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SEC Government Business Forum on Small Business Capital Formation

November 20, 2014 @ 9:00 am - 5:30 pm EST

The SEC plans to conduct the annual SEC Government-Business Forum on Small Business Capital Formation on Thursday, November 20, 2014, at the SEC’s headquarters in Washington, D.C.  We expect the Forum program to start at 9:00 a.m. and conclude with a networking opportunity at a neighboring location beginning at 5:30 p.m.

Registration required.

 

2014 SEC Government-Business Forum on Small Business Capital Formation

SEC Headquarters
Washington, D.C.
November 20, 2014

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 Finance

Remarks
Chair Mary Jo White
Commissioner Luis A. Aguilar
Commissioner Daniel M. Gallagher
Commissioner Kara M. Stein
Commissioner  Michael S. Piwowar

9:50 a.m. Secondary Market Liquidity for Securities of Small Businesses*Moderators:
Stephen Luparello, Director, SEC Division of Trading and Markets
Stanley Keller, Partner, Edwards Wildman Palmer LLP, Boston, MassachusettsPanelists:
Vladimir Ivanov, Financial Economist, SEC Division of Economic and Risk Analysis
Michael L. Zuppone, Partner, Paul Hastings, New York, New York
R. Cromwell Coulson, President and CEO of OTC Markets Group, Inc.
Robert Malin, Vice President of Sales, NASDAQ Private Market
A. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas

 

11:10 a.m. Break
11:20 a.m. Should the Commission Revise the Accredited Investor Definition?*Moderators:
Keith F. Higgins, Director, SEC Division of Corporation Finance
Stanley Keller, Partner, Edwards Wildman Palmer LLP, Boston, Massachusetts

Panelists:
Rachita Gullapalli, Financial Economist, SEC Division of Economic and Risk Analysis
Prof. Donald C. Langevoort, Georgetown University Law Center, Washington, D.C.
Jean Peters, Board Member, Angel Capital Association; Managing Director, Golden Seeds Fund LP
A. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas

12:40 p.m. Lunch Break
2:00 p.m. Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offerings Breakout Group
    Moderator:
    Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
  • Secondary Market Liquidity for Securities of Small Businesses Breakout Group
    Moderators:
    Michael L. Zuppone, Partner, Paul Hastings, New York, New York
  • Accredited Investor Breakout Group
    Moderators:
    Deborah S. Froling, Partner, Arent Fox LLP, Washington, D.C.
  • Disclosure Effectiveness for Smaller Reporting Companies Breakout Group 
    Moderators:
    Thomas J. Kim, Partner, Sidley Austin LLP, Washington, D.C.
3:15 p.m. Break
3:30 p.m. Breakout Group Develop Recommendations (continued)
5:00 p.m. Plenary Session to Develop Next Steps
Moderators:
Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance
Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
5:30 p.m. Networking Reception at Nearby Restaurant

* One or more SEC Commissioners may participate in this discussion.

Details

Date:
November 20, 2014
Time:
9:00 am - 5:30 pm
Event Tags:

Venue

SEC Headquarters
100 F Street, NE
Washington, DC, 20549 United States
+ Google Map
Phone:
(202) 551-3460
Website:
http://www.sec.gov/info/smallbus/sbforum.shtml

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