SEC To Host Meeting of the Advisory Committee on Small and Emerging Companies May 10th


Last Friday, the Securities and Exchange Commission announced the agenda for their May 10th meeting of its Advisory Committee on Small and Emerging Companies.  

The committee will discuss the underwriting of small offerings and will receive updates from SEC staff about the tick size pilot program and from state securities regulators about their latest enforcement report.  The committee also will consider recommendations on secondary market liquidity for Regulation A, Tier 2 securities and the treatment of so-called “finders that assist companies in capital raising activities.

The May 10th meeting will begin at 9:00 a.m. in the multipurpose room at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., and is open to the public.  It will be webcast live on the SEC’s website and archived on the website for later viewing.

The committee provides a formal mechanism for the SEC to receive advice and recommendations on privately held small businesses and publicly traded companies with a market capitalization less than $250 million.

The discussion on Underwriting Small Offerings will begin at 9:30 and will feature presentations from J. Bradford Eichler (Executive Vice President, Head of Investment Banking, Stephens Inc.) and Robert L. Malin (Managing Director, Head of Equity Capital Markets, WR Hambrecht + Co). 

Learn more about the May 10th Meeting of the Advisory Committee on Small and Emerging Companies


Securities and Exchange Commission


Advisory Committee on Small and Emerging Companies


Stephens Inc

WR Hambrecht + Co

underwriting of small offerings

tick size pilot program

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