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Comments on SEC Regulatory Initiatives Under the JOBS Act: Title III Crowdfunding

See also: Comments on Proposed Rule: Crowdfunding; File No. S7-09-13


Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type A: 126
Oct. 23, 2013 Dave Angelow, Adjunct Professor Texas State, Austin, Texas
Oct. 23, 2013 Russ Mantel, Clear Lake, Wisconsin
Oct. 21, 2013 Sen. Jeffrey Merkley, et al., U.S. Senate
Oct. 8, 2013 Divina K. Westerfield, Esq., Manager, American Crowdfunding Association Inc., Ellenton, Florida
Sep. 27, 2013 Patrick Donovan, New Jersey
Sep. 18, 2013 Sten Erik Hakanson, Patent Attorney, Stillwater, Minnesota
Sep. 10, 2013 Anthony and Erika Endres, Projectheureka LLC, Cincinnati, Ohio
Aug. 14, 2013 Robert Ramos, Corpus Christi, Texas
Jul. 22, 2013 Paul White, Professional Real Estate Advisors Inc.
Jul. 19, 2013 Mark Norych, Esquire, Executive Vice President, General Counsel, Board Member, Arbitration Resolution Services, Inc., Coral Springs, Florida
Jul. 18, 2013 Sen. Mark Begich, U.S. Senate
Jul. 11, 2013 Howard J. Leonhardt, Founder, Leonhardt Ventures
Jul. 9, 2013 T. W. Kennedy, B.E., Founder: Regulated Funding Portal Industry Assoc., Seal Beach, California
Jul. 4, 2013 John Hamilton, President, City First Enterprises, Washington, District of Columbia
Jun. 28, 2013 T.W. Kennedy, B.E., C.E.O., CyberIssues.com, Long Beach, California
Jun. 26, 2013 Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Jun. 13, 2013 Zachary Ferguson, Chapel Hill, North Carolina
Jun. 13, 2013 Andrew A. Schwartz, Associate Professor of Law, University of Colorado, Boulder, Colorado
May 24, 2013 Patricia Baker, Executive Director, Old Takoma Business Association
May 15, 2013 Christopher Nunes, Esq, CEO, Holofy, Los Angeles, California
Apr. 25, 2013 Karl M. Sjogren
Apr. 24, 2013 David Rey, Rey Nedia, Los Angeles, California
Apr. 24, 2013 Darryl Aken, RentalCompare, Los Angeles, California
Apr. 15, 2013 Matt R. Morse, Sr., Tualatin, Oregon
Mar. 22, 2013 T.H. Ison, Equistratus, Cincinnati, Ohio
Mar. 20, 2013 Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, American Bar Association
Mar. 11, 2013 Ryan Feit, Co-Founder & CEO, SeedInvest, and Kim Wales, Founder & CEO, Wales Capital; The CrowdFund Intermediary Regulatory Advocates
Mar. 8, 2013 Charles Sidman,MBA,PhD; Founder, Crowdfunding Investment (CFI) Angels; Founding Board Member, Crowdfund Intermediary Regulatory Advocates(CfIRA)and Crowdfunding Professional Association(CFPA); Public Policy Committee Member, Angel Capital Association(ACA); Manager, ECS Capital Partners
Mar. 2, 2013 Robert Hoskins, Vice President, Media Relations, Front Page Public Relations
Mar. 2, 2013 Keith Williams, Los Angeles, California
Feb. 15, 2013 Enrico Petazzoni, Bologna, Italy
Feb. 14, 2013 Shante Jones, Vice President, Bedford Stuvyesant Unity Youth Resources, Inc., Brooklyn, New York
Feb. 7, 2013 Paul W. Richter, PW Richter plc, Richmond, Virginia
Feb. 7, 2013 John P. Williams
Feb. 1, 2013 Matt Morse, Sr., Consultant, Tualatin, Oregon
