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SEC's Small Business Capital Formation Forum Agenda

As we mentioned in our October 28 post, SEC Government-Business Forum on Small Capital Business Formation, the SEC will host its annual Government-Business Forum on Small Business Capital Formation on Thursday, November 19, 2009, from 9:00AM to 5:30PM, at its Washington, DC headquarters located at 100 F Street, NE.  The Commission has released an agenda for this event via its website.

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

Opening Remarks by SEC Chairman Mary L. Schapiro

9:15 a.m. Panel Discussion: The State of Small Business Capital Formation*

Gerald J. Laporte, Chief, Office of Small Business Policy,
SEC Division of Corporation Finance

Chad Moutray, Ph.D., Chief Economist & Director of Economic Research, Office of Advocacy, U.S. Small Business Administration, Washington, D.C.


Todd Flemming, President and Chief Executive Officer, Infrasafe, Orlando, Florida, and Member of Executive Advisory Board, Small Business and Entrepreneurship Council, Oakton, Virginia

Andrew J. Sherman, Partner, M&A Department, Jones Day, Washington, D.C. and Adjunct Professor of Business and Capital Formation Strategy, Smith School of Business, University of Maryland

Barry E. Silbert, Founder and Chief Executive Officer, SecondMarket, New York, New York

Eric R. Zarnikow, Associate Administrator, Office of Capital Access, U.S. Small Business Administration, Washington, D.C.

Additional panelists to be announced.

10:45 a.m.     Break

11:00 a.m.     Remarks by Small Business Liaison Commissioner:  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 FinanceGerald J. Laporte, Chief, Office of Small Business Policy, SEC Division of Corporation Finance


Prof. Rutheford B. Campbell, Jr., University of Kentucky College of LawProf. 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

12:45 p.m.     Lunch Break

2:00 p.m.     Reassembly to Divide into Breakout Groups to Develop Recommendations

* Private Placement and M&A Brokers Breakout Group
* Private Securities Offerings Breakout Group
* Securities Regulation of Smaller Public Companies Breakout Group
* Tax Breakout Group

3:30 p.m.     Break

3:45 p.m.     Continuation of Breakout Group Discussions

4:45 p.m.     Plenary Session to Develop Next Steps


Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida
5:30 p.m.

Networking Reception at B. Smith's Restaurant in Union Station

* One or more SEC Commissioners may participate in these panel discussions

Registrants for the evnt may attend the forum in person, or participate via webcast from a link on the SEC’s webpage,,
or by calling in via telephone conference.  The breakout groups will not be webcast.  To participate in the individual breakout discussions, attendance is not required, but those sessions will not be webcast, and telephone participation is available to those who pre-register.  A day or so before the Forum, the SEC will e-mail a call-in telephone number and access code to registrants who have indicated they plan to participate in an afternoon breakout group by telephone conference call.  Online registration is available at: