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SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies


Washington D.C., Sept. 29, 2016 —

The Securities and Exchange Commission today announced the agenda for the October 5 meeting of its Advisory Committee on Small and Emerging Companies.  The committee will discuss Regulation S‑K disclosure requirements, research regarding corporate board diversity, and outreach to smaller companies about capital raising.  It also will receive updates from the Division of Trading and Markets on equity market structure initiatives, a tick-size pilot, and the treatment of so-called “finders” that assist companies in capital raising activities.
The October 5 meeting will begin at 9:30 a.m. in the multipurpose room at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., and is open to the public.  It will be webcast live on the SEC’s website and archived on the website for later viewing. 
The committee provides a formal mechanism for the SEC to receive advice and recommendations on privately held small businesses and publicly traded companies with a market capitalization less than $250 million.
Members of the public who wish to provide their views on the matters to be considered by the committee may submit comments electronically or on paper.  Please submit comments using one method only.  Information that is submitted will become part of the public record of the meeting.
Electronic submissions:

Use the SEC’s Internet submission form or send an e-mail to

Paper submissions:
Send paper submissions to Brent Fields, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090.
All submissions should refer to File Number 265-27, and the file number should be included on the subject line if e-mail is used.
9:30 a.m.
Co-Chairs Call Meeting to Order
Introductory Remarks by Commissioners
10:00 a.m.
Discussion of Regulation S-K Disclosure Requirements
10:45 a.m.
Diversity on Corporate Boards
  • Presentation from The Honorable Cari M. Dominguez, Board Member, National Association of Corporate Directors
  • Committee Discussion
12:30 p.m.
Lunch Break
2:00 p.m.
Remarks by Chair White
Update on Equity Market Structure, Tick Size Pilot, and the Treatment of “Finders”
Stephen Luparello, Director, Division of Trading and Markets
2:45 p.m.
Committee Discussion on Outreach to Smaller Companies about Capital Raising


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