SEC Announces Advisory Committee Meeting in San Francisco to Discuss Small Business Issues

August 30, 2012 /

 The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies will hold its next meeting in San Francisco on September 7 to discuss market structure and disclosure rules among other issues affecting smaller companies.

The Advisory Committee was formed last year to provide a formal mechanism for the SEC to receive advice and recommendations on privately-held small businesses and publicly-traded companies with a market capitalization of less than $250 million. More information about the Committee and its members is available at

The Advisory Committee, which typically meets at the SEC’s Washington headquarters, is holding the meeting on the West Coast in order to hear from a different pool of small business representatives and learn more about the issues affecting that region.

The meeting will be held at the SEC’s San Francisco Regional Office located at 44 Montgomery Street, Suite 2800. The event, which will run from 9 a.m. to 4 p.m. Pacific time, is open to the public, but pre-registration is required by September 5 to attend in person.

To attend, send an e-mail to with the subject line of “Register for Advisory Committee Meeting” and provide a name, phone number, and any organizational affiliation.

Or register by phone by calling 202-551-3460 and leaving a name, phone number, and any organizational affiliation in a voice mail message.

All attendees will be required to show a government-issued photo ID to gain entrance.

The meeting will not be webcast on the SEC’s website, but a live audio feed will be available by calling 877-732-6722 and providing the Meeting ID number 1535.

9 a.m. Update from Co-Chairs of Advisory Committee
9:15 a.m. Presentations and Discussion of Market Structure Issues and Impact on IPOs

• Jay Ritter – Cordell Professor of Finance, Warrington College of Business Administration, University of Florida

• David Weild – Chairman and CEO, Capital Markets Advisory Partners

• Edward Kim – Managing Director, Capital Markets Advisory Partners

Noon Lunch and a Presentation by SEC Enforcement Staff on Compliance Risks Facing Small and Emerging Companies
1 p.m. Presentations and Discussion of Disclosure Rules for Smaller Public Companies

• Steven E. Bochner, Partner, Wilson Sonsini Goodrich & Rosati

• Jeff Schwartz, Associate Professor, University of Utah, S.J. Quinney College of Law

• Robert Bartlett, Professor of Law, University of California – Berkeley School of Law

3:30 p.m. Discussion of Next Steps/Closing Comments
4 p.m. Meeting Concludes



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