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Small Business Advocacy Office Events
Jan. 4, 2024
The SEC’s Office of the Advocate for Small Business Capital Formation engages with small businesses and their investors from around the country to hear their perspectives on issues facing the small business ecosystem.
If you would like to engage with us or have ideas for events, email the Office at Smallbusiness@sec.gov or call 202.551.5407.
Have you attended one of our events?
Submit a brief feedback survey to let us know how we did!
Upcoming Events
SEC’s 43rd Annual Small Business Forum – April 16 - 18, 2024
The Small Business Advocacy Team is charged by Congress with leading the SEC’s annual Government-Business Forum on Small Business Capital Formation, where members of the public and private sectors gather to provide feedback to improve capital-raising policy.
Event Details
Date: April 16-18, 2024
Time: 1:00pm – 2:30pm
Register
The Forum will take place over three virtual sessions, featuring speakers with in-depth knowledge of the issues facing small businesses across the country, highlighting the following topics:
- Tues, Apr. 16: Amplifying Early-Stage Stories
- Wed, Apr. 17: Opening the Dialogue on Investing
- Thu, Apr. 18: Catching up with Small Caps
Capital-Raising Policy Recommendations
The Forum provides an opportunity for participants to submit capital-raising policy recommendations and then vote to prioritize the submissions during the event. A report with the prioritized recommendations will be delivered to Congress after the Forum.
We invite you to submit policy ideas in advance using our submission portal by close of business April 12th.
Additional information about the 2024 Forum is available and will continue to be updated on the Forum Website. Questions? Please email us at SmallBusiness@sec.govEvent Spotlight
2024 Capital Call Covering our 2023 Annual Report
Our Office hosted our fifth annual Capital Call to discuss recent trends in capital raising from startup to small cap and our 2023 annual report to Congress and the Commission. Our team highlighted how and where capital is being raised and the unique challenges faced by women and diverse entrepreneurs, our Office’s work in supporting small businesses and their investors, and the recommendations we shared with Congress and the Commission.
Past Events
Explore highlights, recordings, and other information from our previous events and engagements with small businesses and their investors.
2024
|
Title |
Date |
Description |
|---|---|---|
| American Bar Association Business Law Section Spring Meeting | April 4-6, 2024 |
On April 4th, our Office’s Stacey Bowers joined a panel at the American Bar Association’s Business Law Section’s Spring Meeting on “Advancing Underserved Entrepreneurs: How Lawyers Can Get Involved” to introduce the Office and share resources for securities practitioners representing pro-bono clients seeking to raise capital. |
| University of Central Florida Discussion and Tour | April 4, 2024 |
Our Office’s Stacey Bowers and Courtney Haseley visited the University of Central Florida’s Research Park Incubator for a discussion with program director Carol Ann Dykes Logue and a tour of resident small businesses to hear how UCF’s Business Incubation Program supports entrepreneurs, innovation, and economic development in the greater Orlando region. |
| National Entrepreneur Center Discussion and Tour | April 4, 2024 |
Our Office’s Stacey Bowers and Courtney Haseley joined Belinda Ortiz Kirkegard, President of the National Entrepreneur Center, for a conversation to learn how the NEC and its numerous co-located entrepreneurial organizations and community sponsors collaborate to empower local small business owners, including underrepresented entrepreneurs, through education, resources, and support. |
| Association of Women’s Business Centers Meeting | March 6, 2024 |
Our Office's Stacey Bowers and Julie Davis joined a strategic planning meeting of the Board and leadership committees of the Association of Women’s Business Centers to share our resources and data on the state of capital raising for women-owned businesses, and to hear their experiences and needs as they serve women entrepreneurs across the country. |
| University of Denver Sturm College of Law - Securities Law class | March 4, 2024 |
Our Director, Stacey Bowers, spoke with law students at University of Denver Sturm College of Law to discuss our Office’s mission, our educational resources, and upcoming events. |
| National Entrepreneurship Week |
February 15, 2024 |
Our Office’s Amy Reischauer joined other federal agencies in hosting office hour sessions in celebration of National Entrepreneurship Week. We provided information about our advocacy work, discussed capital raising and shared tools to empower entrepreneurs. View event recording |
| Incubate. Accelerate. Ignite. Supporting Startups and Founders |
February 6, 2024 |
Our Office hosted a virtual discussion featuring experienced leaders from Entrepreneurial Support Organizations. We were joined by Gordon Daugherty, Co-Founder & Chairman at Capital Factory, Nikki Johnson, Program Director at gener8tor, and Melissa Vincent, Executive Director at Pipeline Entrepreneurs, to explore the roles these incubatorsand accelerators play in supporting startups and founders. View event recording |
|
Capital Call |
January 30, 2024 |
Our Office hosted our fifth annual Capital Call to discuss recent capital-raising trends from startup to small cap and our 2023 annual report to Congress and the Commission. Our team highlighted how and where capital is being raised and the unique challenges faced by women and diverse entrepreneurs, our Office’s work in supporting small businesses and their investors, and the recommendations we shared with Congress and the Commission. View event recording |
2023
|
Title |
Date |
Description |
|---|---|---|
| Black Ambition: Financial Workshop for Entrepreneurs | November 16, 2023 | Our Office’s Julie Davis joined the SEC Office of Investor Education and Advocacy and the Office of Minority and Women Inclusion at a workshop for Black and Hispanic entrepreneurs hosted by Black Ambition where they shared information and resources on funding a small business and long-term financial planning for founders. |
