Agenda
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.
Investor Session
1:30 PM - 2:10 PM
Keynote Presentation
The State of the Microcap Market 2023
- Why the Fed’s interest rate hikes have been good for microcap stocks
- With the collapse of SVB, will venture debt tighten for small-cap companies?
- Second half of 2023: bracing for valuation compression, downward earnings revisions
- So, is now the time to invest in bargains?
11:35 AM - 12:00 PM
Presentation
When to Trade Options on a Microcap or De-SPAC and When to Issue Options
- How options offer many possibilities to increase returns in an up, down or range-bound market
- Optionable stocks represent small slice of microcap universe
- Using margin accounts
- Options on small-cap ETFs
- Why the bid/ask spread is critical to successful options trading
9:10 AM - 9:35 AM
Presentation
SEC Compliance and Enforcement Liability for Officers, Directors and Gatekeepers of Microcap Issuers
- Regulatory Overview: An overview of the SEC compliance requirements for microcap companies and the specific liabilities that corporate board members face in ensuring compliance.
- Fiduciary Duties: What are the fiduciary duties of corporate board members? Understanding their responsibility to act in the best interests of shareholders and to comply with all relevant SEC regulations.
- Reporting and Disclosure Obligations: Magnifying reporting and disclosure obligations that microcap companies must meet, including periodic filings, financial statements, and material event disclosures.
9:40 AM - 10:05 AM
Panel
How Social Media and Apps for Smartphones Propel Some Microcap Stocks From the Doldrums to the Stratosphere
- Speed & scope: Viral content can move messaging all over the world in an instant
- Few barriers to entry
- Inexpensive compared to traditional marketing methods
- High targeting accuracy – reach the right people
- Interaction with your investors
10:55 AM - 11:30 AM
Fireside
Markets Are Global, But the US Has the Biggest Draw
- What are the most glaring regulatory and other differences between US markets vs. those in Asia and Europe?
- How does the capital raise process and interest level for microcaps in Asia and Europe compare with in the US?
- Has the economic growth surge of China impacted markets in the rest of Asia and even in Europe, and in what ways?
- Is the LSE still as attractive as a public vehicle for international companies as it was a decade ago, or has the US regained its allure?
- ASEAN member nations appear to be favoring the US market as opposed to the geographically closer Chinese one. Why is that?
12:05 PM - 12:30 PM
Presentation
Uncovering Microcap Disruptors with the CHAOS Formula
- A novel screening methodology that works
- How to uncover disruptive microcaps -- tiny companies poised to transform and create new industries
- Using the 5-point CHAOS Formula: Change, Hype, Acceleration, Ownership, and Size
- Get to know management, dissect the financials, develop revenue and valuation models
- The CHAOS Formula in action – real-life investment examples
2:15 PM - 2:40 PM
Presentation
Pros & Cons of Microcaps vs. Larger NYSE & NASDAQ Companies
- Microcaps far more often undervalued compared to their bigger brothers on large exchanges
- Potential for greater returns with microcaps and small caps
- Many microcaps represent ground-floor investment opportunities
- Cons: stock volatility, low liquidity, typically much greater risk
- Minimal public information about some microcap companies makes analysis difficult
2:45 PM - 3:20 PM
Fireside
Navigating Regulatory Limitations When Raising Capital
- Baby Shelf requirements can pose significant limitations on small cap raises
- Using shelf registration for a follow-on
- Nasdaq/NYSE 20% rule
- Benefits of at-market offerings
3:50 PM - 4:15 PM
Presentation
The Importance of Cybersecurity for All Companies in 21st Century; Key Client Strategies
- Financial and Reputational Risks: Potential consequences of cyberattacks for businesses, including financial losses, regulatory fines, and damage to reputation and customer trust.
- Protection of Sensitive Data: Emphasizing the critical role of cybersecurity in safeguarding sensitive data, intellectual property, and customer information from unauthorized access and theft.
- Legal and Compliance Obligations: Explaining the legal and compliance obligations that companies must adhere to in terms of protecting customer data and personal information, such as GDPR and CCPA regulations.
- Supply Chain Vulnerabilities: Exploring the interconnectedness of supply chains and how cyber threats can also impact third-party vendors, underscoring the need for robust cybersecurity measures across the entire ecosystem.
