SEC Publishes Agenda for May 10th ACSEC Meeting

The Securities and Exchange Commission (SEC) has published the agenda for the May 10 meeting of its Advisory Committee on Small and Emerging Companies (ACSEC).

At this meeting, ACSEC will discuss the underwriting of small offerings and will receive updates from SEC staff about the tick size pilot program and from state securities regulators about their latest enforcement report.

Additionally, ACSEC will consider recommendations on secondary market liquidity for Regulation A, Tier 2 securities and the treatment of so-called “finders” that assist companies in capital raising activities.

The May 10 meeting will begin at 9:00 AM at SEC HQ at 100 F Street, N.E., Washington, D.C. The meeting is open to the public but will also be webcast live on the SEC’s website.





9:00 a.m. Co-Chairs Call Meeting to Order

Introductory Remarks by Commissioners

9:30 a.m. Underwriting Small Offerings

  • Presentation
    • Robert L. Malin, Managing Director, Head of Equity Capital Markets, WR Hambrecht + Co
  • Committee Discussion
11:15 a.m. Update on Tick Size Pilot Program from Staff in the SEC’s Division of Trading and Markets and Division of Economic and Risk Analysis
12:00 p.m. Lunch Break
1:30 p.m. North American Securities Administrators Association (NASAA) Presentation on its 2016 Enforcement Report
2:15 p.m. Consideration of Draft Recommendations on Secondary Market Liquidity and Broker-Dealer Status of Finders
3:00 p.m. Adjournment
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