail boom. How did this explosive retail growth unfold, where do retail investors fit in the current stock market picture, and what does the future hold for retail investing?
1:15-2:00 pm Retail Trading, Robinhood & Regulation
Much of the awareness of the recent uptick in retail trading seems related to the “meme stock” phenomenon attributed to discussion on Reddit and trading on retail trading apps such as Robinhood. What risks exist for retail investors participating in stock-focused discussion forums? What should issuers know about how these new retail-focused apps work, how trades are executed, and ways they may influence trading in their stocks? What regulatory safeguards are in place? How will retail investing evolve as these tools mature?
2:15-3:00 pm More Inclusive Shareholder Voting Raises Engagement Stakes
According to various studies, retail investors own around 30% of shares outstanding, but they vote proxies on less than one-third of those shares, compared to 70% in the 1970’s. That may be poised for significant change with shifting shareholder demographics, technology geared to retail investors including zero-fee trading. Add in other factors such as BlackRock giving more of its institutional clients, such as pensions and endowments, the option to vote themselves, and the SEC’s new universal proxy ballot rule, and future proxy votes could be dramatically reshaped. This session will explore these trends, why it is critical for public companies to understand these issues, and how to effectively engage with all investors.
  • Tom Ball, Senior Vice President, Proxy Solicitation/M&A, Alliance Advisors 
  • Sherry Moreland, President and Chief Operating Officer, Mediant
  • Liz Zale, Managing Director, Sard Verbinnen & Co.
3:15-4:00 pm Retail Investors – Efficiency Drain vs. Secret Weapon
Because investor relations departments are often small, many publicly traded companies focus their IR efforts exclusively on institutional investors, arguing that their limited bandwidth necessitates concentrating on investors that can have the largest impact. But there are also companies that take an alternative approach and actively seek to increase their retail investor base. This session explores the pros and cons, and the why and how around this strategy.
4:15-4:45 pm Stakeholder Discussion: Approaching a Strategic Level Consensus
Harnessing the power of the participants’ views to drive consensus around solutions and an opportunity to explore tactical challenges around retail investing. What are the day’s learnings? How to collaborate to achieve mutually advantageous goals? What actions need to be taken and by whom?

IRC credential holders can claim up to 4 professional development units (PDUs) for participating in this program. IRC-credentialed volunteers and speakers may also earn PDUs. More information is available at