Growth Capital Summit Tackles JOBS Act & SEC & Small Business Capital Formation NOV 19, NATIONAL PRESS CLUB

CrowdFunding Beat News Wire ,
A Primer for Professionals and Press Ahead of the SEC’s Government-Business Forum on Small Business Capital Formation

NOVEMBER 19, 2014 2:00-6:30 PM


Join the top legal and regulatory advisers and policy makers in small growth company investment and finance for an afternoon of education and discussion of legislative, regulatory and enforcement issues impacting the emerging growth capital markets.


This year’s SEC small business capital forum will address the most sweeping changes to the emerging growth capital market in 80 years. The input the Commission receives from the market participants attending the forum will help shape those markets for the next 80 years. Coherent and informed engagement by market professionals with the Commission will help ensure the best possible policies are be implemented now to nurture and sustain small company growth – the nation’s engine for innovation and jobs.

Join us for an afternoon of pre-forum briefings on the state of legislation, regulation and policy implementation impacting small business finance so that you can be prepared to fully participate in the next day’s meeting:

  • JOBS Act implementation: Rule proposals on Title II, Title III and Title IV
  • General solicitation of Reg D Rule 506(c) offerings
  • Reg A+ state regulatory pre-emption
  • Accredited investor eligibility recommendations of the SEC Investor Advisory Committee
  • Private secondary markets for small company equity securities
  • Tick size pilot implementation
  • SEC enforcement of Reg M Rule 105, Section 13 and 16 reporting, and use of quantitative analytics in investigations
  • Primary shelf offering expansion and exchange relief of shelf offering limits
  • JOBS Act 2.0: Proposed legislation for revising and improving the small company offerings exemptions of the JOBS Act and related securities laws

JOBS Act: Title II Implementation 2:00-2:45 pmProposed changes to “accredited investor” eligibility and definitions and expected impacts on Reg D offerings; Rule 506(c) offerings and the use of general solicitation in equity crowd finance;  investor verification best practices for Title II funding platforms; open issues relating to the “bad actor” definition;  CFTC limited relief for general solicitation by certain investment funds.

SPEAKERS: David Lynn, Morrison Foerster; Anna Pinedo, Morrison Foerster; DJ Paul, Propellr;Chris Tyrrell, Offerboard

JOBS Act Title III & Title IV 2:50-3:35 pm Portal compensation from Title III crowd offerings; non-accredited investor compliance issues, Form D disclosure proposals; Transactional costs for Title III offerings; Public crowd finance under Reg A+: Qualified purchasers and state pre-emption; Improving liquidity in private secondary markets.

SPEAKERS: Samuel Guzik, Guzik & Associates; Alixe Cormick, Venture Law Corp.; Mark Roderick, Flaster/Greenberg

Challenges for Public Emerging Growth Companies 3:40-4:25 pm Tick size pilot implementation; Microcap Task Force: Reg M Rule 105 and Section 16 reporting sweeps, “algorithmic analysis” in SEC investigations; Primary shelf registration limit expansion; DTC “chill” relief.

SPEAKERS: Ele Klein, Schulte Roth & Zabel; additional TBA.

Special Legislative Update: JOBS Act 2.0 4:30-5:00 pm A special presentation on the state of Congressional efforts to revise and amend the JOBS Act and related laws to improve capital access and formation for small companies.

SPEAKER: David Burton, Senior Fellow in Economic Policy, The Heritage Foundation

Reception 5:00-6:30 pm 


Media or government official? Click here to request a pass.

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