The Securities and Exchange Commission recently announced the panelists and final agenda for a public roundtable on microcap securities to be held next week on Monday, October 17.
The 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.
Those who wish to provide their views may submit comments by sending an email to rule-comments@sec.gov with “File Number 4-639” on the subject line.
To view the full agenda, please visit http://www.sec.gov/spotlight/microcap/microcaproundtable101711-agenda.htm
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