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2011 SEC Government-Business Forum on Small Business Capital Formation
SEC Headquarters
Washington, D.C.
November 17, 2011
Agenda
| 9:00 a.m.
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Call to Order
Gerald J. Laporte, Chief, Office of Small Business Policy, SEC Division of Corporation Finance
Introduction of Chairman
Meredith B. Cross, Director, SEC Division of Corporation Finance
Opening Remarks
SEC Chairman Mary L. Schapiro
Introduction of Commissioner
Meredith B. Cross, Director, SEC Division of Corporation Finance
Remarks
SEC Commissioner Luis A. Aguilar
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| 9:30 a.m.
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Panel Discussion: Current Capital Formation Issues for Private Companies*
Moderators:
Stephen M. Graham, Partner, Fenwick & West, LLP, Seattle, Washington
Lona Nallengara, Deputy Director, SEC Division of Corporation Finance,
Panelists:
A. Heath Abshure, Arkansas Securities Commissioner
Prof. C. Steven Bradford, University of Nebraska-Lincoln College of Law
Yoichiro (Yokum) Taku, Partner, Wilson Sonsini Goodrich & Rosati, Palo Alto, California
Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
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| 10:30 a.m
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Introduction of Commissioner
Meredith B. Cross, Director, SEC Division of Corporation Finance
Remarks
SEC Commissioner Elisse B. Walter
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10:45 a.m.
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Break
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| 11:00 a.m.
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Introduction of Commissioner
Meredith B. Cross, Director, SEC Division of Corporation Finance
Remarks
SEC Commissioner Daniel M. Gallagher
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| 11:15 a.m.
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Panel Discussion: Initial Public Offerings and Securities Regulation Involving Smaller Public Companies*
Moderators:
Meredith B. Cross, Director, SEC Division of Corporation Finance
Stephen M. Graham, Partner, Fenwick & West, LLP, Seattle, Washington
Panelists:
Prof. John C. Coffee, Jr., Columbia University Law School, New York, New York
Kathleen Weiss Hanley, Deputy Director and Deputy Chief Economist SEC Division of Risk, Strategy, and Financial Innovation
John D. Hogoboom, Partner, Lowenstein Sandler, PC, Roseland, New Jersey
David Weild, Senior Advisor, Capital Markets, Grant Thornton, LLP, and Chairman and CEO, Capital Markets Advisory Partners, New York, New York
Gregory L. Wright, Chief Executive Officer, ThinkEquity, LLC
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| 12:45 p.m.
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Introduction of Commissioner
Meredith B. Cross, Director, SEC Division of Corporation Finance
Remarks
SEC Commissioner Troy A. Paredes
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| 1:00 p.m
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Lunch Break
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2 p.m.
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Breakout Groups to Develop Recommendations
(Meet in Multipurpose Room (L-006) for Room Assignments)
- Non-Public and Limited Offerings Breakout Group (including Private Placement Broker-Dealer Issues)
Moderator:
Brian T. Borders, Borders Law Group, Washington, D.C.
- Securities Regulation of Smaller Public Companies Breakout Group
Moderator:
Ann Yvonne Walker, Partner, Wilson Sonsini Goodrich & Rosati, Palo Alto, California
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3:15 p.m.
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Break
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3:30 p.m.
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Breakout Groups to Develop Recommendations (continued)
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| 4:30 p.m.
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Plenary Session to Develop Next Steps
(Meet in Multipurpose Room (L-006))
Moderators:
Gerald J. Laporte, Chief, Office of Small Business Policy, SEC Division of Corporation Finance
Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
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| 5 p.m.
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Networking Reception at Nearby Restaurant
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* One or more SEC Commissioners may participate in this discussion.
http://www.sec.gov/info/smallbus/sbforum111711-agenda.htm
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