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Nov. 7, 2012

2012 SEC Government-Business Forum on Small Business Capital Formation

9:00 a.m. Call to Order
  • Gerald J. Laporte, Chief of Office of Small Business Policy in SEC Division of Corporation Finance

Introductions of Chairman and Commissioners

  • Meredith B. Cross, Director of SEC Division of Corporation Finance


  • Chairman Mary L. Schapiro
  • Commissioner Elisse B. Walter
  • Commissioner Luis A. Aguilar
  • Commissioner Troy A. Paredes
  • Commissioner Daniel M. Gallagher
9:50 a.m. Panel Discussion: JOBS Act Implementation

Moderators: Meredith Cross and Gregory C. Yadley, Partner at Shumaker, Loop & Kendrick LLP in Tampa, Fla.


  • William Beatty, Director of Securities at Washington State Department of Financial Institutions
  • Jean Peters, Board Member at Angel Capital Association and Managing Director at Golden Seeds Fund LP
  • Sara Hanks, Co-Founder and CEO at CrowdCheck in Alexandria, Va.
  • Michael Lempres, Assistant General Counsel and Practice Head at Silicon Valley Bank in Palo Alto, Calif.
11:10 a.m. Break
11:20 a.m.

Panel Discussion: Small Business Capital Formation Issues Not Addressed by the JOBS Act

Moderators: Meredith Cross and Marty Dunn, Partner at O’Melveny & Myers LLP in Washington, D.C.


  • Professor Robert Bartlett, University of California, Berkeley School of Law
  • John Borer, Head of Investment Banking at The Benchmark Company LLC in New York
  • Ann Yvonne Walker, Partner at Wilson Sonsini Goodrich & Rosati in Palo Alto, Calif.
12:30 p.m. Lunch Break
2:00 p.m.

Breakout Groups Meetings to Develop Recommendations

  • Exempt Securities Offerings Breakout Group
    Moderator: Gregory Yadley
  • Crowdfunding Breakout Group
    Moderators: Vincent Molinari, Co-Founder and Chairman of GATE Technologies LLC in New York, and Sara Hanks
  • Securities Regulation of Smaller Public Companies Breakout Group
    Moderator: Spencer G. Feldman, Partner at Greenberg Traurig in New York


3:15 p.m. Break
3:30 p.m. Breakout Group Meetings Continued
5:00 p.m. Plenary Session to Develop Next Steps
Moderators: Gerald Laporte and Gregory Yadley
5:30 p.m. Networking Reception
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