SEC Meetings and Other Events

SEC Government-Business Forum on Small Business Capital Formation

Nov 19, 2015
10:00AM – 1:00PM ET
Add to Calendar 2015-11-19 10:00:00 2015-11-19 13:00:00 111915 SEC Government-Business Forum on Small Business Capital Formation

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 Luis A. Aguilar
Commissioner Michael S. Piwowar

9:30 a.m.

Exempt Offerings — Post JOBS Act Implementation

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:
Vladimir I. Ivanov, Senior Financial Economist, Office of Corporate Finance, SEC Division of Economic and Risk Analysis
Sara Hanks, Co-Founder and CEO at CrowdCheck, Alexandria, Va
Anya Coverman, Deputy Director of Policy, North American Securities Administrators Association
Kevin Laws, Chief Operating Officer, AngelList
Chris Weekes, Managing Director, Capital Markets, Cowen and Co.
Rick A. Fleming, Investor Advocate, SEC Office of the Investor Advocate

11:10 a.m.Break
11:20 a.m.

Introduction of Commissioner Stein
Keith F. Higgins, Director, SEC Division of Corporation Finance

Remarks
Commissioner Kara M. Stein

11:30 a.m.

Registered Offerings — Post JOBS Act Implementation

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:
Spencer G. Feldman, Olshan Frome Wolosky, LLP, New York, New York
William D. Waddill, Senior Vice President and Chief Financial Officer, Calithera Biosciences, Inc.
Prof. Michael D. Guttentag, Loyola Law School, Los Angeles, CA

12:30 p.m.Lunch Break
2:00 p.m.

Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offerings Breakout Group
    Moderator:
    Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
     
  • Smaller Reporting Companies Breakout Group
    Moderator:
    Spencer G. Feldman, Olshan Frome Wolosky, LLP, New York, New York
     
  • Proposed Amendments to Rules 147/504 Breakout Group
    Moderator:
    Sara Hanks, Co-Founder and CEO at CrowdCheck, Alexandria, Va
     
3:15 p.m.Break
3:30 p.m.Breakout Group Develop Recommendations (continued)
5:00 p.m.

Plenary Session to Develop Next Steps
Moderators:
Sebastian Gomez Abero, Chief, 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
\n\n no-reply@sec.gov America/New_York public

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 Luis A. Aguilar
Commissioner Michael S. Piwowar

9:30 a.m.

Exempt Offerings — Post JOBS Act Implementation

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:
Vladimir I. Ivanov, Senior Financial Economist, Office of Corporate Finance, SEC Division of Economic and Risk Analysis
Sara Hanks, Co-Founder and CEO at CrowdCheck, Alexandria, Va
Anya Coverman, Deputy Director of Policy, North American Securities Administrators Association
Kevin Laws, Chief Operating Officer, AngelList
Chris Weekes, Managing Director, Capital Markets, Cowen and Co.
Rick A. Fleming, Investor Advocate, SEC Office of the Investor Advocate

11:10 a.m.Break
11:20 a.m.

Introduction of Commissioner Stein
Keith F. Higgins, Director, SEC Division of Corporation Finance

Remarks
Commissioner Kara M. Stein

11:30 a.m.

Registered Offerings — Post JOBS Act Implementation

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:
Spencer G. Feldman, Olshan Frome Wolosky, LLP, New York, New York
William D. Waddill, Senior Vice President and Chief Financial Officer, Calithera Biosciences, Inc.
Prof. Michael D. Guttentag, Loyola Law School, Los Angeles, CA

12:30 p.m.Lunch Break
2:00 p.m.

Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offerings Breakout Group
    Moderator:
    Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
     
  • Smaller Reporting Companies Breakout Group
    Moderator:
    Spencer G. Feldman, Olshan Frome Wolosky, LLP, New York, New York
     
  • Proposed Amendments to Rules 147/504 Breakout Group
    Moderator:
    Sara Hanks, Co-Founder and CEO at CrowdCheck, Alexandria, Va
     
3:15 p.m.Break
3:30 p.m.Breakout Group Develop Recommendations (continued)
5:00 p.m.

Plenary Session to Develop Next Steps
Moderators:
Sebastian Gomez Abero, Chief, 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

Last Reviewed or Updated: March 3, 2026