SEC Small Business Forum Publishes Agenda, Panelists

SEC Headquarters in DCThe Securities and Exchange Commission has published the agenda, along with the names of the associated panelists, for the 2014 SEC Government-Business Forum on Small Business Capital Formation.  Each of the five sitting Commissioners are expected to be in attendance including Chair Mary Jo White.

The scheduled topics for this years forum include  secondary markets for securities in small companies and the associated challenges.  This has been paired with the definition of an accredited investor.

The agenda in its entirety is replicated below.

The event is open to the public.  Prior registration is requested.

 

2014 SEC Government-Business Forum on Small Business Capital Formation

SEC Headquarters
Washington, D.C.
November 20, 2014

Agenda

9:00 a.m. Call to OrderSmall Business Capital Formation SEC

Sebastian Gomez Abero, Chief, Office of Small Business Policy

SEC Division of Corporation Finance

Introductions of Chair and Commissioners

Keith F. Higgins, Director, SEC Division of Corporation Finance

Remarks

Chair Mary Jo White

Commissioner Luis A. Aguilar

Commissioner Daniel M. Gallagher

Commissioner Kara M. Stein

Commissioner Michael S. Piwowar

9:50 a.m. Secondary Market Liquidity for Securities of Small Businesses*Moderators:

Stephen Luparello, Director, SEC Division of Trading and Markets

Stanley Keller, Partner, Edwards Wildman Palmer LLP, Boston, Massachusetts

Panelists:

Vladimir Ivanov, Financial Economist, SEC Division of Economic and Risk Analysis

Michael L. Zuppone, Partner, Paul Hastings, New York, New York

R. Cromwell Coulson, President and CEO of OTC Markets Group, Inc.

Robert Malin, Vice President of Sales, NASDAQ Private Market

A. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas

11:10 a.m. Break

11:20 a.m. Should the Commission Revise the Accredited Investor Definition?*

Moderators:

Keith F. Higgins, Director, SEC Division of Corporation Finance

Stanley Keller, Partner, Edwards Wildman Palmer LLP, Boston, Massachusetts

Panelists:

Rachita Gullapalli, Financial Economist, SEC Division of Economic and Risk Analysis

Prof. Donald C. Langevoort, Georgetown University Law Center, Washington, D.C.

Jean Peters, Board Member, Angel Capital Association; Managing Director, Golden Seeds Fund LP

A. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas

12:40 p.m. Lunch Break

2:00 p.m. Breakout Groups Assemble to Develop Recommendations

Exempt Securities Offerings Breakout Group

Moderator:

Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida

Secondary Market Liquidity for Securities of Small Businesses Breakout Group

Moderators:

Michael L. Zuppone, Partner, Paul Hastings, New York, New York

Accredited Investor Breakout Group

Moderators:

Deborah S. Froling, Partner, Arent Fox LLP, Washington, D.C.

Disclosure Effectiveness for Smaller Reporting Companies Breakout Group

Moderators:

Thomas J. Kim, Partner, Sidley Austin LLP, Washington, D.C.

3:15 p.m. Break

3:30 p.m. Breakout Group Develop Recommendations (continued)

5:00 p.m. Plenary Session to Develop Next Steps

Moderators:

Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida

5:30 p.m. Networking Reception at Nearby Restaurant

 

* One or more SEC Commissioners may participate in this discussion.

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