Jan. 31, 2013 Jay Perron, Vice President, Government Relations and Public Policy, International Franchise Association, Washington, District of Columbia
Jan. 28, 2013 Matthew R. Nutting, Esq., Senior Counsel, Coleman & Horowitt, LLP Board Member, National Crowdfunding Association National Attorney Laison for Crowdfunding, Fresno, California
Jan. 21, 2013 CrowdFund Intermediary Regulatory Advocates
Jan. 20, 2013 Kevin J. Tostado, Producer, Tostie Productions, Waltham, Massachusetts
Jan. 16, 2013 Robert B. Nami, President, TechnologyCrowdFund, San Diego, California
Jan. 15, 2013 William Michael Cunningham, AM, MBA, Social Investing Advisor, Washington, District of Columbia
Jan. 9, 2013 Andrea L. Seidt, Commissioner, Ohio Division of Securities, Columbus, Ohio
Jan. 4, 2013 Al Franken, U.S. Senator
Jan. 3, 2013 John Vassilliw, ACFIA, New York
Jan. 3, 2013 John Vassilliw, ACFIA, New York
Jan. 2, 2013 Paul Spinrad
Dec. 28, 2012 Thomas Selz, Jerrold Spiegel, Victoria Cook, Andrew Hurwitz, and Alan Sacks, Frankfurt Kurnit Klein & Selz PC, New York, New York
Dec. 26, 2012 John Vogele
Dec. 23, 2012 Debo Ayeni
Dec. 17, 2012 Prof. Ethan Mollick, The Wharton School, University of Pennsylvania
Dec. 15, 2012 John Vassilliw, New York
Dec. 12, 2012 Michael F. Bennet, U.S. Senator
Dec. 10, 2012 Sen. Jeffrey A. Merkley, et al., U.S. Senate
Dec. 5, 2012 Brian Knight, V.P. for Platform Services, CrowdCheck
Dec. 4, 2012 Kim Wales, Founder, Wales Capital, and Founding Member and Board Member, CrowdFund Intermediary Regulatory Advocates
Dec. 3, 2012 Scott Purcell, Arctic Island, Board Member, CrowdFund Intermediary Regulatory Advocates
Nov. 30, 2012 Charles L. Sidman, MBA, PhD, Manager, Crowdfunding Investment Angels; Founding Board Member, Crowdfund Intermediary Regulatory Advocates (CfiRA) and Crowdfund Professional Association (CFPA)
Nov. 26, 2012 Kim Wales, Founder, Wales Capital, and Founding Member and Board Member, CrowdFund Intermediary Regulatory Advocates
Nov. 24, 2012 Chris Gomez, Hayward, California
Nov. 14, 2012 Alon Hillel-Tuch, Founder and CFO, RocketHub, New York, New York
Nov. 12, 2012 Christian Gomez, Hayward, California
Nov. 8, 2012 John R. Fahy, Partner, Whitaker Chalk Swindle Schwartz PLLC, Fort Worth, Texas
Nov. 8, 2012 Erin DeSpain, President, BrainThrob Laboratories, Inc., Midlothian, Virginia
Nov. 4, 2012 Michael Black, Brooklyn, New York
Oct. 29, 2012 Chris Tyrrell, Kim Wales, and Charles Sidman, Founding Members, Crowdfund Intermediary Regulatory Advocates
Oct. 25, 2012 Robert A. Muh, Chief Executive Officer, Sutter Securities Inc.
Oct. 17, 2012 Brian G. Hansen, Newport Beach, California
Oct. 10, 2012 Chris Tyrrell, Kim Wales, and Charles Sidman, Founding Members, Crowdfund Intermediary Regulatory Advocates
Oct. 4, 2012 Jerry Carlton, Robert Scott, and John French, Immix Law Group PC, Portland, Oregon
Oct. 1, 2012 Doug Donovan, Entrepreneur, Denver, Colorado
Sep. 29, 2012 Howard J. Leonhardt, CEO, Leonhardt Ventures and CalXStars Business Accelerator, Co-Leader Startup, California, Santa Monica, California
