Press Release: SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation
No fraud occurred; the SEC published a press release announcing a 2007 policy forum on small business capital formation featuring industry and regulatory experts discussing regulatory reforms like Regulation D and Rule 144, with no allegations, charges, or financial penalties involved.
The SEC issued a press release on September 19, 2007, announcing its annual Government-Business Forum on Small Business Capital Formation to be held on September 24, 2007. The event featured roundtable discussions on regulatory initiatives including Regulation D, Form D, Rule 144, Form S-3, and the merger of Regulation S-B into Regulation S-K, with panelists from law firms, investment firms, and the SEC itself. No fraudulent activity, financial penalties, or enforcement actions were associated with the event—it was purely a policy dialogue aimed at improving capital access for small businesses.
On September 19, 2007, the Securities and Exchange Commission issued a public press release announcing the agenda and panelists for its 2007 Government-Business Forum on Small Business Capital Formation, scheduled for September 24 in Washington, D.C. The forum included two morning roundtables focused on regulatory improvements for private companies and smaller public companies, covering topics such as Regulation D, Form D, Rule 144, Form S-3, and the consolidation of Regulation S-B into Regulation S-K. Panelists included SEC officials like Director John W. White and Commissioner Paul S. Atkins, alongside industry experts from firms such as Wilson Sonsini, Morrison & Foerster, and Pink Sheets, LLC. The event was open to the public and webcast, with attendees required to register online due to security protocols at SEC headquarters. No allegations of fraud, misconduct, or financial wrongdoing were present in the document or associated with the forum. The sole purpose was to gather stakeholder input to refine securities regulations and enhance capital formation opportunities for small businesses. The outcome was a policy-oriented dialogue, not a legal proceeding, with no charges, fines, or enforcement actions resulting from the event.
Extracted insights
- person anna t. pinedo
- person chairman cox
- person christopher cox
- person first roundtable
- person gerald j. laporte
- person gregory c. yadley
- person john w. white
- person lance r. lange
- person marc h. morgenstern
- person paul s. atkins
- person phil clough
- person r. cromwell coulson
- person roundtable panelists
- person second roundtable
- agency Securities and Exchange Commission
- person securities offerings
- person securities regulation
- person steven e. bochner
- SEC Published Agenda
- SEC Identified Roundtable Panelists
- Christopher Cox Will Open Forum
- John W. White Will Introduce Chairman Cox
- First Roundtable Will Discuss Securities Offerings
- Second Roundtable Will Discuss Securities Regulation
- Paul S. Atkins Will Provide Remarks
- Steven E. Bochner Is Panelist
- Lance R. Lange Is Panelist
- Gerald J. Laporte Is Panelist
- Marc H. Morgenstern Is Co-Moderator
- Gregory C. Yadley Is Panelist
- Phil Clough Is Co-Moderator
- R. Cromwell Coulson Is Panelist
- Gerard P. O'Connor Is Panelist
- Anna T. Pinedo Is Panelist
SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation FOR IMMEDIATE RELEASE 2007-189 Washington, D.C., Sept. 19, 2007 - The Securities and Exchange Commission today published the agenda and identified the roundtable panelists for its annual Government-Business Forum on Small Business Capital Formation, to be held on Monday, Sept. 24, 2007, beginning at 9 a.m. ET, at its Washington, D.C., headquarters. SEC Chairman Christopher Cox will open the forum with introductory remarks. John W. White, Director of the SEC's Division of Corporation Finance, will introduce Chairman Cox. The agenda for the forum includes two roundtable discussions in the morning. The first roundtable, from 9:15 to 10:45 a.m., will discuss securities offerings by private companies, including recent SEC rulemaking initiatives on Regulation D, Form D, and preventing private companies with stock option plans from unintentionally becoming public companies. The second roundtable, from 11 a.m. to 12:30 p.m., will discuss securities regulation of smaller public companies, including recent SEC rulemaking initiatives on Rule 144, Form S-3, and merging Regulation S-B into Regulation S-K. The morning roundtables will be open to the public and Webcast at www.sec.gov. SEC Commissioner Paul S. Atkins will provide remarks at the forum luncheon. The afternoon agenda includes sessions for developing recommendations for government and private action to improve the environment for small business capital formation, including a breakout group on private placement broker-dealers and finders. The panelists for the roundtable on securities offerings by private companies will be: Steven E. Bochner, Partner, Wilson Sonsini Goodrich & Rosati (Palo Alto, Calif.) Lance R. Lange, Director, Robert W. Baird & Co. (Milwaukee, Wisc.) Gerald J. Laporte, Chief, Office of Small Business Policy, SEC Division of Corporation Finance (Washington, D.C.), Co-Moderator Marc H. Morgenstern, Managing Partner, Blue Mesa Partners (San Francisco, Calif.), Co-Moderator Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick LLP (Tampa, Fla.) The panelists for the roundtable on securities regulation of smaller public companies will be: Steven E. Bochner, Partner, Wilson Sonsini Goodrich & Rosati (Palo Alto, Calif.), Co-Moderator Phil Clough, Managing General Partner, ABS Capital Partners (Baltimore, Md.) R. Cromwell Coulson, Chairman and CEO, Pink Sheets, LLC (New York, N.Y.) Gerard P. O'Connor, Partner, Foley Hoag LLP (Boston, Mass.) Anna T. Pinedo, Partner, Morrison & Foerster LLP (New York, N.Y.) John W. White, Director, SEC Division of Corporation Finance (Washington, D.C.), Co-Moderator The morning portion of the forum will be held in the auditorium of the SEC's headquarters at 100 F Street, N.E., Washington, D.C. Doors will open at 8 a.m. Visitors will be subject to security checks. For planning purposes, members of the public wishing to attend must register online at http://www.sec.gov/cgi-bin/registration-form/. More information on the forum is available at the forum Web site at http://www.sec.gov/info/smallbus/sbforum.shtml. http://www.sec.gov/news/press/2007/2007-189.htm Home | Previous Page Modified: 09/19/2007