|
Site Visit with ARMI |
October 12, 2023 |
Our Office's Julie Davis and Kim Dinwoodie joined New Hampshire’s Small Business Development Center for a meeting and tour of the Advanced Regenerative Manufacturing Institute (ARMI) to learn about the exciting technology and biomedical research startups in Manchester’s “Regen Valley.” |
|
Lightship Capital Workflow |
October 11, 2023 |
Our Office’s Amy Reischauer and the SEC’s Office of Investor Education and Advocacy joined Lightship Capital for a virtual session of their Workflow Wednesday series to discuss factors to consider as individuals, investors, and small business owners embark on their investment and capital-raising journeys. |
|
From Idea to Investment: Capital Strategies for Vermont Entrepreneurs |
October 11, 2023 |
Our Office’s Julie Davis joined Vermont State Treasurer Mike Pieciak and a panel of local experts to discuss pathways for Vermont's small businesses and startups to access capital. |
| Discussion at VCET | October 11, 2023 | Our Office’s Julie Davis and Kim Dinwoodie visited Burlington’s nonprofit VCET for a discussion with VCET Vice President Sam Roach-Gerber and founders of local technology companies to hear about their experiences as entrepreneurs growing startups in Vermont. |
| Roundtable hosted by the Vermont State Treasurer | October 11, 2023 | Our Office’s Julie Davis and Kim Dinwoodie joined a roundtable gathering at HULA, a coworking campus, business incubator, and VC fund in Burlington, VT. The discussion included perspectives on small business capital raising from VT state officials and participants across Vermont’s vibrant entrepreneurial scene. |
| Women of Color and Capital Conference | September 29, 2023 | Our Office’s Amy Reischauer joined a discussion at the 2023 Women of Color and Capital Conference on the experiences of women of color as fund managers and investors and their role in creating an ecosystem of opportunities for small businesses. |
| North Dakota Women’s Business Center: Women-Owned Wednesdays | September 6, 2023 | Our Office’s Courtney Haseley and Julie Davis joined the North Dakota Women’s Business Center for a virtual lunchtime conversation with North Dakota women entrepreneurs and investors to introduce the office and share our educational resources for navigating the capital-raising process. |
| Capital Raising Readiness | August 9, 2023 | Our Office’s Julie Davis joined the Nasdaq Entrepreneurial Center for a discussion about capital raising pathways and educational resources to help prepare early-stage entrepreneurs to raise capital. |
| UNM–Taos HIVE: Intro to Investing, Building Wealth, and Empowering Entrepreneurs | August 3–4, 2023 | Our Office’s Jenny Riegel joined the SEC's Office of Investor Education and Advocacy for a discussion with small business owners and investors in Taos, New Mexico. Highlights for our Office included an overview of early-stage funding options and resources for entrepreneurs. |
| Transact Global, Discussion with Women Emerging Fund Managers | June 26, 2023 | Our Office’s Julie Davis joined Transact Global, a community of diverse women fund managers, for a discussion to share SEC resources, answer questions related to the securities laws, and hear feedback on issues faced by these diverse emerging fund managers. |
| SEC International Institute: Creating a Framework to Raise Capital | June 20, 2023 | Our Office’s Amy Reischauer joined Jennifer Zepralka, Chief of the SEC’s Division of Corporation Finance Office of Small Business Policy at the SEC’s Office of International Affairs’ 2023 International Institute for a virtual session focused on the challenges and rewards for small-to-medium enterprises seeking to raise capital from investors. The discussion highlighted the SEC’s regulatory approach in this space, as well as several educational resources developed to support smaller businesses and their investors. |
| U.S. Minority Business Development Agency Access Summit | June 13, 2023 | Our Office’s Julie Davis joined this summit hosted by the U.S. Minority Business Development Agency for a discussion on federal government resources and programs that support minority-owned small businesses. |
| American Bar Association Business Law Section Spring Meeting – April 27 – 29, 2023 | April 27 – 29, 2023 | Our Office’s Amy Reischauer joined a panel at the American Bar Association’s Business Law Section’s Spring Meeting on Helping Clients Choose the “Right” Adventure to introduce the Office and share resources for securities practitioners representing clients seeking to raise capital. |
| SO. Ambitious HBCU Tour 2023, Atlanta University Center | April 21-23, 2023 | Our Office’s Amy Reischauer joined the SO. Ambitious Tour, presented by Black Ambition, Techstars & the Thurgood Marshall College Fund, in Atlanta, GA to discuss the Office’s mission and focus and share capital-raising resources with students and entrepreneurs. |
| U.S. Department of Energy Phase II SBIR/STTR Awardee Workshop | March 28, 2023 | Our Office’s John Cavanagh and Amy Reischauer joined the U.S. Department of Energy’s Phase II SBIR/STTR Awardee Workshop – Preparing to Pitch to share resources for entrepreneurs considering raising capital from investors. |
| Miami-Dade County Mayor’s Office’s Morning Huddle | February 17, 2023 | Our Office’s Courtney Haseley and Amy Reischauer joined the Miami-Dade Mayor’s Office for the Morning Huddle, a weekly virtual conversation with small business owners, to our educational resources for navigating the capital raising process, including a special focus on information related to regulation crowdfunding. |
| National Entrepreneurship Week, Federal Agency Office Hours | February 15, 2023 | Our office’s John Cavanagh and Amy Reischauer hosted office hours during National Entrepreneurship Week 2023 to provide information about our advocacy work and answer questions live from participants. |
