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U.S. Securities and Exchange Commission

SEC Announces Panelists, Agenda for Small Business Forum


Washington, D.C., Nov. 14, 2008 — The Securities and Exchange Commission today announced the agenda and expected panelists for its November 20 forum on small business capital formation.

The SEC forum will begin at 9 a.m., ET, at its Washington D. C. headquarters, with remarks by SEC Chairman Christopher Cox. The forum will focus on the impact of recent capital market events on small business capital formation in the United States. Topics for discussion will include the current credit crisis, regulatory initiatives to facilitate small business capital formation, and intermediaries assisting small businesses with raising capital and M&A activities.

Pre-registered members of the public may attend the forum without charge. Online registration is available at the SEC forum Web page. The forum also will be webcast from the SEC's Web site.

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U.S. Securities and Exchange Commission
Forum on Small Business Capital Formation

Agenda & Panelists

9 a.m.
Roundtable Panel on Small Business Capital Formation and the Current Credit Crisis


  • Karen Kerrigan, Small Business & Entrepreneurship Council
  • Chad Moutray, Office of Advocacy, U.S. Small Business Administration


  • David A. Bochnowski, Peoples Bank SB, NorthWest Indiana Bancorp
  • Tom W. Burke, Wells Fargo & Company
  • Daniel M. Covitz, Board of Governors of the Federal Reserve System
  • James W. Hammersley, U.S. Small Business Administration
  • Kenneth R. Pelowski, Pinnacle Ventures
  • Edward Pollock, Office of Comptroller of the Currency
  • Andrew J. Sherman, Dickstein Shapiro LLP

11 a.m.
Roundtable Panel on Current Issues in Securities Regulation for Smaller Companies


  • Steven E. Bochner, Wilson Sonsini Goodrich & Rosati
  • Gerald J. Laporte, SEC Office of Small Business Policy


  • David A. Bochnowski, Peoples Bank SB, NorthWest Indiana Bancorp
  • Brian V. Breheny, SEC Division of Corporation Finance
  • Aaron M. Gurewitz, Roth Capital Partners, LLC
  • Kara B. Jenny, Bluefly, Inc.
  • William D. Lutz, SEC 21st Century Disclosure Initiative
  • E. Rogers Novak, Jr., Novak Biddle Venture Partners

2:15 p.m.
Roundtable Panel on Private Placement and M&A Brokers


  • Brian A. Bussey, SEC Division of Trading and Markets
  • Gregory C. Yadley, Shumaker, Loop & Kendrick, LLP


  • Faith Colish, Carter Ledyard & Milburn
  • Denise Voigt Crawford, Texas State Securities Board
  • Kristina A. Fausti, SEC Division of Trading and Markets
  • Shane B. Hansen, Warner Norcross & Judd, LLP
  • Mike Ribet, Focus Capital Advisors
  • Dennis Roberts, The McLean Group



Modified: 11/14/2008