Skip to main content    

Company Filings

U.S. Securities and Exchange Commission

                        -  About                            -  Careers 
                          -  Commissioners 
                          -  Contact 
                          -  Reports and Publications 
                          -  Securities Laws 
                          -  Mission 
                          -  Commission Votes 
                        -  Divisions & Offices                            -  Corporation Finance 
                          -  Enforcement 
                          -  Investment Management 
                          -  Economic and Risk Analysis 
                          -  Trading and Markets 
                          -  Office of Administrative Law Judges 
                          -  Examinations 
                        -  Enforcement                            -  Litigation Releases 
                          -  Administrative Proceedings 
                          -  Opinions and Adjudicatory Orders 
                          -  Accounting and Auditing 
                          -  Trading Suspensions 
                          -  How Investigations Work 
                          -  Receiverships 
                          -  Information for Harmed Investors 
                        -  Regulation                            -  Rulemaking Activity 
                          -  Proposed Rules 
                          -  Final Rules 
                          -  Interim Final Temporary Rules 
                          -  Other Orders and Notices 
                          -  Self-Regulatory Organizations 
                          -  Staff Interpretations 
                        -  Education                            -  Investor Education 
                          -  Glossaries 
                          -  Small Business Capital Raising 
                        -  Filings                            -  EDGAR – Search & Access 
                          -  EDGAR – Information for Filers 
                          -  Company Filing Search 
                          -  How to Search EDGAR 
                          -  Forms List 
                          -  About EDGAR 
                        -  News                            -  Press Releases 
                          -  Speeches and Statements 
                          -  Securities Topics 
                          -  Upcoming Events 
                          -  Webcasts 
                          -  SEC Videos 
                          -  Media Gallery 

                -  U.S. Securities and Exchange Commission                    -  Divisions & Offices 
                  -  Enforcement 
                  -  Regulation 
                  -  Education 
                  -  Filings 
                  -  Newsroom 
                -  Newsroom                    -  Press Releases 
                  -  Testimony 
                -  RSS Feeds                    -  Press Releases 
                  -  Public Statements 
                  -  Speeches 
                  -  Testimony 
                -  Securities Topics 
                -  Cybersecurity 
                -  Enforcement Task Force Focused on Climate and ESG Issues 
                -  Initial Coin Offerings (ICOs) 
                -  Implementation of Dodd-Frank Act 
                -  Market Structure and Data Analysis 
                -  Ombuds 
                -  Regulation Best Interest 
                -  Saving and Investing for Military Personnel 
                -  Teacher Investment Outreach 
                -  Whistleblower Awards 

-  Securities Topics 
-  Cybersecurity 
-  Enforcement Task Force Focused on Climate and ESG Issues 
-  Initial Coin Offerings (ICOs) 
-  Implementation of Dodd-Frank Act 
-  Market Structure and Data Analysis 
-  Ombuds 
-  Regulation Best Interest 
-  Saving and Investing for Military Personnel 
-  Teacher Investment Outreach 
-  Whistleblower Awards 

#  Spotlight on Advisory Committee on Small and Emerging Companies 

***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
                                          - Michael Pieciak
                                          - Joseph Shepard

### 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(11⁄2) Exemption"  	June 11, 2015
                                        - Recommendations Regarding the Accredited Investor Definition  	March 9, 2015
                                        - Previous Recommendations

## News

                                          - SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies Sept. 6, 2017
                                          - SEC Announces Agenda for May 10 Meeting of the Advisory Committee on Small and Emerging Companies May 5, 2017
                                          - SEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies Feb. 8, 2017
                                          - SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7 Dec. 1, 2016
                                          - SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies Sept. 29, 2016

**Archives**

### Organization

----

Charter

Bylaws

Renewal notice

### Meetings

----

### September 13, 2017

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)

### May 10, 2017

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)

### February 15, 2017

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)

**Meeting Archives and Recommendations**

### Public Comments

----

Submit comments

Email: rule-comments@sec.gov

**Read comments**

### Contact

----

Questions? Contact acsecquery@sec.gov.

*Modified: July 24, 2023*

SOCIAL MEDIA1Twitter 2Facebook2Instagram3RSS4YouTube6LinkedIn8Email Updates

## About The SEC

-  Budget & Performance 
-  Careers 
-  Commission Votes 
-  Contact 
-  Contracts 
-  Data Resources 

## Transparency

-  Accessibility & Disability 
-  FOIA 
-  Inspector General 
-  No FEAR Act & EEO Data 
-  Ombuds 
-  Whistleblower Protection 

## Websites

-  Investor.gov 
-  Related Sites 
-  USA.gov 

## Site Information

-  Plain Writing 
-  Privacy & Security 
-  Site Map 

**Return to Top