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Events

Speaking Engagement

2014 SEC Government-Business Forum on Small Business Capital Formation

Thursday, November 20, 2014 - Friday, November 21, 2014
12:00 am London - 12:00 am London

The SEC plans to host its 2014 Government-Business Forum on Small Business Capital Formation on Thursday, November 20, 2014, from 9:00 a.m. to 5:30 p.m., at its headquarters at 100 F Street, N.E., Washington, D.C. 20549. The 2014 Forum will include both morning panel sessions and afternoon breakout groups. The panel sessions will be webcast live on the SEC's home page at

beginning at 9:00 a.m.

Securities and Capital Markets partner Michael Zuppone will be participating in two sessions. Both sessions are also available by webcast.

9:50 am

Secondary Market Liquidity for Securities of Small Businesses

Moderators:Stephen Luparello, Director, SEC Division of Trading and MarketsStanley Keller, Partner, Edwards Wildman Palmer LLP, Boston, Massachusetts

Panelists:Vladimir Ivanov, Financial Economist, SEC Division of Economic and Risk AnalysisMichael L. Zuppone, Partner, Paul Hastings, New York, New YorkR. Cromwell Coulson, President and CEO of OTC Markets Group, Inc.Robert Malin, Vice President of Sales, NASDAQ Private MarketA. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas

2:00 pm

Breakout Groups Assemble to Develop Recommendations

  • Exempt Securities Offerings Breakout GroupModerator:Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick, LLP, Tampa, Florida

  • Secondary Market Liquidity for Securities of Small Businesses Breakout GroupModerators:Michael L. Zuppone, Partner, Paul Hastings, New York, New York

  • Accredited Investor Breakout GroupModerators:Deborah S. Froling, Partner, Arent Fox LLP, Washington, D.C.

  • Disclosure Effectiveness for Smaller Reporting Companies Breakout GroupModerators:Thomas J. Kim, Partner, Sidley Austin LLP, Washington, D.C.