SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum

December 7, 2018/US SEC

The Securities and Exchange Commission today announced the agenda and panelists for the 2018 Government-Business Forum on Small Business Capital Formation.

The December 12 event will begin at 9 a.m. ET with opening remarks from the SEC Chairman and Commissioners followed by two morning panel discussions.  The first panel will explore how capital formation options are working for small businesses, such as those in the Midwest.  The second panel will focus on diversity and capital formation.  Panelists will include Midwest-based representatives of small businesses, investors and advisors to the small business community.

Following the morning panel discussions, attendees will work in groups to formulate specific policy recommendations.  These breakout groups will develop recommendations on a variety of issues related to small business capital formation, including exempt securities offerings and smaller registered offerings.

As the Commission previously announced, this year’s annual small business forum is being hosted in partnership with the National Center for the Middle Market at The Ohio State University Max M. Fisher College of Business.  It will be held in the Fawcett Center on the campus of The Ohio State University at 2400 Olentangy River Rd. in Columbus.  The forum will be open to the public, and the opening remarks and morning panel discussions will be webcast live at www.sec.gov.  The webcast will not include the breakout group sessions, but those sessions will be open to the public and accessible by phone to anyone who pre-registers online by December 11, 2018.  More information, including forum materials, will be made available on the small business forum webpage.

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2018 SEC Government-Business Forum on Small Business Capital Formation
The Fawcett Center
The Ohio State University
2400 Olentangy River Rd.
Columbus, OH 43210
Dec.12, 2018


Agenda

9:00 a.m. Call to Order

Jennifer A. Zepralka, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Opening Remarks

Anil K. Makhija, Dean and John W. Berry, Sr. Chair in Business, The Ohio State University Max M. Fisher College of Business

Introductions of Chairman and Commissioners

William H. Hinman, Director, SEC Division of Corporation Finance

Remarks

  • Chairman Jay Clayton
  • Commissioner Robert J. Jackson, Jr.
  • Commissioner Hester M. Peirce
  • Commissioner Elad L. Roisman
9:45 a.m. How Capital Formation Options Are Working for Small Businesses, Such As Those in the Midwest

Moderators:

  • William H. Hinman, Director, SEC Division of Corporation Finance
  • Jennifer A. Zepralka, Chief, Office of Small Business Policy, SEC Division of Corporation Finance

Panelists:

  • Wayne Embree, Executive Vice President, Investments & Venture Acceleration, Rev1Ventures, Columbus, Ohio
  • Peter Harten, Operations Manager, GoSun, Inc., Cleveland, Ohio
  • Catherine V. Mott, CEO, BlueTree Capital Group, Wexford, Pennsylvania
  • Eve Picker, Founder & CEO, SmallChange, Pittsburgh, Pennsylvania
  • Michael S. Pieciak, President of the North American Securities Administrators Association and Commissioner, Vermont Department of Financial Regulation, Montpelier, Vermont
  • Jason Plourde, Partner, Grant Thornton, Chicago, Illinois
  • Aaron Seamon, Partner, Squire Patton Boggs, Columbus, Ohio
  • Scott Shane, Mixon Professor of Entrepreneurial Studies at Case Western Reserve University and Managing Director of Comeback Capital, Cleveland, Ohio
11:15 a.m. Break
11:25 a.m. Diversity and Capital Formation

Moderator:

  • John Moses, Deputy Director, SEC Office of Minority and Women Inclusion

Panelists:

  • Brandon Andrew, Co-Founder, Gauge, Washington, DC
  • Falon Donahue, CEO, VentureOhio, Columbus, Ohio
  • Candice Matthews, CEO, Hillman Accelerator, Cincinnati, Ohio
  • Kim Tapia, Founder, Polanko Group, Columbus, Ohio
12:30 p.m. Working Lunch: Breakout Groups Assemble to Develop Recommendations

Exempt Securities Offerings

Moderators:

  • Catherine V. Mott, CEO, BlueTree Capital Group, Wexford, Pennsylvania
  • Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, L.L.P., Tampa, Florida

Smaller Registered and Regulation A Securities Offerings

Moderators:

  • Mark Elenowitz, Founder and CEO, TriPoint Global Equities, New York, New York
  • Thomas A. Stewart, Executive Director, National Center for the Middle Market, Max M. Fisher College of Business, Columbus, Ohio
2:00 p.m. Break (with opportunity to change breakout groups)
2:10 p.m. Breakout Groups Assemble to Develop Recommendations
3:30 p.m. Break to reconvene for Plenary Session
3:45 p.m. Plenary Session to Develop Next Steps
4:30 p.m.

Networking Reception

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