| SBA Ecosystem Innovation Network | January 26, 2023 | Our Office’s John Cavanagh joined the SBA Innovation Ecosystem Network for their monthly webinar series to demo our capital raising tools and resources. |
| Capital Call | January 24, 2023 |
Our Office hosted the fourth annual Capital Call to discuss recent trends in capital raising from startup to small cap and our 2022 annual report to Congress and the Commission. Our team highlighted how and where capital is being raised and the unique challenges faced by underrepresented businesses, our Office’s work in supporting small businesses and their investors, and the recommendations we shared with Congress and the Commission. View a PDF of the presentation materials |
| From Formation to Exit - Capital Formation for Startups | January 10, 2023 | Our Office’s Jenny Riegel met with students at Georgetown Law School to discuss capital raising from investors, how to navigate regulatory pathways, and our office's educational resources for helping breakdown capital raising options. |
2022
|
Title |
Date |
Description |
|---|---|---|
|
DAV Patriot Boot Camp Caffeine Connect: Raising Capital from Investors |
November 17, 2022 |
Our Office’s Courtney Haseley and Amy Reischauer joined DAV Patriot Boot Camp for a Caffeine Connect webinar on raising capital from investors where they shared several SEC tools and resources available to empower veteran and military spouse entrepreneurs to navigate capital raising pathways. |
|
Policies and Resources Impacting Startup Investment |
October 24, 2022 |
Our Office’s Jenny Riegel joined Engine for a startup policy seminar exploring challenges faced by founders, the role policymakers can play in improving access to capital, and how small businesses and their investors can engage in the process to ensure their voices are heard. View a PDF of the presentation materials. |
|
A Conversation with Georgetown Law Students |
October 18, 2022 |
Our Office’s Sebastian Gomez Abero met with students of Georgetown Law to discuss Regulation A and other regulatory pathways to raise capital and to highlight resources to help navigate securities laws. |
|
Women of Capital and Color Conference |
October 14, 2022 |
Our Office’s Amy Reischauer joined a panel at the Women of Color and Capital Conference to discuss strategies and resources for women of color as they seek to build and scale their businesses. |
|
Latinx Venture Capitalists and Entrepreneurs: The State of the Playing Field - Hispanic Heritage Month Event |
October 5, 2022 |
In celebration of Hispanic Heritage Month, the SEC’s San Francisco Regional Office and Office of the Advocate for Small Business Capital Formation hosted a panel discussion featuring Latinx VCs and entrepreneurs. The discussion highlighted challenges faced and successes achieved by the Latinx community within the capital raising ecosystem. |
|
VC Include Fellowship Session: Raising Capital from Investors |
October 4, 2022 |
The Division of Investment Management’s Robert Holowka and our Office’s Jenny Riegel joined VC Include’s 2022 Fellows for a discussion of the SEC regulatory pathways available to start and manage a fund, including capital-raising options for emerging fund managers. View a PDF of the presentation materials. |
|
The Anatomy of Raising Capital |
September 22, 2022 |
Our Office’s Julie Davis and Amy Reischauer joined the DC Small Business Development Center at Howard University for their Financial Literacy, Outreach, and Wealth series to talk about raising capital from investors. The discussion focused on key concepts, funding pathways, and resources available to entrepreneurs who are considering raising capital from investors. A recording of this event will be added to this page as soon as it becomes available. View a PDF of the presentation materials. |
|
How to Plan an Exempt Offering: Private Placement Memos and Practical Strategies for Counsel |
September 21, 2022 |
Our Office’s Amy Reischauer joined a discussion hosted by the American Law Institute about private placements and other exempt offerings – highlighting disclosure requirements, compliance responsibilities, and other practical tips for counsel. View a PDF of the presentation materials. |
|
Raising Capital from Investors: The SEC’s Resources |
September 15, 2022 |
Our Office’s Julie Davis and John Cavanagh joined a workshop hosted by KiwiTech for startups, entrepreneurs, and their investors. The team showcased available tools and resources to help equip small and emerging companies with the information needed to navigate the complexities of capital raising and the regulatory landscape. View a PDF of the presentation materials. |
|
Small Business Majority: Raising Equity Capital: Empowering Women & Minority Entrepreneurs |
August 31, 2022 |
Our office’s Amy Reischauer and Courtney Haseley led a webinar on equity capital raising hosted by Small Business Majority. The team shared data trends on women and minority business owners, including challenges facing entrepreneurs, and demonstrated several SEC tools and resources available to empower business owners to learn more about capital raising pathways. View a PDF of the presentation materials. |
|
BUSINESS POWER EXPO – Resources for Houston Entrepreneurs |
August 27, 2022 |
Our Office’s Julie Davis and John Cavanagh and the Fort Worth Regional Office’s David Peavler joined the University of Houston C.T. Bauer College of Business for a series of discussions on entrepreneurship, capital raising, and the importance of diversity, equity, and inclusion. The discussion highlighted entrepreneurs’ successes and challenges in starting and growing their businesses and accessing funding. |
|
Startup Advocacy Week |
August 16, 2022 |
Our Office’s Sebastian Gomez Abero participated in a roundtable hosted by Engine as part of #StartupAdvocacyWeek where we heard from entrepreneurs across the country about their innovative endeavors and shared resources for small businesses and their investors available on our Capital Raising Hub. |
|
ational Asian American Coalition (NAAC) SPRING Small Business Loan Launch |
May 19, 2022 |
