Washington, D.C., Nov. 12, 2010 – The Securities and Exchange Commission today published the agenda and announced the speakers scheduled to appear at its November 18 forum on small business capital formation.

The SEC forum will begin at 9 a.m., ET, at the Commission’s Washington, D.C., headquarters. It will include remarks by SEC Chairman Mary L. Schapiro and SEC Commissioner Troy A. Paredes. The agenda includes a panel on selected provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to securities regulation and small business. The agenda also includes presentations by private organizations concerned with small business capital formation. The afternoon agenda consists of breakout groups to develop recommendations to facilitate small business capital formation.

Pre-registered members of the public may attend the forum without charge. Online registration is available at the SEC small business forum Web page. The forum also will be webcast live at

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SEC Forum on Small Business Capital Formation

9:00 a.m. Opening Remarks

SEC Commissioner Troy A. Paredes

9:15 a.m. Panel Discussion: Selected Dodd-Frank Act Provisions Relating to Securities Regulation Impacting Small Business


• Meredith B. Cross, Director, SEC Division of Corporation Finance

Topics and Panelists:

• Regulation D Changes: Accredited Investor Standards and “Bad Actor” Disqualification Rules

Gerald J. Laporte, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Alan J. Berkeley, K&L Gates, Washington, D.C.

• “Say-on-Pay” Rules, Stock Exchange Listing Standards for Compensation Committees, and Other Provisions of Dodd-Frank Act Referencing Potential “Scaling” for Smaller Companies

Thomas J. Kim, Chief Counsel, SEC Division of Corporation Finance

Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida

• Smaller Companies and Sarbanes-Oxley Section 404(b), Including Upcoming Section 404(b) Studies

Brian T. Croteau, Deputy Chief Accountant, Professional Practice Group, SEC Office of the Chief Accountant

Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida

• Exemptions of Advisers to Venture Capital Funds and SBICs from Fund Investment Adviser Registration Requirement

Tram N. Nguyen, Attorney-Adviser, Office of Investment Adviser Regulation, SEC Division of Investment Management

Brian T. Borders, Borders Law Group, Washington, D.C.

10:25 a.m. Presentations by Organizations Concerned with Small Business Capital Formation

American Bar Association, Business Law Section

Ann Yvonne Walker, Partner, Wilson, Sonsini Goodrich & Rosati

Angel Capital Association

Marianne Hudson, Executive Director

Biotechnology Industry Organization

Shelly Mui-Lipnik, Director, Emerging Companies & Business Development

Center for Capital Markets Competitiveness, U.S. Chamber of Commerce

David T. Hirschmann, President and CEO

Investment Program Association

Kevin M. Hogan, Executive Director

National Association of Seed and Venture Funds

James A. Jaffe, President and CEO

National Association of Small Business Investment Companies

Brett T. Palmer, President

National Venture Capital Association

Mark G. Heesen, President

Real Estate Investment Securities Association

Deborah S. Froling, Partner, Arent Fox, LLP

Small-& Mid-Cap Companies Committee, Society of Corporate Secretaries & Governance Professionals

Steven H. Shapiro, Co-Chair of the Society’s Small-& Mid-Cap Companies Committee, and General Counsel of Cole Taylor Bank, Chicago, IL

12:15 p.m. Remarks

SEC Chairman Mary L. Schapiro

2:00 p.m. Breakout Groups to Develop Recommendations (with both in-person and call-in participation)

Private Placement and M&A Brokers Breakout Group

Private Securities Offerings Breakout Group

Securities Regulation of Smaller Public Companies Breakout Group

4:45 p.m. Plenary Session

5:30 p.m. Networking Reception

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