Sep. 26, 2012 Frank H. Moss, Jr., MS, Adjunct Professor of Info Systems & Tech, Serial Entrepreneur, Pasadena, California
Sep. 26, 2012 Neal C. McCane, CFA, Co-Founder, risingtidefunding.com, Lee's Summit, Missouri
Sep. 21, 2012 Paul Tomkinson
Sep. 17, 2012 Henry Frost, Dallas, Texas
Sep. 17, 2012 Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey
Sep. 14, 2012 Lon David Varvel, Founding Member, Crowdfund Intermediary Regulatory Advocates
Sep. 11, 2012 Thomas Braun, CFO, Genedyne Corporation
Sep. 7, 2012 Daniel E. LeGaye, The LeGaye Law Firm, P.C., The Woodlands, Texas
Sep. 6, 2012 Brian McDonough, CEO, Santa Monica, California
Sep. 4, 2012 Jacob J. Schumer, Staff Editor, Vanderbilt Journal of Entertainment and Technology Law, Nashville, Tennessee
Sep. 4, 2012 Paul Trowe, Trowe, Replay Games, Austin, Texas
Sep. 1, 2012 Loris Hemlof, Australia
Sep. 1, 2012 Yann Le Jeune, CEO French Crowdfund Platform, Ivry sur Seine, France
Sep. 1, 2012 Frederic Baud, President P2PVenture.org, France
Aug. 31, 2012 Michael Van Steenburg, CEO of VS Technology Inc., San Antonio, Texas
Aug. 31, 2012 Chase Becotte, Florida
Aug. 31, 2012 Brandon Abbey, President and Managing Director, Escrow.com, Rancho Santa Margarita, California
Aug. 22, 2012 Kim Wales, Founding Member, and DJ Paul, Founding Member, Crowdfunding Intermediary Regulatory Advocates
Aug. 22, 2012 Ryan Barnes, Logan, Utah
Aug. 21, 2012 Catherine V. Mott, Founder, BlueTree Allied Angels, Wexford, Pennsylvania
Aug. 19, 2012 Matthew L., Chicago, Illinois
Aug. 18, 2012 T.W. Kennedy, BE, Regulated Funding Portal Industry Associations
Aug. 18, 2012 T.W. Kennedy, BE, Regulated Funding Portal Industry Associations
Aug. 17, 2012 Aleksandr Feldman
Aug. 17, 2012 Richard A. Weintraub, Chief Compliance Officer and Legal Counsel for CommunityLeader, Inc., San Diego, California
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 Thomas Braun, CFO, Genedyne Corporation
Aug. 16, 2012 Maurice Lopes, CEO, EarlyShares.com, Inc.
Aug. 15, 2012 Marshall Neel, Esq., Co-Founder, Crowdfunding Offerings, Limited
Aug. 9, 2012 Kim Wales and Christine Landon, Founding Members, Crowdfunding Intermediary Regulatory Advocates (CFIRA)
Aug. 8, 2012 William F. Galvin, Secretary of the Commonwealth of Massachusetts
Aug. 7, 2012 Martin Wright, Wright, London, United Kingdom
Aug. 7, 2012 Martin Wright, United Kingdom
Aug. 2, 2012 Paul M. Gregory, Denver, Colorado
Jul. 30, 2012 Hector Vizcarrondo, Co-founder & CEO, Pearfunds, LLC
Jul. 28, 2012 J. Randy Shipley, Founder, CrowdFund Connect, SocialGravity Inc.
Jul. 26, 2012 Steven A. Cinelli, Founder and CEO, PRIMARQ
Jul. 26, 2012 Paul Spinrad
Jul. 25, 2012 T.W. Kennedy, B.E., Founder, Regulated Funding Portal Industry Association, Long Beach, California
Jul. 24, 2012 David Simpson, CFA
Jul. 23, 2012 EL Mazyck, President, AppleSeedz.com, Miramar, Florida
Jul. 23, 2012 David Simpson, CFA, Dex Offshore Entertainment LLC, Dubai, United Arab Emirates
Jul. 18, 2012 Christine Landon
Jul. 18, 2012 Christine Landon
Jul. 16, 2012 American Sustainable Business Council
Jul. 10, 2012 Maurice Lopes, CEO, EarlyShares.com, Inc.