Our Office’s Julie Zelman Davis provided remarks and showcased our capital raising resources at this NAAC event focused on providing support to underserved communities. The gathering convened a variety of small business owners and ecosystem participants. |
|
National Diversity Coalition (NDC) Asian Love Town Hall in Washington, D.C. |
May 5, 2022 |
Our Office’s Sebastian Gomez Abero participated in the Small Business panel featured at NDC’s annual town hall meeting. The discussion highlighted the need to bridge access to educational and legal resources for minority owned small businesses – with specific focus on empowering the AAPI community. |
|
May 4, 2022 |
Our Office’s Jenny Riegel and the Division of Investment Management’s Christine Schleppegrell joined the Department of Treasury and state and tribal representatives for a webinar on the SSBCI program. The discussion outlined a basic framework for how federal securities laws apply to investment capital raising – specifically for SSBCI equity program investments. View a PDF version of the presentation materials. |
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|
May 3, 2022 |
Our Office’s Sebastian Gomez Abero provided the keynote presentation at this annual event celebrating the success of angel investors in Michigan startups and early stage technology based companies. View a PDF version of the presentation materials. |
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|
Dialogue with National Diversity Coalition (NDC) in Washington, D.C. |
May 3, 2022 |
Our Office’s Sebastian Gomez Abero and Julie Zelman Davis, alongside the SEC’s Office of Minority and Women Inclusion, engaged in a dialogue with National Diversity Coalition members to hear about capital-access issues that minority-owned small businesses are facing, with a particular focus on California-based entrepreneurs for whom English is not their primary language. The discussion also provided an opportunity to highlight our Office’s capital raising tools and resources, so that NDC members can share them with their organizations. |
|
University of Missouri-Kansas City (UMKC) Bloch School of Management in Washington, D.C. |
April 27, 2022 |
Our Office’s Amy Reischauer joined Daniel Brown, of the Small Business Administration’s Office of Advocacy for a discussion with students from UMKC's Bloch Executive MBA program on how businesses engage with the SEC and SBA, the impacts of rulemakings, and resources available to startups and their investors. |
|
April 5, 2022 |
Our Small Business Advocate, Martha Legg Miller, moderated a roundtable marking the 10th anniversary of the Jumpstart Our Business Startups (JOBS) Act of 2012. The panel, which included SEC Commissioner Hester Peirce, reflected on the law’s effectiveness in spurring capital formation and looking ahead to how Congress can build on its success. Listen to the audio recording of the event. |
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|
March 30, 2022 |
Our Office's Jenny Choi joined the conversation on barriers faced by historically under financed entrepreneurs and potential strategies for overcoming them. Highlights of the discussion included considerations for building investor networks, gaining access to quality capital raising resources, and knowing when to engage with investors. |
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|
Florida International University College of Business: Briefing on Capital Raising in New York, New York |
March 28, 2022 |
Our Office's Jenny Riegel and Jephte Lanthia engaged with MBA students from Florida International University to discuss the fundamentals of capital raising, including an introduction to fund raising options and regulatory pathways. The discussion also highlighted our Office’s capital raising tools and resources. |
|
Prestamos CDFI Women's Business Center: A Roundtable Discussion with Latino Entrepreneurs in Phoenix, Arizona |
March 17, 2022 |
Our Office’s Sebastian Gomez Abero joined the discussion on challenges women face when raising capital and specifically on those experienced by women of color. The event also provided an opportunity to explore new and existing capital raising resources and educational tools. |
|
February 23, 2022 |
Our Small Business Advocate, Martha Legg Miller, joined this panel to discuss how to increase diversity among capital allocators and entrepreneurs, how pooling capital in diversified vehicles that can invest locally can promote investment by larger VCs/investors, and how to bridge the divides in communities that lack robust VC ecosystems. Check out the Kenan Insight for a deeper dive into topics covered during the event. |
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February 18, 2022 |
Our Small Business Advocate, Martha Legg Miller, joined Bailey DeVries, Associate Administrator of the U.S. Small Business Administration’s Office of Investment & Innovation, and Adair Morse, the U.S. Department of Treasury’s Deputy Assistant Secretary of Capital Access, to kick off Funding Friday with dynamic panel detailing the wide array of government programs and resources available to entrepreneurs seeking to launch and grow a business. Learn more at www.natleshipweek.org! |
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Capital Call |
January 19, 2022 |
Our office hosted the third annual Capital Call, which is styled after public companies' earnings release calls and included a discussion of our 2021 Annual Report to Congress. The event highlighted what has been happening with capital raising across the country, including a spotlight on how and where capital is being raised and the unique challenges faced by underrepresented businesses. |
2021
|
Title |
Date |
Description |
|---|---|---|
|
December 8, 2021 |
Our Small Business Advocate, Martha Legg Miller, and the SEC’s Director of the Office of Minority and Women Inclusion, Pamela Gibbs, joined investors and entrepreneurs at the Carta Equity Summit to discuss the SEC’s role in expanding DE&I in capital formation and equity ownership. |
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Doep Dive with Dave: The SEC’s Capital-Raising Navigator |
November 30, 2021 |
