University of Texas at Austin
McCombs School of Business McCombs School of Business

SEC Announces Agenda and Panelists for 36th Annual Small Business Forum

The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business Capital Formation.

The Nov. 30 event will begin at 9 a.m. central standard time (10 a.m. eastern standard time) with opening remarks from the SEC Chairman and Commissioners followed by a morning panel discussion that will explore how capital formation options are working for small businesses.  Panelists will include representatives of Texas-based small businesses and advisors to the small business community.

Following the morning panel discussion, 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 Herb Kelleher Center for Entrepreneurship, Growth, and Renewal at the McCombs School of Business at The University of Texas at Austin.  It will be held in the AT&T Executive Education and Conference Center on the campus of The University of Texas at Austin at 1900 University Avenue.  The forum will be open to the public and the opening remarks and morning panel discussion 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 Nov. 27, 2017.  More information, including forum materials, will be made available on the small business forum webpage.

To register, visit the SEC website.

AGENDA

9:00 a.m.

Call to Order
Sebestian Gomez Abero, chief, Office of Small Business Policy, SEC Division of Corporation Finance

Opening Remarks
Jay Hartzell, dean, McCombs School of Business, The University of Texas at Austin

Introductions of Chairman and Commissioners
William H. Hinman, director, SEC Division of Corporation Finance

Remarks

  • Chairman Jay Clayton
  • Commissioner Kara M. Stein
  • Commissioner Michael S. Piwowar
 9:30 a.m.

How Capital Formation Options Are Working for Small Businesses, Including Small Businesses in Texas

Moderators:

  • William H. Hinman, director, SEC Division of Corporation Finance
  • Sebastian Gomez, chief, Office of Small Business Policy, SEC Division of Corporation Finance

Panelists:

  • Mark Elenowitz, founder and CEO, TriPoint Global Equities
  • Jan Goetgeluk, CEO, Virtuix
  • Antonio Madrid, co-founder, The Native
  • Catherine V. Mott, CEO, Blue Tree Capital Group
  • Michael S. Pieciak, commissioner, Vermont Department of Financial Regulation
  • Annemarie Tierney, vice president and head of strategy and new markets, NASDAQ Private Market
  • Paul R. Tobias, partner, Vinsion & Elkins, L.L.P
 11:00 a.m. Break
 11:10 a.m.

Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offering (including Micro-Offerings)
  • Smaller Registered and Regulation of Securities Offerings
 12:30 p.m. Lunch Break
 2:00 p.m.

Breakout Groups Assemble to Develop Recommendations

 3:30 p.m. Break
 3:45 p.m.

Plenary Session to Develop Next Steps

 4:30 p.m. Networking Reception