Advisory Committee on Small and Emerging Companies
July 16, 2024
Note: This page has been archived and is no longer being updated. It may include obsolete or out-of-date information.
Committee Members
- Stephen M. Graham, Co-Chair
- Sara Hanks, Co-Chair
- Robert Aguilar
- Xavier Gutierrez
- Brian Hahn
- Jenny Kassan
- Catherine V. Mott
- Jonathan Nelson
- Patrick Reardon
- Lisa Shimkat
- Annemarie Tierney
- J.W. Verret
- Gregory C. Yadley
- Laura Yamanaka
Non-voting members
Final Report of the SEC Advisory Committee on Small and Emerging Companies (September 2017)
Recommendations of the Advisory Committee on Small and Emerging Companies
- Recommendation Regarding Securities Act Rule 701 | September 21, 2017
- Recommendation Regarding the Regulation of Finders and other Intermediaries in Small Business Capital Formation | May 15, 2017
- Recommendations Regarding Secondary Market Liquidity for Regulation A Securities | May 15, 2017
- Recommendation Regarding Corporate Board Diversity | February 16, 2017
- Recommendations Regarding the Accredited Investor Definition | July 20, 2016
- Recommendations Regarding the Regulation of Finders and Other Intermediaries in Small Business Capital Formation Transactions | September 23, 2015
- Recommendations about Expanding Simplified Disclosure for Smaller Issuers | September 23, 2015
- Recommendation to Modernize Rule 147 under the Securities Act of 1933 | September 23, 2015
- Recommendation Regarding the "4(1½) Exemption" | June 11, 2015
- Recommendations Regarding the Accredited Investor Definition | March 9, 2015
Meetings
- Meeting Notice
- Agenda
- Sunshine Act Notice
- Minutes
- Presentation: William J. Newell, Sutro Biopharma -SOX 404(b): Costs of Compliance and Proposed Reforms
- Presentation: Leonard L. Combs of PwC - SOX 404(b)
- Presentation: Christine McCarthy and Steve Miller: Rule 701
- Discussion Draft of ACSEC Final Report
- Webcast Archive
- Transcript of Meeting (PDF) (text version)
- Meeting Notice
- Agenda
- Sunshine Act Notice
- Minutes
- Presentation: J. Bradford Eichler - Why Have We Seen a Slowdown in IPOS and What Could Drive an Increase?
- Presentation: Robert L. Malin
- Finders - Draft Recommendation
- Secondary Market Liquidity in Reg A - Draft Recommendation
- Webcast Archive Part 1, Part 2
- Transcript of Meeting (PDF) (text version)
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Minutes
- Presentation: Glen Giovannetti - EY - Why are more companies staying private?
- Presentation: James Hutchinson - Goodwin - Why are more companies staying private?
- Handout from Patrick Reardon – Comparison of Public vs. Private Companies
- DRAFT Recommendation on Corporate Board Diversity
- Webcast Archive Part 1, Part 2
- Transcript of Meeting (PDF) (text version)
Public Comments
Last Reviewed or Updated: July 16, 2024