Our Office’s Sebastian Gomez Abero joined Dave Lynn of the corporatecounsel.net on his podcast to discuss the Capital Raising Navigator tool and other resources the Office has launched recently to help empower entrepreneurs and their investors. |
|
UNC’s Kenan-Flagler Business School’s Black Technology Ecosystem Investors (BTEI) Certificate Program: Risk, Legalities, and the SEC |
October 28, 2021 |
Our Small Business Advocacy team joined the faculty and professionals in the BTEI Program to discuss rules on early-stage investing, including changes to those rules in recent years and how those have affected opportunities to invest. The group focused discussion on equitable inclusion of black investors in developing ecosystem capacity. |
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Early-stage Capital Raising in Wyoming |
October 5, 2021 |
Our Small Business Advocate Martha Legg Miller and Commissioner Hester Peirce joined Wyoming founders, investors, and leaders in the small business ecosystem for an engaging conversation about capital raising for early-stage Wyoming companies hosted by gBETA. |
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Women of Color and Capital Conference |
September 18, 2021 |
Our Small Business Advocate, Martha Legg Miller, joined this conference of diverse women professionals, entrepreneurs, and investors for targeted panels and discussions on finance, capital, investing, wealth building, and more. Including Khadijah Robinson (CE Marketplace), Jaisa Minor (NBCUvc), Regina Green (Launch with GS), and Dr. Dawn Batts (Tech Town, Commune Angels), the panel discussed solutions and information to empower women of color to raise capital for their businesses. |
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Diversifying Opportunity in Venture Capital |
Our Office hosted a series of virtual panel discussions focused on diversifying opportunity in venture capital. Through this series of events, we explored the role emerging venture capital funds and their investors play in funding underestimated founders across the country and in empowering a new generation of investment decision makers. |
|
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Investing with Emerging Managers |
March 31, 2021 |
Moderator: Martha Legg Miller, Director, Office of the Advocate for Small Business Capital Formation |
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Raising and Deploying Capital as an Emerging Manager |
May 5, 2021 |
Moderator: Martha Legg Miller, Director, Office of the Advocate for Small Business Capital Formation |
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How Emerging Managers are Making Access to Capital More Inclusive |
July 21, 2021 |
Moderator: Jessica McKinney, Office of the Advocate for Small Business Capital Formation |
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VC Include Fellowship Session: Emerging Fund Managers |
June 23, 2021 |
Our Office’s Jessica McKinney and Amy Reischauer joined VC Include’s 2021 Fellows for a discussion about the regulatory issues relating to starting and managing a fund, including capital-raising options for emerging fund managers. |
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Women of Color and Capital 2021 Virtual Summit |
May 29, 2021 |
Our Small Business Advocate, Martha Miller, joined this summit convening diverse women entrepreneurs and professionals to learn about money, finance, capital, and investing. Alongside Efe Ukala (ImpactHER), Venroy July (Dickinson Wright PLLC) and Jaisa Minor (HBCUvc), the panel discussed solutions and information to empower women of color to successfully raise capital from investors. |
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Acceso a Capital Privado para Emprendedores |
Thursday, April 29, 2021 |
Our Office joined the University of Puerto Rico in a virtual conversation in Spanish with entrepreneurs and investors in Puerto Rico to share educational resources about capital formation and to hear about challenges in raising capital. |
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Tech Entrepreneurs of Color: Taking the Pulse of Capital Raising in New York and California |
Tuesday, April 27, 2021 |
Our Small Business Advocate, Martha Legg Miller, and Deputy Director Sebastian Gomez Abero, teamed up with the SEC’s New York and San Francisco Offices on this event to discuss how the capital raising rules have changed. The event featured tech founders and funders discussing the experiences of tech entrepreneurs of color when raising capital for businesses. |
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Frontiers of Entrepreneurship: Creating Ecosystems Where Diverse Groups of Entrepreneurs Thrive |
Thursday, April 22, 2021 |
Our Small Business Advocate, Martha Miller, joined the Frontiers of Entrepreneurship conference hosted by Kenan Institute of Private Enterprise and UNC Entrepreneurship Center at Kenan-Flagler to discuss the role of government in creating inclusive entrepreneurial ecosystems by providing equal opportunities for investment to diverse groups of founders, while protecting investors. |
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ABA Venture Capital Financing Subcommittee Meeting |
April 21, 2021 |
Director of the Office, Martha Legg Miller, joined the ABA Venture Capital Financing Subcommittee for their Spring meeting. She discussed recent capital raising trends, policy updates, and answered members’ questions on how to improve capital formation rules. |
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Interview on Owning a Piece of America |
April 25, 2021 |
Our Small Business Advocate, Martha Miller, joined Faith Bautista, CEO of the National Diversity Coalition and the National Asian American Coalition, on Owning a Piece of America, a monthly feature on Spectrum News 1 that aims to inform, inspire, and empower immigrant families in Southern California. They discussed the importance of minority entrepreneurship and the Office’s role to help underrepresented entrepreneurs access capital. |
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Virtual Meeting with RuralRISE Community on Accessing Capital |
March 18, 2021 |
