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U.S. Securities and Exchange Commission

Meeting of SEC Advisory Committee on Small and Emerging Companies


SEC San Francisco Regional Office
44 Montgomery Street, Suite 2800
San Francisco, CA 94104


Friday, September 7, 2012

9:00 a.m.

Call to Order/Update from Co-Chairs of Advisory Committee

9:15 a.m.

Presentations and Discussion of Market Structure Issues and Impact on Initial Public Offerings


  • Jay Ritter - Cordell Professor of Finance, Warrington College of Business Administration, University of Florida
  • David Weild -Chairman and CEO, Capital Markets Advisory Partners and Head of the Capital Markets Group of Grant Thornton LLP
  • Edward Kim - Managing Director, Capital Markets Advisory Partners and Managing Director of the Capital Markets Group of Grant Thornton LLP

12:00 p.m.

Lunch/SEC Enforcement Staff Presentation on Compliance Risks Facing Small & Emerging Companies

1:00 p.m.

Presentations and Discussion of Disclosure Rules for Smaller Public Companies


  • Steven E. Bochner, Partner, Wilson Sonsini Goodrich & Rosati
  • Jeff Schwartz, Associate Professor, University of Utah, S.J. Quinney College of Law
  • Robert Bartlett, Professor of Law, UC Berkeley School of Law

3:30 p.m.

Discussion of Next Steps/Closing Comments

4:00 p.m.




Modified: 08/30/2012