4:20 PM - 4:45 PM
Presentation
The Use of Reg A in Today’s Capital Markets
- No SEC registration means faster, more streamlined capital raise
- Raise $20M - $70M in a 12-month period
- Access both accredited and non-accredited investors
- Form stronger bonds with your customer community
4:50 PM - 5:15 PM
Presentation
Size Matters: Evidence from Europe
- Small caps vastly outnumber large caps, increasing opportunities
- Wider dispersion of small caps vs. large cap stocks
- Estimating value strategy based on minimum trading volume
- Investment discipline should produce greater returns than innate stock-picking skill
9:10 AM - 9:35 AM
Presentation
How to Assemble a Microcap Portfolio as a Subcategory of an Overall Retiree Portfolio
- Using the growth aspect to offset inflation and depletion
- Balancing with the fixed-income portion of a portfolio
- The Holy Trinity: Choosing the right mix of stocks, bonds and cash
- Aligning goals with risk tolerance
9:10 AM - 9:35 AM
Presentation
Exploring Listing Options: Navigating Nasdaq's Sub-$1 Stocks
- Nasdaq sets 180-day limit to regain compliance for minimum $1 stock price
- Differences in Nasdaq Global Select Market, Nasdaq Global Market and Nasdaq Capital Market
- Due diligence: Is low stock price just a blip or the start of an existential crisis?
- Impact of a delisting on investors
- Cost savings and other advantages of moving a listing to the OTC
9:40 AM - 10:05 AM
Panel
The Gordon Gekko Elephant Syndrome - What Microcaps Need to Do to Attract Large Institutional Investors
- Microcap value strategies historically outperform private equity investments
- Mutual funds and institutional investors hold roughly 78% of the Russell 2000 but only 40% of the non-Russell 2000 microcap universe
- Building a detailed narrative of success: complete financial reports, customer testimonials, industry awards
- Using database-driven institutional investor targeting solutions
- Crafting the pitch: how to approach and engage with effective communication
10:30 AM - 10:55 AM
Presentation
Analyzing Buffett's Best Investments & Overcoming Cognitive Bias
- Learning from Cognitive Bias: Exploring the common cognitive biases that can hinder investors' decision-making and understanding how Buffett has navigated these biases to make rational and profitable investment choices.
- Applying Buffett's Principles: Gaining insights into how investors can apply Buffett's investment principles and overcome cognitive biases to improve their own investment strategies and achieve better long-term results
11:25 AM - 11:50 AM
Presentation
Impact of Ongoing SEC Crypto Legislation on Governance of Involved Microcap Companies
- Crypto enforcement ‘high priority’ for SEC in 2023
- More than 2 dozen enforcement actions in first half of 2023
- Regulators treating crypto as securities
- Rules of the road: understanding the regs & maintaining compliance
- Required disclosures
11:55 AM - 12:40 PM
Presentation
Specific Challenges of Microcaps in Resource Sectors (Mining, Energy, et.al.)
- Global resource sectors are inherently volatile
- Exploration, R&D are time consuming
- ESG considerations
- Riding out price swings, geopolitical events and other developments
1:40 PM - 2:05 PM
Presentation
The Power of Seasonal Investing: Using Cycles, Seasonality & Recurring Patterns to Enhance Investment Portfolio Returns
- Impact of four-year presidential election cycle
- Tactical seasonal switching strategies
- Making sector ETF selections
- Uncovering undervalued, off-the-radar stocks
- The January indicator Trifecta: Santa Claus Rally, First five days and the January Barometer
- Major seasonal opportunities and dangers
2:05 PM - 2:30 PM
Presentation
3 Essential Steps to Reaching $10M in Revenue & Becoming Cash-flow Positive
- Go-to-Market Strategy - dominate a niche
- Customer acquisition communications - accelerate customer word of mouth
- Transformative Business Development, or “Let’s go whale hunting"
2:35 PM - 3:00 PM
Presentation
Preparing and Executing a Microcap IPO
- IPO preparedness: Ensuring execution model is deeply integrated with IPO information requirements
- Creating an IPO roadmap - an insiders’ perspective with a differentiated approach
- Current IPO market intelligence - What it really takes to succeed
- Post IPO listing strategies - Creating liquidity and awareness
3:30 PM - 3:55 PM
Presentation
Mitigating Fundraising Risk; Surviving a Failed IPO
- Using syndication to mitigate risk
- Exit strategies for failed IPO attempts
- Prevention is the best medicine: choosing the right underwriter
- Going back to draw from the VC well
- Make (or become) an acquisition; working with investors specializing in M&A
4:00 PM - 4:25 PM
Presentation
Detecting Legacy Red Flags for De-SPAC and Rev. Mergers
- Incomplete Financial Disclosures: Detecting legacy red flags involves scrutinizing financial disclosures to identify any inconsistencies, omissions, or questionable accounting practices that might have been overlooked during the SPAC process or reverse merger.
- Regulatory Compliance Concerns: A thorough examination of the company's regulatory history is essential to identify any past or ongoing compliance issues that could pose risks post-De-SPAC or reverse merger, such as unresolved legal disputes or regulatory violations.
