The Securities and Exchange Commission today announced the panelists and final agenda for a public roundtable on microcap securities to be held next week.
The October 17 roundtable, announced last month, is being sponsored by the SEC’s Microcap Fraud Working Group and will feature three panels discussing key regulatory issues, including anti-money laundering monitoring, compliance challenges, and potential changes to the microcap regulatory framework.
The event will begin at 1 p.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters, with public seating on a first-come, first-served basis. The event also can be viewed by live webcast, and will be archived on the website for later viewing.
Members of the public who wish to provide their views on the matters to be considered at the roundtable discussion may submit comments through one of the following methods:
Electronic Comments
Use the SEC’s Internet comment form or send an e-mail to rule-comments@sec.gov and include File Number 4-639 on the subject line.
Paper Comments
Send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090, and refer to File Number 4-639.
Any comments submitted in connection with the roundtable will be made available to the public.
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Agenda and Panelists
1:00 p.m. |
Call to Order and Opening Remarks: Chairman Mary Schapiro and Robert Khuzami, Director of the Division of Enforcement |
1:15 p.m. |
Panel 1 — Compliance Challenges Associated with Microcap Securities Moderator: Peter Curley, Associate Director, Division of Trading and Markets. Panelists:
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2:15 p.m. |
Break |
2:30 p.m. |
Panel 2 — Anti-Money Laundering Monitoring Moderator: Sarah Green, Bank Secrecy Act Specialist for the Office of Market Intelligence Panelists:
|
3:30 p.m. |
Break |
3:45 p.m. |
Panel 3: Potential Changes to the Regulatory Framework Concerning Microcap Securities Moderator: John Polise, Associate Director, Office of Compliance, Inspections and Examinations. Panelists:
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4:45 p.m. |
Concluding Remarks (John Polise) |
5:00 p.m. |
End |