Our Office spoke to the RuralRISE community about updated rules that impact how companies seek funding from investors, including at demo day events and online using crowdfunding. |
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Virtual Meeting with the Southern Capital Forum |
March 17, 2021 |
Our Small Business Advocate, Martha Miller, joined the Southern Capital Forum to provide an update on capital formation in the Southeast region. The discussion provided an opportunity for Southeastern investors to share their feedback on raising new funds and investing in the region. You can view the presentation materials. |
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Virtual Webinar with the Institute of Management Accountants’ Small Business Committee |
March 15, 2021 |
Our Office joined a panel of securities regulators and private capital market participants hosted by the IMA Small Business Committee. The discussion covered the framework for exempt securities offerings as well as the practical applications including hybrid securities and crowdfunding platforms. |
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Virtual Webinar with the Institute of Management Accountants’ Small Business Committee |
March 15, 2021 |
Our Office joined a panel of securities regulators and private capital market participants hosted by the IMA Small Business Committee. The discussion covered the framework for exempt securities offerings as well as the practical applications including hybrid securities and crowdfunding platforms. |
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Virtual Conversation with Commissioner Crenshaw, Oregon RAIN, and Entrepreneurs |
February 24, 2021 |
Commissioner Crenshaw and our Office joined a conversation on capital raising hosted by Oregon RAIN. We discussed the different pathways available for early-stage companies to raise capital from investors, from equity crowdfunding campaigns to private placements with angel investors or venture funds. Participants were able to ask questions and share feedback on small business capital raising. Oregon RAIN partners with Oregon communities to catalyze entrepreneurial ecosystems, connect overlooked entrepreneurs to resources, and contribute to the creation of prosperous economies. The slides used in this discussion are available. |
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Virtual Roundtable with Commissioner Roisman and the Coalition to Advance Arkansas Entrepreneurship |
February 23, 2021 |
Commissioner Roisman and our Small Business Advocate, Martha Miller, joined a virtual meeting of the Coalition to Advance Arkansas Entrepreneurship. Listen in as they discuss access to capital for Arkansas entrepreneurs and gather feedback on increasing early stage financing activity in the state. The Coalition to Advance Arkansas Entrepreneurship is a monthly convening of business, higher education, and government leaders to explore collaboration opportunities to advocate for policies that reduce barriers for Arkansas founders. |
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SEC Celebrates National Entrepreneurship Week |
February 13-20, 2021 |
National Entrepreneurship Week is an annual celebration of entrepreneurship across the United States. The Office of the Advocate for Small Business Capital Formation is excited to feature Acting Chair Allison Herren Lee in a series of videos that highlight the importance of entrepreneurship. |
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Our Office also joined other Federal agencies to discuss the COVID economic recovery for small business entrepreneurs. During the panel, we presented data from our Annual Report on COVID’s 2020 effects on small businesses and recommendations from the Report that can help underserved entrepreneurs recover and thrive. |
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What’s New with Reg CF: What You Need to Know, a Discussion with BLK Founders Club on Clubhouse |
February 17, 2021 |
Our Small Business Advocate Martha Miller joined BLK Founders Club on Clubhouse in a conversation on crowdfunding hosted by Shondra Washington. The discussion covered recent changes to Regulation Crowdfunding, latest innovations by crowdfunding platforms, and how founders can be prepared to successfully raise capital using crowdfunding. Participants included Harold Hughes, Chuck Pettid, Jonny Price, Howard Marks, and entrepreneurs. |
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Capital Call: What's Happening from Start-Up to Small Cap |
February 4, 2021 |
Our office hosted the second annual Capital Call, which is styled after public companies' earnings release calls and included a discussion on our 2020 Annual Report to Congress and the Commission. This virtual event highlighted what has been happening with capital raising across the country, including a spotlight on the impacts of the COVID-19 pandemic, the unique challenges faced by underrepresented businesses, the office's work in supporting small businesses and their investors, and the policy recommendations the office has developed in response. |
2020
|
Title |
Date |
Description |
|---|---|---|
|
Women of Color Entrepreneurs on Being Powerful Voices for Access to Capital |
November 23, 2020 |
Our Office teamed up with the SEC’s Los Angeles and Atlanta Regional Offices for a virtual conversation featuring women entrepreneurs and investors of color from the Los Angeles and Atlanta Regions. Speakers shared their experiences and discussed ways to improve access to capital for minority and women entrepreneurs. |
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Virtual Conversation with Oregon RAIN, Investors, and Advisors |
November 18, 2020 |
Our Office joined a conversation hosted by Oregon RAIN to discuss the Commission's recent amendments to the accredited investor definition that impact both investors' access to investment opportunities, as well as companies looking to raise capital in the private markets. The conversation highlighted the types of individuals and entities that will newly qualify as an accredited investor. Participants were able to ask questions and share feedback on small business capital raising. Oregon RAIN partners with Oregon communities to catalyze entrepreneurial ecosystems, connect overlooked entrepreneurs to resources, and contribute to the creation of prosperous economies. |
