SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on:
Advisory Committee on Small and Emerging Companies

[File No. 265-27]


Submitted Comments

(Click here for meetings with SEC officials)
Dec. 17, 2014 Rishi Palriwala, Boston, Massachusetts
Dec. 14, 2014 Roger Q. Doctor
Dec. 12, 2014 David N. Feldman, Esq., Richardson & Patel, New York, New York
Sep. 15, 2013 T.W. Kennedy, Founder, Regulated Funding Portal Industry Association
Sep. 11, 2013 American Bar Association Private Placement Broker Task Force
Apr. 30, 2013 Tom Carter, Chairman of the Board, and Jim Toes, President & CEO, Security Traders Association
Apr. 22, 2013 Sean M. Schmid, COO, Longview Capital Management, Wilmington, Delaware
Apr. 22, 2013 James R. Maronick, CFO, Solitario Exploration & Royalty Corp., Wheat Ridge, Colorado
Apr. 22, 2013 T. W. Kennedy, B.E., Regulated Funding Portal Industry Assoc., Seal Beach, California
Feb. 1, 2013 R. Cromwell Coulson, CEO, OTC Markets Group Inc., New York, New York
Jan. 29, 2013 Tony J. Gagliano, New York, New York
Jan. 23, 2013 William Michael Cunningham, Creative Investment Research
Jan. 10, 2013 William Michael Cunningham, Social Investing Advisor, Washington, District of Columbia
Jun. 8, 2012 James Fehrenbach, Managing Director and Head of Equity Institutional Sales, and Bradford Pleimann, Managing Director and Head of Equity Trading, Piper Jaffray & Co.
Jun. 8, 2012 Phil Johnston, Partner, Head of Equities, ThinkEquity LLC
Jun. 4, 2012 Jeffrey Solomon, Chief Executive Officer, Cowen and Company, LLC
Jun. 4, 2012 Martin A. Hewitt, on behalf of the ABA Private Placement Broker Task Force
May 21, 2012 Paul Schott Stevens, President and CEO, Investment Company Institute, Washington, District of Columbia
Mar. 12, 2012 Scott Medling, Medling, Santa Cruz, California
Jan. 31, 2012 Stephen D. Stull, Fort Worth, Texas
Jan. 26, 2012 Craig S. Harlamert, Owner of Relaxco, North Judson, Indiana
Jan. 26, 2012 Mike Nelson, NY, New York
Jan. 11, 2012 Edwin Miller
Jan. 9, 2012 Mike Liles, Jr.
Jan. 7, 2012 Gene Massey, CEO/entrepreneur of small startup company, Los Angeles, California
Jan. 4, 2012 R. Cromwell Coulson, President and CEO, OTC Markets Group Inc.
Jan. 4, 2012 Mike Liles, Jr.
Jan. 4, 2012 David R. Burton, General Counsel, National Small Business Association
Nov. 11, 2011 Michael A. Williams, Founder, Tennessee Local Stock Exchange, Memphis, Tennessee
Oct. 27, 2011 Frank Knapp, Jr., President & CEO, The South Carolina Small Business Chamber of Commerce
Oct. 26, 2011 Pat LaVecchia, Managing Partner, LaVecchia Capital, Darien, Connecticut
Oct. 26, 2011 Paul Dorfman, New York, New York
Oct. 26, 2011 Sally Prescott
Oct. 25, 2011 Bonnie Brown, CPA, Chief Financial Officer, Tecogen
Oct. 18, 2011 Damon D. Testaverde, Manager, Investment Banking Department, Network 1 Financial Securities
Oct. 18, 2011 Arthur de Joya, CPA, De Joya Griffith Company, LLC, Henderson, Nevada
Sep. 15, 2011 Scott Schwartz
Sep. 14, 2011 James B. Parsons, Parsons/Burnett/Bjordahl/Hume, LLP, Bellevue, Washington
Sep. 14, 2011 Timothy J. Kruse, Business Broker, Verona, Wisconsin
Sep. 14, 2011 Jon A. Faulkner, CFO, The Dixie Group, Inc., Dalton, Georgia
Sep. 13, 2011 Patricia A. Thornton, CPA, Washington, District of Columbia

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Mar. 7, 2012 Memorandum from the Office of Commissioner Aguilar regarding a March 6, 2012, meeting with representatives of National Small Business Association

 

http://www.sec.gov/comments/265-27/265-27.shtml

Modified: 12/18/2014