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Exemptions for Certain Advisers:
Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

See also: Comments for Proposed Rule: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers; File No. S7-37-10


Submitted Comments

(Click here for meetings with SEC officials)
Mar. 28, 2012 Anonymous Attorney
Mar. 6, 2012 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Nov. 17, 2010 J-P Fourie, Managing Director, Executive Officer, SAVCA
Nov. 16, 2010 Thaddeus I. Gray, Managing Director, Chief Investment Officer, Abbott Capital Management, LLC
Nov. 9, 2010 Chuck Stetson, Managing Director, Private Equity Investors, Inc. and Jerrold Newman, Founder, Willowridge Partners, Inc.
Nov. 12, 2010 ERISA EXPERT, LA, California
Nov. 3, 2010 Shearman & Sterling LLP
Nov. 3, 2010 law professor, NY, New York
Nov. 1, 2010 Mark J. Tannenbaum and Cameron S. Fairall, Ropes and Gray LLP
Oct. 30, 2010 Law Professor
Oct. 29, 2010 Nichter Paul, Paul, Hastings, Janofsky & Walker LLP
Oct. 23, 2010 Hedge Manager, Fund Manager, NY, New York
Oct. 1, 2010 David C. Fischer, Attorney, New York, New York
Sep. 25, 2010 T. A. Jones, US investor in offshore funds, Washington, District of Columbia
Sep. 22, 2010 Richard H. Baker, President and CEO, Managed Funds Association
Sep. 14, 2010 Katten Muchin Rosenman LLP
Aug. 21, 2010 P. James, New York, New York
Aug. 18, 2010 Judith Gross, Principal, JG Advisory Services (compliance consulting), New York, New York
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia
Jul. 28, 2010 Keith P. Bishop, Irvine, California
Jul. 27, 2010 Lewis E. Hutchison, Knoxville, Tennessee
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Nov. 1, 2010 Memorandum from the Division of Investment Management regarding a November 1, 2010, conference call with representatives of the Pennsylvania Public School Employees’ Retirement System
Oct. 27, 2010 Memorandum from the Office of the Chairman regarding an October 27, 2010 meeting with members and representatives of the National Venture Capital Association
Oct. 28, 2010 Memorandum from the Division of Investment Management regarding an October 28, 2010, meeting with representatives of the National Venture Capital Association and Proskauer Rose LLP
Oct. 27, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 27, 2010 meeting with members and representatives of the National Venture Capital Association
Oct. 19, 2010 Memorandum from the Division of Investment Management regarding an October 19, 2010, conference call with Dechert LLP
Oct. 13, 2010 Memorandum from the Office of Investment Adviser Regulation, Division of Investment Management regarding an October 12, 2010, conference call with The Yale Endowment
Oct. 8, 2010 Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum
Oct. 8, 2010 Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable
Oct. 7, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 7, 2010 meeting with representatives from the Securities Industry and Financial Markets Association
Oct. 6, 2010 Memorandum from the Office of Compliance Inspections and Examinations regarding a October 6, 2010 meeting with the Alternative Investment Management Association
Oct. 5, 2010 Memorandum from the Division of Investment Management regarding an October 4, 2010, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP
Sep. 28, 2010 Memorandum from the Division of Investment Management regarding an September 28, 2010, conference call with Proskauer Rose LLP
Sep. 24, 2010 Memorandum from the Division of Investment Management regarding a September 20, 2010, meeting with representatives of Gunderson Dettmer
Sep. 22, 2010 Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the National Venture Capital Association
Sep. 20, 2010 Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives from Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP
Sep. 17, 2010 Memorandum from the Office of Investment Adviser Regulation and Division of Investment Management regarding a conference call with Tiedemann Wealth Management, LLC
Sep. 13, 2010 Memorandum from the Office of Investment Adviser Regulation and Division of Investment Management regarding a conference call with Mayer Brown LLP
Sep. 9, 2010 Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association
Sep. 9, 2010 Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association
Aug. 30, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 30, 2010, telephone call with representatives of the National Venture Capital Association.

 

http://www.sec.gov/comments/df-title-iv/exemptions/exemptions.shtml


Modified: 04/02/2012