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SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies


Washington D.C., Sept. 6, 2017 —

The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and Emerging Companies.  The committee will discuss the Sarbanes-Oxley Act auditor attestation requirement and explore whether updates are needed to Securities Act Rule 701, which many companies use to provide stock and option awards.  The committee also will vote on a final report that would be issued before the committee’s charter expires on September 24.

The September 13 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

10:00 a.m.

Auditor Attestation Report under Section 404(b) of the Sarbanes-Oxley Act

  • Presentations
    • William J. Newell, Chief Executive Officer, Sutro Biopharma Inc.
    • Leonard L. Combs, PwC, U.S. Chief Auditor

  • Committee Discussion

11:30 a.m.

Final Report of the Advisory Committee to the Commission

  • Discussion and Vote on Adoption

12:30 p.m.

Lunch Break

2:00 p.m.

Awards Pursuant to Written Compensatory Benefits Plans - Should Securities Act Rule 701 Be Updated?

  • Presentation
    • Christine McCarthy, Partner, Compensation & Benefits, Technology Companies Group, Orrick
    • Steve Miller, Chief Financial Officer, Warby Parker

  • Committee Discussion

3:30 p.m.



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