The SEC Small Business Capital Formation Advisory Committee was established by the SEC Small Business Advocate Act of 2016, and is designed to provide a formal mechanism for the Commission to receive advice and recommendations on Commission rules, regulations and policy matters relating to small businesses, including smaller public companies.
Committee Members
- Robert Fox
National Managing Partner, Professional Standards Group, Grant Thornton LLP; Chicago, IL - Carla Garrett
Corporate Partner, Potomac Law Group PLLC; Washington, DC - Stephen Graham
Co-Chair, Fenwick & West LLP’s Life Sciences Practice; Seattle, WA - Sara Hanks
CEO and Co-Founder, CrowdCheck, Inc.; Alexandria, VA - Youngro Lee
CEO and Co-Founder, NextSeed; Houston, TX - Brian Levey
Chief Business Affairs and Legal Officer, Upwork Inc.; Mountain View, CA - Terry McNew
President and CEO, MasterCraft Boat Holdings; Vonore, TN - Sapna Mehta
General Counsel & Chief Compliance Officer, Rise of the Rest Seed Fund; Associate General Counsel, Revolution; Washington, DC - Karen Mills
President, MMP Group, Inc.; Boston, MA
- Catherine Mott
Founder and CEO of BlueTree Capital Group, BlueTree Allied Angels, and BlueTree Venture Fund; Pittsburgh, PA - Poorvi Patodia
CEO and Founder, Biena Snacks; Allston, MA - Jason Seats
Chief Investment Officer, Techstars; Austin, TX - Jeffrey M. Solomon
Chief Executive Officer, Cowen, Inc.; New York, NY - Hank Torbert
President, AltaMax, LLC; New Orleans, LA - Gregory Yadley
Partner, Shumaker, Loop & Kendrick, LLP; Tampa, FL
Committee members will also include the SEC’s Advocate for Small Business Capital Formation, Martha Legg Miller, and three non-voting members appointed by each of the SEC’s Investor Advocate, the North American Securities Administrators Association, and the Small Business Administration. The Committee will also have an observer appointed by the Financial Industry Regulatory Authority.
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Recommendations
8.13.2019 Recommendations on Rule 3-05 and Accelerated Filer Definition
News
SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee
July 9, 2019
SEC Announces Members of Small Business Capital Formation Advisory Committee
May 6, 2019
Meetings
August 13, 2019
Press Release
Meeting Notice
Agenda
Presentation: Matt Swartz - Middle Market M&A: Proposed Changes to Reg S-X Rule 3-05
Presentation: Bill Korn - Comments on Proposal to Amend Rules 3-05 and 8-04
Presentation: Proposed Amendments to the Accelerated Filer and Large Accelerated Filer Definitions Proposing Release
Presentation: Charles Crain
Presentation: Mike Raab - Small Public Biotechs and Costs of Compliance with SarbanesOxley Section 404(b)
Webcast Archive
Transcript of Meeting
May 6, 2019
Webcast ArchiveMeeting Notice
Agenda
Sunshine Act Notice
Transcript of Meeting (PDF) (text version)
Organization
Information on Former Advisory Committee on Small and Emerging Companies
The Small Business Capital Formation Advisory Committee replaces the Advisory Committee on Small and Emerging Companies, whose term expired in 2017.