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2016 SEC Government-Business Forum on Small Business Capital Formation

July 14, 2017

SEC HeadquartersWashington, D.C.
November 17, 2016

Agenda

9:00 a.m.

Call to Order
Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Introductions of Chair and Commissioners
Keith F. Higgins, Director, SEC Division of Corporation Finance

Remarks

  • Chair Mary Jo White
  • Commissioner Kara M. Stein
  • Commissioner Michael S. Piwowar
9:30 a.m.

How Capital Formation Options Are Working for Small Businesses After the Implementation of the JOBS Act

Moderators:

  • Keith F. Higgins, Director, SEC Division of Corporation Finance
  • Sebastian Gomez Abero, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Panelists:

  • Anya Coverman, Deputy Director of Policy and Associate General Counsel, North American Securities Administrators Association, Washington, D.C.
  • Douglas S. Ellenoff, Partner, Ellenoff, Grossman & Schole LLP, New York, New York
  • Ryan Feit, CEO and Co-Founder, SeedInvest, New York, New York
  • David N. Feldman, Partner, Duane Morris LLP, New York, New York
  • Stanley Keller, Of Counsel, Locke Lord LLP, Boston, Massachusetts
  • Chris Tyrrell, Founder & CEO, OfferBoard Group, Princeton, New Jersey
  • Jeffrey R. Vetter, Partner, Fenwick & West LLP, Mountain View, California
11:00 a.m. Break
11:10 a.m.

Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offerings Breakout Group

    Moderators:

    • Douglas S. Ellenoff, Partner, Ellenoff, Grossman & Schole LLP, New York, New York
    • Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
  • Smaller Reporting Companies Breakout Group

    Moderators:

    • David N. Feldman, Partner, Duane Morris LLP, New York, New York
    • Bonnie J. Roe, Partner, Cohen & Gresser LLP, New York, New York
  • Secondary Marketplace for Securities of Small Businesses

    Moderators:

    • Martin A. Hewitt, Attorney At Law, East Brunswick, New Jersey
    • Chris Tyrrell, Founder & CEO, OfferBoard Group, Princeton, New Jersey
12:30 pm.

Lunch Break

2:00 p.m.

Breakout Groups Assemble to Develop Recommendations

3:15 p.m.

Break

3:30 p.m.

Breakout Groups to Develop Recommendations (continued)

4:45 p.m.

Plenary Session to Develop Next Steps

Moderators:

  • Anthony G. Barone, Special Counsel, Office of Small Business Policy, SEC Division of Corporation Finance
  • Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
5:30 p.m.

Networking Reception at Nearby Restaurant

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