The SEC has had a busy week. First, the Commission held its first Fintech Forum, as suggested by Commissioner Piwowar, indicating its growing interest in financial technology disruption.
This morning, SEC Chair Mary Jo White testified before the House Financial Services Committee regarding the SEC annual budgetary request. This most likely will be White’s last trip before the Committee as she announced her intent to depart at the end of the Obama Administration.
Today, the SEC has (finally) released its Agenda and list of panelists for the 35th Annual Government Business Forum on Small Business Capital Formation.
The annual gathering, mandated by Dodd-Frank, has usually involved issues surrounding investment crowdfunding and this year is no different. On the list of topics to address is the JOBS Act, exempt securities offers, smaller reporting companies and secondary markets.
Several prominent names in the crowdfunding space will be present including: Doug Ellenoff of EGS, Ryan Feit of SeedInvest, Chris Tyrell of OfferBoard / CFIRA, Anya Covermann of NASAA and more. Of course, SEC Chair White, along with Commissioner’s Piwowar and Stein will make an appearance.
Everything kicks off at the SEC HQ on F Street at 9AM this Thursday, November 17th. The morning sessions will also be live-streamed for those of you interested in watching online. Breakout sessions in the afternoon will be by call-in only.
See the entire agenda below.
Agenda
9:00 a.m.
Call to Order
Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation FinanceIntroductions of Chair and Commissioners
Keith F. Higgins, Director, SEC Division of Corporation FinanceRemarks
Chair Mary Jo White
Commissioner Kara M. Stein
Commissioner Michael S. Piwowar
9:30 a.m.
How Capital Formation Options Are Working for Small Businesses After the Implementation of the JOBS Act
Moderators:
Keith F. Higgins, Director, SEC Division of Corporation Finance
Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance
Panelists:
Anya Coverman, Deputy Director of Policy and Associate General Counsel, North American Securities Administrators Association, Washington, D.C.
Douglas S. Ellenoff, Partner, Ellenoff, Grossman & Schole LLP, New York, New York
Ryan Feit, CEO and Co-Founder, SeedInvest, New York, New York
David N. Feldman, Partner, Duane Morris LLP, New York, New York
Stanley Keller, Of Counsel, Locke Lord LLP, Boston, Massachusetts
Chris Tyrrell, Founder & CEO, OfferBoard Group, Princeton, New Jersey
Jeffrey R. Vetter, Partner, Fenwick & West LLP, Mountain View, California
11:00 a.m.
Break
11:10 a.m.
Breakout Groups Assemble to Develop Recommendations
Exempt Securities Offerings Breakout Group
Moderators:
Douglas S. Ellenoff, Partner, Ellenoff, Grossman & Schole LLP, New York, New York
Beta. Initial Form 1-A only. Target raise is the stated Amount to be Raised, totaled. Compared with the same dates one year earlier.
YTD: Jan 1, 2026 - Oct 17, 2026 vs Jan 1, 2025 - Oct 17, 2025
Share this graph
Number of Filings129Prior 123 +4.9%
Target Raise, Total$3.37BPrior $3.45B -2.2%
This YTD
Year prior
Change
Filings
129
123
+4.9%
Target raise
$3.37B
$3.45B
-2.2%
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the Crowded Media Group
the leading digital news service covering the global Fintech Industry, including digital assets, crowdfunding, tokenization, and other innovations in capital markets. email us@CrowdfundInside
This display counts initial Form 1-A filings only. It does not represent subsequent filings, including Form 1-A/A amendments or Form 1-A POS post-qualification updates filed by the issuer. Amounts are the stated Amount to be Raised on the initial filing, not capital raised and not amounts revised in later filings.
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The SEC has had a busy week. First, the Commission held its first Fintech Forum, as suggested by Commissioner Piwowar, indicating its growing interest in financial technology disruption.
