SEC to Hold Small Business Capital Formation Forum on November 19

10/22/2009 SEC Press Release

Washington, D.C., Oct. 22, 2009 — The Securities and Exchange Commission today announced that it will hold its annual forum on small business capital formation on November 19 at its Washington, D.C., headquarters.

The SEC forum will include both roundtable and breakout group sessions that are expected to focus on the economic recovery and the SEC’s “accredited investor” definition for private and limited offerings. The roundtable participants and full agenda for the forum will be announced at a later date and posted on the SEC Web site.

“Since 1982, this annual event has served as an important way for the SEC and its staff to interact with the small business community and exchange ideas about how best to improve small business capital formation,” said Gerry Laporte, Chief of the SEC’s Office of Small Business Policy.

The all-day forum will begin at 9 a.m. ET, and roundtable sessions will be webcast on the SEC’s Web site. During the breakout group sessions in the afternoon, participants will work together to formulate specific policy recommendations. The breakout group sessions will not be webcast, but those who cannot attend in person can still participate through a telephone conference call. Those wishing to participate in a forum breakout group, whether in person or by telephone conference call, need to register onlineby November 16, 2009.

The SEC is looking for suggestions on specific topics to be discussed at the forum and for recommendations to be considered by the forum breakout groups. Suggestions and recommendations can be e-mailed to the SEC’s Office of Small Business Policy at SmallBusiness@sec.gov. Questions about the forum also may be sent to that e-mail address, or call (202) 551-3460 for more information.

SEC Announces Panelists, Agenda for Small Business Forum

SEC Announces Panelists, Agenda for Small Business Forum

FOR IMMEDIATE RELEASE

2008-270

Washington, D.C., Nov. 14, 2008 — The Securities and Exchange Commission today announced the agenda and expected panelists for its November 20 forum on small business capital formation.

The SEC forum will begin at 9 a.m., ET, at its Washington D. C. headquarters, with remarks by SEC Chairman Christopher Cox. The forum will focus on the impact of recent capital market events on small business capital formation in the United States. Topics for discussion will include the current credit crisis, regulatory initiatives to facilitate small business capital formation, and intermediaries assisting small businesses with raising capital and M&A activities.

Pre-registered members of the public may attend the forum without charge. Online registration is available at the SEC forum Web page. The forum also will be webcast from the SEC’s Web site.

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U.S. Securities and Exchange Commission
Forum on Small Business Capital Formation

Agenda & Panelists

9 a.m.
Roundtable Panel on Small Business Capital Formation and the Current Credit Crisis

Moderators:

  • Karen Kerrigan, Small Business & Entrepreneurship Council
  • Chad Moutray, Office of Advocacy, U.S. Small Business Administration

Panelists:

  • David A. Bochnowski, Peoples Bank SB, NorthWest Indiana Bancorp
  • Tom W. Burke, Wells Fargo & Company
  • Daniel M. Covitz, Board of Governors of the Federal Reserve System
  • James W. Hammersley, U.S. Small Business Administration
  • Kenneth R. Pelowski, Pinnacle Ventures
  • Edward Pollock, Office of Comptroller of the Currency
  • Andrew J. Sherman, Dickstein Shapiro LLP

11 a.m.
Roundtable Panel on Current Issues in Securities Regulation for Smaller Companies

Moderators:

  • Steven E. Bochner, Wilson Sonsini Goodrich & Rosati
  • Gerald J. Laporte, SEC Office of Small Business Policy

Panelists:

  • David A. Bochnowski, Peoples Bank SB, NorthWest Indiana Bancorp
  • Brian V. Breheny, SEC Division of Corporation Finance
  • Aaron M. Gurewitz, Roth Capital Partners, LLC
  • Kara B. Jenny, Bluefly, Inc.
  • William D. Lutz, SEC 21st Century Disclosure Initiative
  • E. Rogers Novak, Jr., Novak Biddle Venture Partners

2:15 p.m.
Roundtable Panel on Private Placement and M&A Brokers

Moderators:

  • Brian A. Bussey, SEC Division of Trading and Markets
  • Gregory C. Yadley, Shumaker, Loop & Kendrick, LLP

Panelists:

  • Faith Colish, Carter Ledyard & Milburn
  • Denise Voight Crawford, Texas State Securities Board
  • Kristina A. Fausti, SEC Division of Trading and Markets
  • Shane B. Hansen, Warner Norcross & Judd, LLP
  • Mike Ribet, Focus Capital Advisors
  • Dennis Roberts, The McLean Group

http://www.sec.gov/news/press/2008/2008-270.htm