Jul. 3, 2012 Jack Herstein, President, North American Securities Administrators Association (NASAA)
Jun. 30, 2012 Roy Philipose, Philadelphia, Pennsylvania
Jun. 28, 2012 Robert B. Nami, CEO/President TechnologyCrowdFund, San Diego, California
Jun. 28, 2012 Lamar Whitman, Director, Public Advocacy, CompTIA, Washington, District of Columbia
Jun. 28, 2012 Roy Philipose, Philadelphia, Pennsylvania
Jun. 27, 2012 Ilan L. Moscovitz and John Maxfield, The Motley Fool, Washington, District of Columbia
Jun, 26, 2012 Scott Purcell, Founder, Arctic Island Crowdfunding Portal, Las Vegas, Nevada
Jun. 25, 2012 Mark W. Kanter, Founder, Markay Company, San Diego, California
Jun. 24, 2012 Navid More, Associate Attorney, Sklar Law, P.C., Los Angeles, California
Jun. 18, 2012 Sue Basko, Lawyer, Los Angeles, California
Jun. 17, 2012 Ross Randrup, Managing Member, Verdant Ventures LLC, Sebastopol, California
Jun. 15, 2012 Jouko Ahvenainen and Valto Loikkanen, Co-founders, Grow VC
Jun. 14, 2012 Richard W. Marks, President, EnVironmental Transportation Solutions, LLC, Grosse Pointe Woods, Michigan
Jun. 13, 2012 Stevario Windhom, Macon, Georgia
Jun. 12, 2012 David R. Burton, General Counsel, National Small Business Association, Washington, District of Columbia
Jun. 12, 2012 Rod Turner, CEO and Founder, START.ac CrowdFunding business, San Diego, California
Jun. 10, 2012 Jim Acos, Carpinteria, California
June 7, 2012 Robert B. Nami, CEO/President TechnologyCrowdFund, San Diego, California
Jun. 5, 2012 Candace Klein and Vince Molinari, Crowdfund Intermediary Regulatory Advocates
Jun. 5, 2012 Robert B. Nami, TechnologyCrowdFund, San Diego, California
Jun. 4, 2012 Albert Hartman, CEO, High Tide, Palo Alto, California
Jun. 3, 2012 Mary Ann Skweres, Independent Film Professional, Los Angeles, California
Jun. 1, 2012 Dorian S. Cole, Movie Stream Productions, St. Peters, Missouri
May 31, 2012 Peter Ojo, CEO, VTNGLOBAL
May 30, 2012 Candace S. Klein, Chair, and Vincen R. Molinari, Co-Chair, Crowdfunding Intennediary Regulatory Advocates
May 30, 2012 Robert B. Nami, President/CEO TechnologyCrowdFund.com, San Diego, California
May 28, 2012 John Tally, Raleigh, North Carolina
May 26, 2012 Cary Harwin, President, Co-Founder of FundaGeek.com crowdfunding site, Yucca Valley, California
May 25, 2012 Ward Roberts, Los Angeles, California
May 23, 2012 Caren L. Larkey, Los Angeles, California
May 22, 2012 Mike Stapleton, PPM Logix, Dallas, Texas
May 20, 2012 Stephen Gornick, El Segundo, California
May 15, 2012 Sherwood E. Neiss, Crowdfund Investing Regulatory Advocates (CFIRA), Miami Beach, Florida
May 15, 2012 Karl Hensel, Noblesville, Indiana
May 14, 2012 Andrew D. Stephenson, Esq., Washington, District of Columbia
May 11, 2012 Anthony D. Edwards, Esquire, Founder, Crowdfunding Offerings, Ltd, Silverton, Colorado
May 11, 2012 Marshall Neel, Esquire, Co-Founder, Crowdfunding Offerings, Ltd, Rio Rancho, New Mexico
May 11, 2012 Marshall Neel, Esquire, Co-Founder, Crowdfunding Offerings, Ltd, Rio Rancho, New Mexico
May 11, 2012 Marshall Neel, Esquire, Co-Founder, Crowdfunding Offerings, Ltd, Rio Rancho, New Mexico
May 11, 2012 Anthony D. Edwards, Esquire, Founder, Crowdfunding Offerings, Ltd, Silverton, Colorado
May 11, 2012 Anthony D. Edwards, Esquire, Founder, Crowdfunding Offerings, Ltd., Silverton, Colorado
May 11, 2012 Travis E. Chapman, Esquire, Crowd Startup Capital, Birmingham, Alabama
May 11, 2012 Tony Reynolds, Founder, AKickInCrowd.Com, Columbus, Ohio
May 10, 2012 Fred Pena, Law Student, BYU Law School, Provo, Utah
May 7, 2012 Robert J. Thibodeau, President, CrowdFund Capital Markets, Boston, Massachusetts
May 7, 2012 James Durward, Calgary, Canada
May 4, 2012 Randall Lucas, CEO, Applied Dynamite Inc., Seattle, Washington
May 4, 2012 Dr. Letitia S. Wright , D.C. , Wright Place TV Show, Crowd Funding Expert, Montclair, California
May 4, 2012 Perry D. West, Esq., InitialCrowdOffering.com, Cocoa, Florida
May 2, 2012 William F. Galvin, Secretary of the Commonwealth of Massachusetts
May 2, 2012 Robert Priore, Massachusetts
May 2, 2012 Jonathan Koller, Detroit, Michigan
May 1, 2012 Robert B. Nami, CEO/President TechnologyCrowdFund.com, San Diego, California
May 1, 2012 Kiran Lingam, esq.
