Growth Capital Summit 2015 Program to Focus on Recent SEC and Congressional Actions to Increase Access to Capital

Recent legislation by Congress and rulemaking by the Securities and Exchange Commission aimed at freeing up capital for emerging growth companies lead the list of topics to be discussed by market experts at the Growth Capital Summit 2015, on November 18, 2015 at the National Press Club in Washington.

SEC GovSmBizForum 2014The Summit is an annual event for legal advisers and policy makers in emerging growth company investment and finance – a day of education and discussion of legislative, regulatory and enforcement issues impacting the emerging growth capital markets. The day-long meeting immediately precedes the annual SEC Government- Business Forum Small Business Capital Formation, providing attendees the opportunity to explore issues of specific relevance to small high-growth companies with the top legal and policy experts in emerging growth capital market.

This year’s program will focus on the issues surrounding the implementation of the JOBS Act initiatives for spurring capital formation by young companies, including the implementation of JOBS Act Title I and II, online Reg D placements and Reg A+ offerings, microcap enforcement actions and task force investigations, and prospects for new legislation and rulemaking in the coming months.

Specific topics of discussion include:

  • JOBS Act implementation: What is the status and impact of rule proposals on Title II, Title III and Title IV?
  • Rule interpretation and enforcement of general solicitation of Reg D Rule 506(c) offerings.
  • Conducting Tier II Reg A+ offerings compliant with state regulatory pre-emption.
  • The SEC review process under Reg A+: Lessons from the early filers.
  • Accredited investor eligibility proposals before the SEC and how they may impact capital formation for small companies.
  • The development of new private secondary markets for Reg A and Reg D securities.
  • Expected impact of the tick size pilot on emerging growth stock trading.
  • SEC enforcement trends impacting microcap and private emerging growth companies, including direct access trading, offshore trading of restricted securities, Section 13 and 16 reporting, the Microcap Task Force, and activist investor “wolf packs”.
  • Status of proposals on primary shelf offering expansion and exchange relief of shelf offering limits.
  • JOBS Act 2.0: Status of legislation for revising and improving the JOBS Act and related securities laws.


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