SEC Announces Agenda and Panelists for Small Business Forum

The SEC has released the agenda for next week’s Forum and is below.  We will be on the ground for this event.  To schedule time to meet with us please email [email protected]

Washington, D.C., Nov. 7, 2012 — The Securities and Exchange Commission today announced the agenda and panelists for next week’s Government-Business Forum on Small Business Capital Formation.

The event will begin at 9 a.m. on November 15 and will include two morning panel discussions. The first panel will focus on JOBS Act implementation and the second panel will focus on small business capital formation issues not addressed by the JOBS Act. In the afternoon, breakout groups will develop recommendations on a variety of issues related to small business capital formation.

The small business forum will take place at the SEC’s Washington D.C. headquarters and is open to public. The morning sessions will be webcast live at The afternoon breakout group sessions will not be webcast, but will be open to the public and accessible by phone. Anyone wishing to participate in a breakout group session either in person or by phone must pre-register online by November 14. Background materials are available on the small business forum webpage.

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2012 SEC Government-Business Forum on Small Business Capital Formation

9:00 a.m. Call to Order

  • Gerald J. Laporte, Chief of Office of Small Business Policy in SEC Division of Corporation Finance

Introductions of Chairman and Commissioners

  • Meredith B. Cross, Director of SEC Division of Corporation Finance


  • Chairman Mary L. Schapiro
  • Commissioner Elisse B. Walter
  • Commissioner Luis A. Aguilar
  • Commissioner Troy A. Paredes
  • Commissioner Daniel M. Gallagher
9:50 a.m. Panel Discussion: JOBS Act ImplementationModerators: Meredith Cross and Gregory C. Yadley, Partner at Shumaker, Loop & Kendrick LLP in Tampa, Fla.


  • William Beatty, Director of Securities at Washington State Department of Financial Institutions
  • Jean Peters, Board Member at Angel Capital Association and Managing Director at Golden Seeds Fund LP
  • Sara Hanks, Co-Founder and CEO at CrowdCheck in Alexandria, Va.
  • Michael Lempres, Assistant General Counsel and Practice Head at Silicon Valley Bank in Palo Alto, Calif.
11:10 a.m. Break
11:20 a.m. Panel Discussion: Small Business Capital Formation Issues Not Addressed by the JOBS Act

Moderators: Meredith Cross and Marty Dunn, Partner at O’Melveny & Myers LLP in Washington, D.C.


  • Professor Robert Bartlett, University of California, Berkeley School of Law
  • John Borer, Head of Investment Banking at The Benchmark Company LLC in New York
  • Ann Yvonne Walker, Partner at Wilson Sonsini Goodrich & Rosati in Palo Alto, Calif.
12:30 p.m. Lunch Break
2:00 p.m. Breakout Groups Meetings to Develop Recommendations

  • Exempt Securities Offerings Breakout Group
    Moderator: Gregory Yadley
  • Crowdfunding Breakout Group
    Moderators: Vincent Molinari, Co-Founder and Chairman of GATE Technologies LLC in New York, and Sara Hanks
  • Securities Regulation of Smaller Public Companies Breakout Group 
    Moderator: Spencer G. Feldman, Partner at Greenberg Traurig in New York 
3:15 p.m. Break
3:30 p.m. Breakout Group Meetings Continued
5:00 p.m. Plenary Session to Develop Next Steps
Moderators: Gerald Laporte and Gregory Yadley
5:30 p.m. Networking Reception

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