SEC ACSEC Meeting Agenda for October 5th

ACSEC Sarah Hanks and Stephen GrahamThe Securities and Exchange Commission (SEC) has announced the agenda for the Advisory Committee on Small and Emerging Companies (ACSEC) meeting scheduled for October 5th. The Committee will be reviewing regulation S‑K disclosure requirements, research regarding corporate board diversity, and outreach to smaller companies about capital raising.

ACSEC also will receive updates from the Division of Trading and Markets on equity market structure initiatives, a tick-size pilot, and the treatment of so-called “finders” that assist companies in capital raising activities.

ACSEC is a “formal mechanism” for the SEC to receive advice and recommendations on privately held small businesses and publicly traded companies with a market capitalization less than $250 million.  The meeting on October 5th is being held at SEC Headquartes and is open to the public. Proceedings will also be live streamed on the SEC website beginning at 9:30AM.

The complete ACSEC agenda is below.


9:30 a.m.
Co-Chairs Call Meeting to Order
Introductory Remarks by Commissioners
10:00 a.m.
Discussion of Regulation S-K Disclosure Requirements
10:45 a.m.
Diversity on Corporate Boards
  • Presentation from The Honorable Cari M. Dominguez, Board Member, National Association of Corporate Directors
  • Committee Discussion
12:30 p.m.
Lunch Break
2:00 p.m.
Remarks by Chair White
Update on Equity Market Structure, Tick Size Pilot, and the Treatment of “Finders”
Stephen Luparello, Director, Division of Trading and Markets
2:45 p.m.
Committee Discussion on Outreach to Smaller Companies about Capital Raising
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