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 www.sec.gov.
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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
Moderator:
• 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
