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U.S. Securities and Exchange Commission

SEC Announces Agenda and Panelists for Small Business Forum


Washington, D.C., Nov. 13, 2009 — The Securities and Exchange Commission today announced the agenda, speakers and panelists for its November 19 forum on small business capital formation.

The SEC forum will begin at 9 a.m., ET, at its Washington, D.C., headquarters, with opening remarks by SEC Chairman Mary L. Schapiro. SEC Commissioner Troy A. Paredes also will deliver remarks. The forum panels, to be held in the morning, will focus on the state of small business capital formation and the SEC's "accredited investor" definition. In the afternoon, forum breakout groups will develop recommendations to facilitate small business capital formation.

Pre-registered members of the public may attend the forum without charge. Online registration is available at the SEC small business forum Web page. The forum also will be webcast live at www.sec.gov.

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

9:00 a.m.

Opening Remarks
SEC Chairman Mary L. Schapiro

9:15 a.m.

Panel Discussion: The State of Small Business Capital Formation


  • Gerald J. Laporte, Chief, SEC Office of Small Business Policy
  • Chad Moutray, Chief Economist, Office of Advocacy, U.S. Small Business Administration


  • Todd Flemming, Infrasafe, and Small Business and Entrepreneurship Council
  • Anna T. Pinedo, Morrison & Foerster
  • Andrew J. Sherman, Jones Day, and Adjunct Professor, Smith School of Business, University of Maryland
  • Barry E. Silbert, SecondMarket
  • Eric R. Zarnikow, Office of Capital Access, U.S. Small Business Administration
11:00 a.m.

Remarks by SEC Commissioner Troy A. Paredes

11:15 a.m.

Panel Discussion: Academic Perspectives on the SEC's "Accredited Investor" Definition


  • Meredith B. Cross, Director, SEC Division of Corporation Finance
  • Gerald J. Laporte, Chief, SEC Office of Small Business Policy


  • Prof. Rutheford B. Campbell, Jr., University of Kentucky College of Law
  • Prof. Jill E. Fisch, University of Pennsylvania Law School
  • Prof. Donald C. Langevoort, Georgetown University Law Center
  • Prof. William K. Sjostrom, James E. Rogers College of Law, University of Arizona
2:00 p.m.

Breakout Groups to Develop Recommendations
(Both in-person and call-in participation offered)

  • Private Placement and M&A Brokers Breakout Group
  • Private Securities Offerings Breakout Group
  • Securities Regulation of Smaller Public Companies Breakout Group
  • Tax Breakout Group
4:45 p.m.

Plenary Session

5:30 p.m.

Networking Reception



Modified: 11/13/2009