SEC Publishes Agenda for Upcoming Government-Business Forum on Small Business Capital Formation

December 7, 2018 @ 12:34 pm By JD Alois

The Securities and Exchange Commission (SEC) has just published the agenda for the 2018 Government-Business Forum on Small Business Capital Formation. An annual event, this year’s Forum will take place in the Heartland of Ohio hosted by Ohio State University, Max M. Fisher College of Business. The event, which is open to the public, is scheduled to take place on December 12th in Columbus.

As in past years, all of the SEC Commissioners will participate and providing opening remarks on the importance of small busines and access to capital.

Following the morning panel discussions, attendees will work in groups to formulate specific policy recommendations. These breakout groups will tackle issues related to small business capital formation, including exempt securities offerings and smaller registered offerings.

The entire proceedings will be live streamed on the SEC website if you cannot make it to Ohio.

Individuals who have pre-registered by December 11th may participate in person.

The Forum will be held in the Fawcett Center on the campus of The Ohio State University at 2400 Olentangy River Rd. in Columbus.

Agenda

9:00 a.m.	Call to Order Jennifer A. Zepralka, Chief, Office of Small Business Policy, SEC Division of Corporation Finance Opening Remarks Anil K. Makhija, Dean and John W. Berry, Sr. Chair in Business, The Ohio State University Max M. Fisher College of Business Introductions of Chairman and Commissioners William H. Hinman, Director, SEC Division of Corporation Finance Remarks Chairman Jay Clayton Commissioner Robert J. Jackson, Jr. Commissioner Hester M. Peirce Commissioner Elad L. Roisman
9:45 a.m.	How Capital Formation Options Are Working for Small Businesses, Such As Those in the Midwest Moderators: William H. Hinman, Director, SEC Division of Corporation Finance Jennifer A. Zepralka, Chief, Office of Small Business Policy, SEC Division of Corporation Finance Panelists: Wayne Embree, Executive Vice President, Investments & Venture Acceleration, Rev1Ventures, Columbus, Ohio Peter Harten, Operations Manager, GoSun, Inc., Cleveland, Ohio Catherine V. Mott, CEO, BlueTree Capital Group, Wexford, Pennsylvania Eve Picker, Founder & CEO, SmallChange, Pittsburgh, Pennsylvania Michael S. Pieciak, President of the North American Securities Administrators Association and Commissioner, Vermont Department of Financial Regulation, Montpelier, Vermont Jason Plourde, Partner, Grant Thornton, Chicago, Illinois Aaron Seamon, Partner, Squire Patton Boggs, Columbus, Ohio Scott Shane, Mixon Professor of Entrepreneurial Studies at Case Western Reserve University and Managing Director of Comeback Capital, Cleveland, Ohio
11:15 a.m.	Break
11:25 a.m.	Diversity and Capital Formation Moderator: John Moses, Deputy Director, SEC Office of Minority and Women Inclusion Panelists: Brandon Andrew, Co-Founder, Gauge, Washington, DC Falon Donahue, CEO, VentureOhio, Columbus, Ohio Candice Matthews, CEO, Hillman Accelerator, Cincinnati, Ohio Kim Tapia, Founder, Polanko Group, Columbus, Ohio
12:30 p.m.	Working Lunch: Breakout Groups Assemble to Develop Recommendations Exempt Securities Offerings Moderators: Catherine V. Mott, CEO, BlueTree Capital Group, Wexford, Pennsylvania Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, L.L.P., Tampa, Florida Smaller Registered and Regulation A Securities Offerings Moderators: Mark Elenowitz, Founder and CEO, TriPoint Global Equities, New York, New York Thomas A. Stewart, Executive Director, National Center for the Middle Market, Max M. Fisher College of Business, Columbus, Ohio
2:00 p.m.	Break (with opportunity to change breakout groups)
2:10 p.m.	Breakout Groups Assemble to Develop Recommendations
3:30 p.m.	Break to reconvene for Plenary Session
3:45 p.m.	Plenary Session to Develop Next Steps
4:30 p.m.	Networking Reception

Reg A - Form 1-A Filings Beta

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 25, 2026 vs Jan 1, 2025 - Oct 25, 2025

Number of Filings131Prior 126 +4.0%

Target Raise, Total$3.40BPrior $3.54B -3.9%

	This YTD	Year prior	Change
Filings	131	126	+4.0%
Target raise	$3.40B	$3.54B	-3.9%

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Source: DisclosureQuest. Initial Form 1-A only.

Created by Crowded Media Group

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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