SEC Announces Agenda For Small Business Capital Formation Forum Scheduled For This Week

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 Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida Smaller Reporting Companies Breakout Group Moderators: David N. Feldman, Partner, Duane Morris LLP, New York, New York Bonnie J. Roe, Partner, Cohen & Gresser LLP, New York, New York Secondary Marketplace for Securities of Small Businesses Moderators: Martin A. Hewitt, Attorney At Law, East Brunswick, New Jersey Chris Tyrrell, Founder & CEO, OfferBoard Group, Princeton, New Jersey
12:30 pm.	Lunch Break
2:00 p.m.	Breakout Groups Assemble to Develop Recommendations
3:15 p.m.	Break
3:30 p.m.	Breakout Groups to Develop Recommendations (continued)
4:45 p.m.	Plenary Session to Develop Next Steps Moderators: Anthony G. Barone, Special Counsel, Office of Small Business Policy, SEC Division of Corporation Finance Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
5:30 p.m.