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Virtual Panel Discussion with Dalia Blass and Market Participants |
October 29, 2020 |
Our Office hosted a virtual panel discussion, where panelists discussed topics ranging from investor access to private markets to the Commission’s recent proposal to improve the retail investor experience. Moderators: Sebastian Gomez Abero and Jessica McKinney, Office of the Advocate for Small Business Capital Formation |
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Virtual Conversation on Connecting Small Businesses to Capital |
October 19, 2020 |
Our Office joined a discussion with legal advisors in Houston and Dallas on connecting small businesses to capital. The conversation covered strategies to bridge networks, trends with capital raising in the current environment, how business leaders and investors are navigating challenges, and ongoing initiatives at the SEC, including the proposed finders exemption, the capital formation proposal, and recent efforts to modernize the disclosure system for public companies. |
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The Car Talk of Capital Raising: Remarks from SEC Speaks |
October 9, 2020 |
Martha Legg Miller, Director of the Office of the Advocate for Small Business Capital Formation, gave remarks at the virtual 2020 gathering of SEC Speaks titled "The Car Talk of Capital Raising." In her remarks, she explained that our office can be like the Magliozzi brothers of the NPR show Car Talk, as we listen, diagnose, and help address capital raising issues. Through hundreds of meetings, phone calls, speaking engagements, video conferences, virtual coffees, and outreach events, our office has gathered meaningful feedback about what is and is not working well for small businesses and their investors. |
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Virtual Coffee Break with StartOut |
September 14, 2020 |
Our Office joined a discussion with StartOut and Socos Labs as they demonstrated their StartOut Pride Economic Impact Index platform and presented data on issues encountered by LGBTQ+ entrepreneurs. StartOut is a national organization supporting the LQBTQ+ entrepreneurial community by providing the resources entrepreneurs need to succeed, promoting the successes of the community, and researching the economic impacts of LGBTQ+ discrimination. |
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Virtual Coffee Break with the National Association of Securities Professionals |
July 30, 2020 |
Our Small Business Advocate, Martha Miller, joined the National Association of Securities Professionals (NASP) for a virtual coffee break moderated by Pamela Gibbs, Director of the SEC’s Office of Minority and Women Inclusion. NASP is a national organization that is committed to helping people of color and women achieve inclusion in the financial services industry. Martha and Pam spoke with securities professionals from across the country about trends in capital raising and ongoing initiatives at the SEC, and NASP members shared important feedback about that they are seeing in the market. |
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Virtual Coffee Break with the National Association of Securities Professionals |
July 30, 2020 |
Our Small Business Advocate, Martha Miller, joined the National Association of Securities Professionals (NASP) for a virtual coffee break moderated by Pamela Gibbs, Director of the SEC’s Office of Minority and Women Inclusion. NASP is a national organization that is committed to helping people of color and women achieve inclusion in the financial services industry. Martha and Pam spoke with securities professionals from across the country about trends in capital raising and ongoing initiatives at the SEC, and NASP members shared important feedback about that they are seeing in the market. |
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Virtual Panel Discussion: Small Businesses in the Public Markets |
July 22, 2020 |
Our Small Business Advocate, Martha Miller, joined a virtual panel discussion on the experience of small, publicly-traded companies on Wednesday, July 22, 2020. Martha joined OTC Markets Group’s General Counsel, Dan Zinn, and several executives representing OTCQX-traded companies to discuss issues impacting small public companies in today’s markets, including capital raising, becoming a publicly-traded company, secondary trading, and reporting and disclosure. Participant questions and feedback were incorporated throughout the panel discussion. |
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Virtual Coffee Break with the New America Alliance |
July 22, 2020 |
Our Small Business Advocate, Martha Miller, joined Pamela Gibbs, Director of the SEC’s Office of Minority and Women Inclusion, for the New America Alliance’s (NAA) virtual meeting. NAA is a nonprofit organization of entrepreneurs and business leaders dedicated to advancing the economic development of the American Latino community. Event participants had the opportunity to engage with the SEC as well as discuss unique challenges faced by minority-owned businesses and investors as they look to raise and deploy capital. Participants were able to ask questions and share feedback on small business capital raising. |
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Virtual Panel Discussion: Policy and Business with Middle Market Private Companies and Late-Stage Investors |
July 9, 2020 |
Our Small Business Advocate, Martha Miller, joined a virtual panel discussion with middle market private companies and late-stage investors discussing how to lead in crisis and engage on policy on July 9, 2020. The panel discussed how business leaders and investors are navigating the current challenges and positioning themselves for growth, the current framework for raising capital, and the public policy opportunities in capital formation, liquidity, and equity. |
