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SEC Government-Business Forum on Small Business Capital Formation – Austin

November 30

Government-Business Forum on Small Business Capital Formation

The SEC hosts an annual forum that focuses on the capital formation concerns of small business. Called the “SEC Government-Business Forum on Small Business Capital Formation,” this gathering has assembled annually since 1982, as mandated by the Small Business Investment Incentive Act of 1980. A major purpose of the Forum is to provide a platform to highlight perceived unnecessary impediments to small business capital formation and address whether they can be eliminated or reduced. Each forum seeks to develop recommendations for government and private action to improve the environment for small business capital formation, consistent with other public policy goals, including investor protection. Participants in the Forum typically have included small business executives, venture capitalists, government officials, trade association representatives, lawyers, accountants, academics and small business advocates. In recent years, the format of the Forum typically has emphasized small interactive breakout groups developing recommendations for governmental action.

2017 Forum — The SEC will partner with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal at the McCombs School of Business at The University of Texas at Austin to host the SEC’s annual Government-Business Forum on Small Business Capital Formation on Thursday, November 30, 2017. The one-day forum will begin at 9 a.m. Central Time and will be open to the public. It will be held at the AT&T Executive Education and Conference Center on the campus of The University of Texas at Austin at 1900 University Avenue.

The 2017 Forum will include a morning panel followed by breakout groups. The panel discussion will explore how capital formation options are working for small businesses, including small businesses in Texas. Information on the panel participants, the full agenda and further details on this year’s Forum will be posted here as they become finalized. Opening remarks and the morning panel discussion will be webcast live on the SEC’s home page at www.SEC.gov beginning at 9:00 a.m. Central Time and archived. The breakout groups, in which participants will work to formulate specific policy recommendations, will follow the panel discussion and will not be webcast, but will be accessible by telephone conference call to pre-registered members of the public not in attendance.

Members of the public may attend the Forum in person without charge, but are asked to pre-register online. Anyone wishing to participate in a breakout group, either in person or by teleconference, must register online by November 27, 2017. Before the Forum, we will e-mail a call-in telephone number and access code to everyone registered to participate in a breakout group.  You also may use the online registration form to let the SEC staff know you are interested in having your name on the mailing list for future Forums.

2017 SEC Government-Business Forum on Small Business Capital Formation

In partnership with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal at the McCombs School of Business at The University of Texas at Austin
November 30, 2017

NOTE: Times are indicated for Austin, Texas, in the Central Time Zone.

Agenda

9:00 a.m. Call to Order
Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Opening Remarks
Jay Hartzell, Dean, McCombs School of Business, The University of Texas at Austin

Introductions of Chair and Commissioners
William H. Hinman, Director, SEC Division of Corporation Finance

Remarks

  • SEC Chairman Jay Clayton
  • SEC Commissioner Kara M. Stein
  • SEC Commissioner Michael S. Piwowar
9:30 a.m. How Capital Formation Options Are Working for Small Businesses, Including Small Businesses in Texas

Moderators:

  • William H. Hinman, Director, SEC Division of Corporation Finance
  • Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Panelists:

  • Mark Elenowitz, Founder and CEO, TriPoint Global Equities
  • Jan Goetgeluk, CEO, Virtuix
  • Youngro Lee, CEO, NextSeed
  • Antonio Madrid, Co-Founder, The Native
  • Catherine V. Mott, CEO, BlueTree Capital Group
  • Michael S. Pieciak, Commissioner, Vermont Department of Financial Regulation
  • Annemarie Tierney, Vice President and Head of Strategy and New Markets, NASDAQ Private Market
  • Paul R. Tobias, Partner, Vinson & Elkins, L.L.P.
11:00 a.m. Break
11:10 a.m. Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offerings (including Micro-Offerings) Moderator:
    Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, L.L.P.
  • Smaller Registered and Regulation A Securities Offerings Moderator:
    Paul R. Tobias, Partner, Vinson & Elkins, L.L.P.
12:30 pm. Lunch Break
2:00 p.m. Breakout Groups Assemble to Develop Recommendations
3:30 p.m. Break
3:45 p.m. Plenary Session to Develop Next Steps

Moderators:

  • Paul R. Tobias, Partner, Vinson & Elkins, L.L.P.
  • Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, L.L.P.
4:30 p.m. Networking Reception at Nearby Restaurant

Details

Date:
November 30
Website:
https://www.sec.gov/forms/registration-sbf

Organizer

Securities and Exchange Commission
Website:
https://www.sec.gov/