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SEC Releases Report and Recommendations on the 39th Annual Small Business Forum

September 16th | 2020



The SEC recently submitted a report to Congress on the 39th Annual Small Business Forum. The Forum is a unique event where members of the public and private sectors gather to craft suggestions for policy impacting emerging businesses and their investors, from startups to smaller public companies. The 2020 Forum report is also available for download online. The Forum was centered around improving the framework around exempt offerings and issues having the most impact on capital raising.


The top five exempt offering topics that garnered the most attention from the participants included: accredited investor, crowdfunding, retail access to pooled investment funds, micro offerings and secondary liquidity. The top five capital raising topics included: secondary liquidity, quarterly reporting, proxy process, scaled disclosure, and depositing securities.


The report also covers the Commission’s efforts in these areas. In fact, the report notes several areas where the Commissions’ Division of Corporate Finance and Division of Trading and Markets have already undertaken research efforts and sets forth new areas raised by Forum that those divisions will consider in the future. The Forum and its report read like a very productive collaboration between the financial community and its regulators to address the pain points in the current regime.

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