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

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
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