December 12, 2018
Columbus, Ohio

Discussion and Panelist Materials*

Materials for Morning Panel “How Capital Formation Options Are Working for Small Businesses, such as those in the Midwest”

• “Final Report of the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies,” September 2017, submitted by Catherine V. Mott, CEO, BlueTree Capital Group, and former member of the SEC Advisory Committee on Small and Emerging Companies
• “Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings, 2009-2017,” Aug. 1, 2018, by Scott Bauguess, Rachita Gullapalli and Vladimir Ivanov, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission.

* The views and statements contained in these materials are the authors' alone and do not necessarily represent the views of the Securities and Exchange Commission, any other government agency or any government department, division or official.