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Comments on SEC Regulatory Initiatives Under the JOBS Act: Title II — Access to Capital for Job Creators


Comments have been received from individuals and entities using the following Letter Type A: 117
Comments have been received from individuals and entities using the following Letter Type B: 160

Submitted Comments

(Click here for meetings with SEC officials)
Oct. 1, 2013 Raymond E. Clark
Sep. 5, 2013 Edward C. Goodwin, Ph.D., Angel Investor Forum, New Haven, Connecticut
Jul. 11, 2013 Howard J. Leonhardt, Founder, Leonhardt Ventures
May 7, 2013 Karl M. Sjogren, Oakland, California
May 6, 2013 Leonard A. Batterson, Venture Capitalist and Entrepreneur, Chicago, Illinois
Apr. 25, 2013 Karl M. Sjogren
Apr. 25, 2013 John Arensmeyer, Founder and CEO, Small Business Majority, Washington, D.C.
Apr. 1, 2013 Marc Tantillo, Board Member SAG-AFTRA, New York, New York
Mar. 29, 2013 Amer Mufti, Sarasota, Florida
Mar. 3, 2013 Jeff Joseph
Mar. 2, 2013 Robert Hoskins, Vice President, Media Relations, Front Page Public Relations
Feb. 23, 2013 Stewart A. Arnet, Columbus, Ohio
Dec. 26, 2012 Robert B. Nami, CEO, TechnologyCrowdFund, San Diego, California
Oct. 4, 2012 Kim Wales, Scott Purcell, Charles Sidman, and Luan Cox, Founding Members, CFIRA
Sep. 17, 2012 Len Bland, CPA, CEO, Concept Equity Group
Sep. 17, 2012 Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey
Sep. 4, 2012 Ann Onomus
Aug. 29, 2012 Daniel Peterson, President, USA Real Estate Fund 1, Inc.
Aug. 28, 2012 Mercer Bullard, President and Founder, Fund Democracy; J. Robert Brown, Jr., Director, Corporate & Commercial Law Program, University of Denver Sturm College of Law; Barbara Roper, Director of Investor Protection, Consumer Federation of America
Aug. 27, 2012 Daniel F. Peterson, President, USA Real Estate Fund 1, Inc.
Aug. 25, 2012 Phillip Goldstein, Bulldog Investors
Aug. 24, 2012 Daniel F. Peterson, President, USA Real Estate Fund 1, Inc.
Aug. 20, 2012 Marianne Hudson, Executive Director, Angel Capital Association, Overland Park, Kansas
Aug. 18, 2012 Anonymous
Aug. 17, 2012 Paul Schott Stevens, President and CEO, Investment Company Institute
Aug. 16, 2012 Jeff Mahoney, General Counsel, Council of Institutional Investors
Aug. 16, 2012 Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute, Charlottesville, Virginia
Aug. 16, 2012 Mercer E. Bullard, President and Founder, Fund Democracy, Inc.; Barbara Roper, Director of Investor Protection, Consumer Federation of America; Lisa Donner, Executive Director, Americans for Financial Reform; and Lynn E. Turner, Former SEC Chief Accountant
Aug. 15, 2012 Fund Democracy, Inc.; Consumer Federation of America; Americans for Financial Reform; AFSCME; AFL-CIO; International Brotherhood of Teamsters; U.S. PIRG; Public Citizen; Consumer Action SAFER (The Economists’ Committee for Stable, Accountable, Fair and Efficient Financial Reform); Consumer Assistance Council, Inc.; Florida Consumer Action Network, Consumer Federation of the Southeast; Demos; Chicago Consumer Coalition; Consumers for Auto Reliability and Safety; CA REINVESTment Coalition; Center for California Homeowner Association Law; Cumberland Countians for Peace & Justice and Network for Environmental & Economic Responsibility; Virginia Citizens Consumer Council; Lynn E. Turner, Former SEC Chief Accountant; James D. Cox, Brainerd Currie Professor of Law, Duke Law School; Joseph V. Carcello, Ernst & Young Professor, Director of Research - Corporate, Governance Center (www.corpgovcenter.org), University of Tennessee; J. Robert Brown, Jr., Chauncey Wilson Memorial Research Professor of Law, Director, Corporate & Commercial Law Program, University of Denver Sturm College of Law; Jane B. Adams, Former SEC Acting Chief Accountant; Gaylen Hansen, Audit Partner, EKS&H; Bevis Longstreth, Former SEC Commissioner
Aug. 15, 2012 Jack Herstein, President, North American Securities Administrators Association, Inc. (NASAA)
Aug. 14, 2012 Joshua Lear, Filmmaker, West Hollywood, California
Aug. 14, 2012 Shannon P. Uglem, Attorney, Uglem Law PC, Northwood, North Dakota
Aug. 9, 2012 The Small Biotechnology Business Coalition
