Great investment conferences should include more than just back-to-back pitch sessions. The Microcap Conference will deliver high-quality technical content designed to give attendees a 360-degree view of all the important issues happening in the market.

We’ll be offering dozens of educational sessions on a variety of topics. Our goal is to exceed the expectations of our investor-centric audience by offering new ideas and meaningful opportunities to learn, all while enjoying a fantastic networking experience.

Microcap Investment Strategies

  • Stock Screening Strategies to Find Undervalued Microcaps
  • What “Multi-bagger” or “Ten-bagger” Stock Investments Have in Common
  • Signs to be Aware of when Considering Selling a Microcap Position
  • What to Listen for During a Small Cap Earnings Call
  • How to Invest in Small Caps During a Recession
  • 10 Ways to Find Under-the-Radar Microcaps
  • How to Discover and Position Yourself for Microcap M&A Opportunities
  • How to Identify Great (and Not-so-Great) Company Management
  • Key Technicals to Watch when Trading Microcaps
  • Promising Sectors to Mine for Microcap Opportunities
  • An Overview of the Short-Swing Profit Rule & Other Trades that Can Trip You Up

PIPEs & Private Placements

  • An Overview of PIPE Investment Structures
  • Update on Reg D and General Solicitation Rules
  • Legal Documents & Filing Requirements Needed for a PIPE Investment
  • Activist Investment Strategies for Microcaps
  • How to Negotiate the Best Possible Terms for your PIPE Transaction
  • Ways to Protect your Direct Investment from Short Sellers
  • The Vital Role PIPEs have Played in the SPAC Market
  • Insiders and the Blackout Period: What you Should Know

Markets & Trading

  • The Current State of the Microcap IPO Market
  • The Implications of the SEC’s Position on OTC Markets Relating to Resale Registration Statements
  • Small Cap IPO Strategies
  • Financing Options for Microcap Companies
  • Understanding the SEC’s Amendments to Rule 15c2-11 & the OTC’s Expert Market
  • OTC Markets: Issues with Outstanding Convertible Debt
  • Investor Relations in the Age of Social Media
  • China Audit Issues & the Latest Regulatory Concerns
  • A Discussion of Reg SHO & Short Selling
  • Fintwit: What it is, How it Works & the Impact of the SEC’s Proposals

Regulation A

  • A Rundown of Why Reg A has Gained in Popularity for both Public and Private Companies 
  • Online & Offline Marketing Strategies to Raise Capital
  • Understanding the Interplay Between Reg A & Crowdfunding
  • Legislative & Regulatory Updates that Impact the Small Stock IPO Market
  • Reporting Requirements Governing Tier 1 & Tier 2 Offerings
  • Using Social Media to Promote Your Deal & Making Sure you Adhere to Allowable Forms of Communication
  • Benefits of Orchestrating a “Testing the Waters” Campaign

Fund Administration

  • Year-end Tax Planning for Microcap Investors
  • Overview of Crypto Tax Compliance Issues
  • How the SEC’s Proposed Investment Advisers Act Rules will Impact Compensation at PE Funds
  • Best Practices for Consistent Microcap Equity Valuation
  • How ESG Reporting Rules will Impact PE and Hedge Funds


  • SPACs 101: Understanding the Underwriting & DeSPAC Process
  • What the SEC’s Regulatory Proposals Mean for the Future of SPACs
  • Why there’s Increasing Interest in Cross-Border SPAC Activity
  • How Sponsors Identify & Negotiate with Merger Targets
  • How to Navigate a Bear Market in SPACs
  • Insurance Considerations when Putting Together Your SPAC Deal
  • How Sponsors are Closing Deals Even in a Challenging Market
  • Why there’s New Interest in Mini-sized SPACs
  • Insights into Recent & Pending Litigation so you can Avoid Common Mistakes

Portfolio Management

  • Identifying Mistakes that Will Hurt your Investment Returns 
  • Microcap Portfolio Construction: How to Appropriately Allocate Capital to this Class of Investments
  • How to Arrive at a Microcap Stock’s Intrinsic Value
  • How to Manage your PIPE Portfolio and Strategies for Tracking your Warrants
  • Important Valuation Metrics for Small Stocks
  • The Black Scholes Model: What it is, How it works, and Understanding Options Valuation
  • Alternative Approaches for Valuing Illiquid or Restricted Securities

The Microcap Conference program is currently in development. Please complete this form to recommend a speaker.