Agenda, Panelists Announced for SEC Small Business Forum

SECThe Small Business Forum is an annual event, open to the public, which is held at the Securities and Exchange Commission.  The SEC has announced this year’s official agenda and current list of panelists.

The Government-Business Forum on Small Business Capital Formation will begin on November 21, 2013 at 9AM.  The event will be opened with remarks from SEC Chairman Mary Jo White.

The first morning panel will discuss Regulation D exempt offerings.  The second morning panel will focus on small business and markets once the JOBS Act is fully implemented. Much of the discussion should revolve around retail crowdfunding.

In the afternoon session, breakout groups will develop recommendations on a variety of issues related to small business capital formation.

The day long event will also be webcast live at  The webcast will not include the afternoon breakout group sessions, but they 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 15.  More information is available on the small business forum webpage.

The complete Agenda is below:



Agenda and Panelists

9 a.m.

Call to Order – Mauri L. Osheroff, Associate Director, SEC Division of Corporation Finance

Introduction of Chair – Keith F. Higgins, Director, SEC Division of Corporation Finance

Opening Remarks – SEC Chair Mary Jo White

9:20 a.m.

Panel Discussion: Evolving Practices in New World of Regulation D Offerings


  • Keith F. Higgins, Director, SEC Division of Corporation Finance
  • Gregory C. Yadley, Partner at Shumaker, Loop & Kendrick in Tampa, Fla.


  • Christopher Mirabile, Board Member at Angel Capital Association and Co-Managing Director, LaunchPad Venture Group in Boston.
  • John H. Chory, Partner at Latham & Watkins in Boston
  • Troy Foster, Partner at Wilson, Sonsini, Goodrich & Rosati in Palo Alto, Calif.
  • Rick A. Fleming, Deputy General Counsel at North American Securities Administrators Association in Washington, D.C.

10:45 a.m.


11:05 a.m.

Panel Discussion: Crystal Ball: Now That You Raised the Money, What’s Next for the Company and the Markets?


  • Keith F. Higgins, Director, SEC Division of Corporation Finance
  • David M. Lynn, Partner at Morrison & Foerster in Washington D.C.


  • Kim Wales, Founder and CEO at Wales Capital in New York
  • Douglas S. Ellenoff, Partner at Ellenoff, Grossman & Schole in New York
  • John D. Hogoboom, Partner at Lowenstein Sandler in Roseland, N.J.
  • Annemarie Tierney, Executive Vice President of Legal Affairs and General Counsel at SecondMarket in New York

12:30 p.m. 

Lunch break

2 p.m.

Breakout Groups assemble to develop recommendations

  • Securities-Based Crowdfunding Offerings Breakout Group
    Moderator: Douglas S. Ellenoff
  • Exempt Securities Offerings Breakout Group
    Moderator: Gregory C. Yadley
  • Securities Regulation of Smaller Public Companies Breakout Group 
    Moderator: Spencer G. Feldman, Partner at Olshan Frome Wolosky in New York

3:15 p.m.

Break (with opportunity to change breakout groups)

3:30 p.m.      

Breakout Groups continue

4:30 p.m.

Break to reconvene for Plenary Session

4:45 p.m.      

Plenary Session to Develop Next Steps
Moderators: Mauri L. Osheroff and Gregory C. Yadley

5:30 p.m.

Networking reception


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