Aug. 9, 2012 Patrick A. Reardon, The Reardon Firm, Fort Worth, Texas
Aug. 8, 2012 Robert J. Kafarski CPM, CCIM, President, Kafarski Equities LLC, New York, New York
Aug. 7, 2012 Senators John Thune, Pat Toomey and Kay Bailey Hutchison, U.S. Senate
Aug. 2, 2012 David R. Burton, General Counsel, National Small Business Association, Washington, District of Columbia
Jul. 24, 2012 Gregory S. Fryer, Verrill Dana LLP, Portland, Maine
Jul. 18, 2012 Phillip Goldstein, Bulldog Investors
Jul. 10, 2012 Michael Flannigan, JD, CFA, Exec VP, BrokerBank Securities, Inc.
Jul. 9, 2012 Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York
Jul. 6, 2012 Anonymous
Jul. 3, 2012 Jack Herstein, President, North American Securities Administrators Association (NASAA)
Jul. 3, 2012 Andrea L. Seidt, Commissioner, Ohio Division of Securities
Jul. 2, 2012 William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Jun. 29, 2012 The Forum for US Securities Lawyers in London
Jun. 28, 2012 William Michael Cunningham
Jun. 28, 2012 Jeff Joseph, Evanston, Illinois
Jun. 27, 2012 Ilan Moscovitz and John Maxfield, The Motley Fool, Washington, District of Columbia
Jun. 26, 2012 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jun. 26, 2012 Brad Wiggins, SecuritiesLawUSA, PC
Jun. 22, 2012 Ed Baker, Naples, Florida
Jun. 20, 2012 Paul S. Sigelman and Paul P. Kestenbaum, Sigelman Law, Beverly Hills, California
Jun. 18, 2012 Bartlett Naylor, Financial Policy Advocate, Public Citizen
Jun. 15, 2012 Jirí Król, Director of Government and Regulatory Affairs, The Alternative Investment Management Association Limited
Jun. 13, 2012 Tim Rowe, Founder and CEO, Cambridge Innovation Center
Jun. 12, 2012 David R. Burton, General Counsel, National Small Business Association, Washington, District of Columbia
Jun. 12, 2012 Lee D. Neumann, Member of the New York and Paris Bars, France
Jun. 11, 2012 Eric A. Brill, Attorney at Law, San Francisco, California
Jun. 7, 2012 Tom Dworzanski
Jun. 6, 2012 Mitch Ackles, President, and Richard Heller, Chairman, Regulatory & Government Advisory Board, Hedge Fund Association
Jun. 5, 2012 Candace Klein and Vince Molinari, Crowdfund Intermediary Regulatory Advocates
Jun. 5, 2012 Daniel Oschin, President, Real Estate Investment Securities Association
Jun. 3, 2012 Phillip Goldstein, Principal, Bulldog Investors
May 30, 2012 Michael Scillia, Director, National Investment Banking Association, Athens, Georgia
May 30, 2012 Akhil Garalnd, CEO, PeoplesVC.com, Peterborough, New Hampshire
May 26, 2012 Frank Nagy, Business Consultant
May 25, 2012 Annemarie Tierney, General Counsel, SecondMarket Holdings, Inc., New York, New York
May 24, 2012 Mercer Bullard, President and Founder, Fund Democracy, Inc.; Barbara Roper, Director of Investor Protection, Consumer Federation of America; Ken McEldowney, Executive Director, Consumer Action; Brandon Rees, Acting Director, Office of Investment, AFL-CIO; Brandon Rees, Acting Director, Office of Investment, AFL-CIO
May 23, 2012 Naval Ravikant, CEO, AngelList
May 21, 2012 Paul Schott Stevens, President and CEO, Investment Company Institute
May 18, 2012 J.C. Williams II, MBA, Managing Partner, Tucson Business Development Group, Tucson, Arizona
May 15, 2012 Sherwood E. Neiss, Crowdfund Investing Regulatory Advocates (CFIRA), Miami Beach, Florida
May 4, 2012 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
May 3, 2012 Barbara G. Novick, Vice Chairman, BlackRock, Inc., New York, New York
May 4, 2012 Robert E. Buckholz, Chair, Committee on Securities Regulation, New York City Bar Association
Apr. 30, 2012 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York
Apr. 27, 2012 Sean Davy, Managing Director, Securities Industry and Financial Markets Association (SIFMA)
Apr. 24, 2012 Kiran Lingam
Apr. 23, 2012 Kevin Frei, entrepreneur, Phoenix, Arizona
Apr. 18, 2012 John C. Nimmer, Esq., Omaha, Nebraska
Apr. 16, 2012 Shiraz Moosajee, CEO, Cascade Broadband Inc., Denver, Colorado
Apr. 14, 2012 William K. Sjostrom, Jr., Professor of Law, University of Arizona, James E. Rogers College of Law, Tucson, Arizona
Apr. 12, 2012 Yi Song, Mona Shah & Associates, New York, New York

