Securities, Insurance, and Investment

Wednesday, October 30, 2013
10:00 AM – 12:00 PM
538 Dirksen Senate Office Building

[view archive webcast]

COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS SUBCOMMITTEE ON SECURITIES, INSURANCE, AND INVESTMENT

will meet in OPEN SESSION to conduct a hearing on “The JOBS Act at a Year and a Half: Assessing Progress and Unmet Opportunities.” The witness on Panel I will be: Mr. Keith Higgins, Director, Division of Corporation Finance, U.S. Securities and Exchange Commission. The witnesses on Panel II will be: Mr. Alan Lewis, Director of Special Projects, Natural Grocers by Vitamin Cottage, Incorporated; Mr. Robert Kaplan, Jr., Managing Partner, Kaplan Voekler Cunningham & Frank PLC; Mr. Rick Fleming, Deputy General Counsel, North American Securities Administrators Association, Incorporated; and Mr. Sherwood Neiss, Principal, Crowdfund Capital Advisors, LLC.

Witnesses

Panel 1

  • Mr. Keith Higgins [view testimony]
    Director, Division of Corporation Finance
    U.S. Securities and Exchange Commission

Panel 2

  • Mr. Alan Lewis [view testimony]
    Director of Special Projects
    Natural Grocers by Vitamin Cottage, Incorporated
  • Mr. Robert Kaplan, Jr. [view testimony]
    Managing Partner
    Kaplan Voekler Cunningham & Frank PLC
  • Mr. Rick Fleming [view testimony]
    Deputy General Counsel
    North American Securities Administrators Association, Incorporated
  • Mr. Sherwood Neiss [view testimony]
    Principal
    Crowdfund Capital Advisors, LLC