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Virtual Discussion with the Angel Capital Association |
May 14, 2020 |
Our Small Business Advocate, Martha Miller, joined the Angel Capital Association’s Virtual Summit of Angel Investing on May 14, 2020 as a keynote speaker. As part of the event, Martha spoke with angel investors from across the country about trends with capital raising in the current environment, ongoing initiatives at the SEC, including the capital formation proposal, and strategies to bridge networks. |
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Virtual Coffee Break with National Diversity Coalition and U.S. Small Business Administration |
May 1, 2020 |
Our Small Business Advocate, Martha Miller, joined the National Diversity Coalition (NDC) and U.S. Small Business Association (SBA) on Friday, May 1, 2020 for a virtual coffee break. NDC is a nonprofit organization that seeks to strengthen America and all its diverse communities through advocacy, collaboration, and economic empowerment. The event was open to the public and gave participants the opportunity to engage with the SEC and the SBA as well as discuss updates, trends, and perspectives on how COVID-19 is impacting raising capital. Participants had an opportunity to ask questions and share feedback on small business capital raising. |
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Virtual Coffee Break with National Small Business Association |
April 16, 2020 |
Our Small Business Advocate, Martha Miller, joined the National Small Business Association (NSBA) on Thursday, April 16, 2020 for a virtual meeting. NSBA is a nonprofit organization that advocates for small businesses representing a wide range of industries. Martha discussed updates and trends in capital raising activity with attendees from across the country and NSBA members provided important feedback about what they are seeing in the market. Martha explained how the Office can support small businesses and their investors and highlighted recently proposed amendments to several of the SEC’s capital raising rules that may impact how small businesses access capital. |
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iFundWomen Virtual Coffee Break |
April 8, 2020 |
Are you a business or entrepreneur that is interested in learning more about the tools and resources the SEC has available for small businesses? On April 8, 2020, Martha Miller, the Director of the Office of the Advocate for Small Business Capital Formation, collaborated with iFundWomen in a workshop that provided a guided walk through of the pathways available for entrepreneurs to access investment capital and answered questions from attendees about navigating the capital raising framework and how the Office can help. |
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Online Investment Capital Raising Virtual Coffee Break |
April 3, 2020 |
Are you a business, entrepreneur or investor that is considering new strategies to bridge your networks? Interested in learning more about the impact of recent events on crowdfunding? On April 3, 2020, our Office hosted a virtual coffee break that discussed updates and trends in online investment capital raising. Moderator: Martha Legg Miller, Director, Office of the Advocate for Small Business Capital Formation Panelists: George Cook (Honeycomb Credit), Youngro Lee (NextSeed), Kendrick Nguyen (Republic) Transcript: Online Investment Capital Raising event transcript The Commission proposed temporary relief on May 4 to allow small businesses to pursue expedited crowdfunding offerings, taking into consideration feedback from this event. To learn more about the Commission’s temporary crowdfunding relief, see this press release. |
| Five-Star Reviews, One-Star Profits: The Devaluation of Businesses in Black Communities | February 19, 2020 | Martha Miller, the Director of the Office of the Advocate for Small Business Capital Formation, joined the Brookings Metropolitan Policy Program to discuss research findings related to slower revenue growth for businesses in Black neighborhoods. The panel explored the impact of racial segregation and discrimination, as well as practices and policies that play a role in distorting markets and devaluation of businesses. |
2019
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Title |
Date |
Description |
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| Reaching New Heights - Conversations on Raising Capital for Businesses of Color | November 14, 2019 | Entrepreneurs, investors, and aspiring innovators gathered in Atlanta for a first-of-its-kind event cohosted by the SEC and Morehouse College, featuring conversations with minority entrepreneurs and investors on capital raising and entrepreneurship success. Learn more about this event. |
| Reaching New Heights: Conversations on Raising Capital for Businesses of Color | October 24, 2019 | The SEC Small Business Advocacy Team and the SEC’s Atlanta Regional Office partnered with Morehouse College to host an event focusing on access to capital for entrepreneurs of color. Panelists and attendees discussed best practices and solutions to common challenges faced in raising capital, highlighting success stories from prominent entrepreneurs and available resources to support new ventures. |
Listen to our Podcasts
| Title | Date |
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The Angel Next Door Podcast “The SEC's Role in Empowering Entrepreneurs and Angel Investors” |
April 11, 2024 |
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Paychex Thrive, a Business Podcast "Raising Capital for Your Small Business: Insights from the SEC" |
July 11, 2023 |
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SuperWomen with Rebecca Minkoff |
September 8, 2020 |
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VC’s Off the Record Podcast “Say What? The Truth About What the Heck the SEC Really Does” |
August 27, 2020 |
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Inside the Icehouse Podcast “The SEC’s Martha Miller: A Champion for Small Businesses in Washington” |
October 17, 2019 |