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Aug. 31, 2012 Memorandum from the Office of Commissioner Aguilar regarding an April 18, 2012, meeting with representatives of the North American Securities Administrators Association
Aug. 29, 2012 Memorandum from the Office of Commissioner Aguilar regarding an August 27, 2012, meeting with representatives of the National Small Business Association
Aug. 21, 2012 Memorandum from the Office of Commissioner Paredes regarding an August 16, 2012, meeting with representatives of the National Small Business Association
Aug. 21, 2012 Memorandum from the Division of Corporation Finance regarding an August 16, 2012, meeting with representatives of the Angel Capital Association
Aug. 21, 2012 Memorandum from the Division of Corporation Finance regarding a May 29, 2012, meeting with representatives of the North American Securities Administrators Association (NASAA)
Aug. 21, 2012 Memorandum from the Office of Commissioner Walter regarding an August 13, 2012, meeting with a representative of the National Small Business Association
Aug. 21, 2012 Memorandum from the Office of Commissioner Walter regarding an August 14, 2012, meeting with a representative of the Managed Funds Association
Jul. 30, 2012 Memorandum from the Division of Corporation Finance regarding a June 25, 2012, conference call with representatives of the Massachusetts Securities Division
Jul. 30, 2012 Memorandum from the Division of Corporation Finance regarding a July 11, 2012, meeting with representatives of the National Small Business Association
Jul. 30, 2012 Memorandum from the Division of Corporation Finance regarding a July 24, 2012, meeting with representatives of FINRA
Jul. 30, 2012 Memorandum from the Division of Corporation Finance regarding a June 22, 2012, meeting with representatives of Angel Capital Association
Jul. 11, 2012 Memorandum from the Division of Investment Management regarding a June 18, 2012, meeting with representatives of the Managed Funds Association
Jun. 22, 2012 Memorandum from the Division of Corporation Finance regarding a May 9, 2012, meeting with representatives of the Real Estate Investment Securities Association (REISA)

 

http://www.sec.gov/comments/jobs-title-ii/jobs-title-ii.shtml

Modified: 01/27/2014