- Governance and Management Evaluation: Assessing the qualifications and track record of the company's management team and board members is critical to spot any red flags related to their past business practices or potential conflicts of interest, which could impact the company's future performance and credibility
4:30 PM - 4:55 PM
Presentation
How Microcaps Can Form a Non-Profit Humanitarian Spinoff Without Hurting Asset Base
- Launching a nonprofit creates positive publicity that can’t be bought
- Identifying the mission of the new entity/aligning with corporate parent
- Fundamentals of non-profit formation and operating structures
- Promoting the spinoff with effective marketing & messaging
General Session
9:10 AM - 9:35 AM
Presentation
Navigating the Microcap Universe
- Defining microcaps: companies with < $300M market capitalization
- Microcaps, small caps and OTC companies represent 43% of public investment opportunities
- Major investment firms typically ignore these opportunities; microcaps prime for retail investors
- Proceeding with caution: potential for great reward often comes with great risk
- Why Fed rate hikes are historically a boon for microcaps
8:20 AM - 9:00 AM
Presentation
How Free Are You? What Business are You Really In... The Power of Relationship Capital
- Challenge the perception of business and ask the pivotal question: "What business are we really in?"
- Embrace the truth that business is about people, connections, and relationships.
- Harness the power of Relationship Capital for unprecedented success and personal fulfillment.
- Cultivate strong, authentic relationships through self mastery, influence mastery, and process mastery.
9:40 AM - 10:05 AM
Presentation
Fund Protocols & Concerns for Adding Microcaps to Portfolio
- Balancing microcap and small-cap stocks to mitigate risk and enhance liquidity
- Trade-off: short-term volatility almost certain, long-term rewards likely
- Doing your own research (because big firms don’t play in the microcap space)
- Working with capital management funds specializing in microcaps
- Asset allocation – what’s the right mix?
10:10 AM - 10:55 AM
Presentation
Let the Investor Beware! - Fraud Detection & Red Flags
- Examples of the most common frauds being committed by microcap companies that are only caught after the fact
- Early warning signs of hard-to-identify scams
- Protocols for investors and fund managers to help them hedge if there are suspicions of fraud
- Microcap volatility: discerning when legitimate companies are the victim of outside forces, such as naked shorts
- Perspective: legal preventive measures in the early financing stages and later stages that could reduce fraud
11:35 AM - 12:20 PM
Panel
Empowering Micro Cap Trading - Navigating Private Offerings for Issuers and Investors
- Enabling investors to make well-informed decisions and seize opportunities in the dynamic micro cap trading
- Efficiently track and close private offerings, enhancing transparency and compliance, thus unleashing growth opportunities for businesses.
12:25 PM - 12:50 PM
Presentation
Dissecting New SEC Cybersecurity Disclosure Rules
- Understanding the SEC’s rules on companies for reporting greenhouse gases
- Differences in Scope 1, Scope 2 and Scope 3 GHG emissions reporting
- Climate related reporting requirements and what they cover
- Disclosing GHG impact on strategy, business model and outlook
- Consequences for incomplete reporting/failure to report
9:40 AM - 10:10 AM
Presentation
Marketing Perspectives on Investor Communications to Impact Trading Price and Volume
- Synergy between stock prices and investor sentiment in social media
- Changing the narrative to aid the company
- The “Efficient Market Hypothesis” is a great idea, but….
- Overcoming irrational investors: cognitive bias, overreaction, representative bias
- Using data to predict investor sentiment and market returns
10:15 AM - 11:00 AM
Panel
Entrepreneur's Dilemma: Sharing the Baby With the Public and the Risk of Losing It
- What drives an Entrepreneur to create a company, and what factors determine when the public company route becomes a consideration?
- What are the pros and cons that an Entrepreneur should weigh before going public?
- How should an entrepreneur evaluate which capital raising route to take, such as a Reg-A, SPAC, Reverse Merger/PIPE, et al., and what are the obstacles, pros and cons of each?
- Are there examples of entrepreneurs who managed to successfully steer a company into the public arena without sacrificing too much of the original vision?
- Are there examples of entrepreneurs who hated going public but later found that the company turned out better than the original vision?
11:10 AM - 11:45 AM
Fireside
Pros and Cons of EB-5 Programs and Potential Corporate Liability
- EB-5 programs grant green cards in exchange for business investment and job creation
- Program requirements, including investment thresholds, locations and employment
- Working with EB-5 investment and immigration firms
- Timeframes & dealing with the USCIS
- No expedited process, no guarantees
11:50 AM - 12:15 PM
Presentation
E&O Insurance - A Microcap Company Concern and Why?
- Errors & Omissions insurance = CYA & greater peace of mind
- Why microcap companies especially need E&O insurance
- Court costs and settlements may outstrip a small company’s resources
- Cost of coverage is tax deductible; other benefits
- What E&O typically does not cover
12:20 PM - 12:45 PM
Presentation
Leveraging an Investor Outreach Desk to Meet the Goals of Your Capital Campaign
- Everything depends on successful outreach
- Putting together a team
- Identifying the target: the best investors for your company
- The real costs of a capital raise and budgeting for them
- Messaging, marketing, identifying the best channels for outreach
- How an investor outreach desk can help make the process run smoother
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
- 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
