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U.S. Securities and Exchange Commission

SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation


Washington, D.C., Sept. 22, 2006 - The Securities and Exchange Commission announced today the speakers and roundtable panelists for its annual Government-Business Forum on Small Business Capital Formation, to be held on Friday, Sept. 29, 2006, beginning at 9:00 a.m., e.d.t., at its Washington, D.C., headquarters.

SEC Chairman Christopher Cox will open the forum with videotaped opening remarks. The agenda includes two roundtable discussions in the morning. The first roundtable, from 9:15 to 10:45 a.m., will discuss the advantages to smaller public companies of using and filing interactive data with the SEC. The second roundtable, from 11:00 a.m. to 12:30 p.m., will discuss current issues in capital raising techniques for small business, such as the status of the initial public offering (IPO) market and private investment in public equity (PIPE) offerings. The morning roundtables will be open to the public and Webcast at www.sec.gov.

Peter J. Wallison, Resident Fellow at the American Enterprise Institute and former Counsel to President Ronald Reagan, will give the luncheon address. The address will be taped and archived at www.sec.gov.

The afternoon agenda includes sessions for developing recommendations for government and private action to improve the environment for small business capital formation, including a workshop on private placement broker-dealers.

Panelists for the interactive data roundtable will include:

  • Greg D. Adams, Director, Chief Operating Officer and Chief Financial Officer, EDGAR Online, Inc. (Norwalk, Conn.)
  • Brian R. Balbirnie, Chief Executive Officer, My EDGAR, Inc. (Cary, N.C.)
  • Malcolm C. Persen, Chief Financial Officer, Radyne Corporation (Phoenix, Ariz.)
  • R. Christopher Whalen, Senior Vice President and Managing Director, Institutional Risk Analytics (Hawthorne, Calif.)

John W. White, Director of the Commission's Division of Corporation Finance, will moderate the interactive data roundtable.

Panelists for the roundtable on small business capital raising will include:

  • John D. Hogoboom, Member, Lowenstein Sandler PC (Roseland, N.J.)
  • Philip C. Marchal, Director, Equity Capital Markets, BMO Capital Markets (New York, N.Y.)
  • Steven D. Pidgeon, Partner, Snell & Wilmer LLP (Phoenix, Ariz.)
  • Anna T. Pinedo, Partner, Morrison & Foerster LLP (New York, N.Y.)
  • Byron Roth, Chairman and Chief Executive Officer, Roth Capital Partners (Newport Beach, Calif.)

Martin P. Dunn, Deputy Director of the Commission's Division of Corporation Finance, and Marc Morgenstern, Partner in the San Francisco office of Sonnenschein Nash & Rosenthal, will co-moderate the small business capital raising roundtable.

The morning portion of the forum will be held in the auditorium at the Commission's headquarters at 100 F Street, N.E., Washington, D.C. Doors will open at 8:00 a.m. Visitors will be subject to security checks. For planning purposes, members of the public wishing to attend are asked to notify the Commission by sending an e-mail message to the SEC's Office of Small Business Policy at SmallBusiness@sec.gov or a response in writing to the office at 100 F Street, NE, Washington, DC 20549-3628, or by calling the office at (202) 551-3460.

The SEC has posted the forum agenda on its Web site at http://www.sec.gov/info/smallbus/sbforum.shtml, where on-line registration forms and other information also are available.



Modified: 09/21/2006