May 1, 2012 Elliott Dahan, Managing Partner, The Growth Group, Mountain View, California
May 1, 2012 Larry A. MacDonald, Santa Rosa, California
May 1, 2012 Alon Hillel-Tuch, Co-Founder & CFO, RocketHub.com
Apr. 30, 2012 Sara Hanks, CEO, CrowdCheck, Inc., Alexandria, Virginia
Apr. 27, 2012 H. Bruce Li, Ph.D. P.E., Richardson, Texas
Apr. 27, 2012 Marc A. Greendorfer, Tri Valley Law, PC
Apr. 27, 2012 Shane M. Fleenor, Vim Funding, Inc, creator of Funding Launchpad -- Co-founder and CLO, Denver, Colorado
Apr. 27, 2012 Howard M. Friedman, Professor of Law Emeritus, University of Toledo, Atlanta, Georgia
Apr. 26, 2012 Thomas O. Markel, Jr., Costa Mesa, California
Apr. 25, 2012 Sebastian Sweatman, Board, Vermont Investors Forum, Burlington, Vermont
Apr. 25, 2012 David B. Haynie, Entrepreneurship Faculty, Foothill College CEO, CitySpark.com, Palo Alto, California
Apr. 24, 2012 Kiran Lingam
Apr. 24, 2012 Joe Loofbourrow, Oklahoma City, Oklahoma
Apr. 24, 2012 William J. Mills, JD, BeFounders, Chicago, Illinois
Apr. 23, 2012 Jason Moore, Manager, Washington, District of Columbia
Apr. 19, 2012 John Cones
Apr. 19, 2012 Joelle Scott, Director of Business Intelligence, Corporate Resolutions Inc., New York, New York
Apr. 18, 2012 William L. Whitacre, Esquire, Entertainment Attorney representing Independent Filmmakers, Maitland, Florida
Apr. 18, 2012 Mike Liles, Jr., Attorney-at-Law, Seattle, Washington
Apr. 17, 2012 Mark Litwak, Entertainment Lawyer representing filmmakers and investors, Beverly Hills, California
Apr. 17, 2012 Mike Liles, Jr., Seattle, Washington
Apr. 16, 2012 Kelly A. Maurer, Treasurer, Buffalo First Member, Buffalo Common Wealth LLC Assistant Treasurer, Buffalo Cooperative FCU, Buffalo, New York
Apr. 16, 2012 Brandon W.
Apr. 16, 2012 Harry Shamir, Principal, RDA Co, Plymouth, Massachusetts
Apr. 16, 2012 David E. Simpson, CFA, Dex Offshore Entertainment LLC, Dubai, United Arab Emirates
Apr. 15, 2012 Daniel Isenberg, Ph.D., Professor of Management Practice, Boston, Massachusetts
Apr. 15, 2012 Chad Sykes, Investor Relations Consultant, Houston, Texas
Apr. 14, 2012 Mark Law, CEO, ExpertBeacon.com, Seattle, Washington
Apr. 14, 2012 David E. Simpson, CFA, Founder, CEO of Dex Offshore Entertainment LLC
Apr. 13, 2012 Perry D. West, Esq., Cocoa, Florida
Apr. 13, 2012 Daniel E. Nelson, PhD, JD, Chairman, Rocketjet Corporation, Orlando, Florida
Apr. 13, 2012 Michael Mace, CEO, Cera Technology, San Jose, California
Apr. 12, 2012 Etienne Maugain
Apr. 12, 2012 Runjan A. Jain
Apr. 12, 2012 Joe Parker, CEO, Longmont, Colorado
Apr. 12, 2012 Robert Romano, Manassas, Virginia
Apr. 11, 2012 Kiran Lingam, Esq.
Apr. 11, 2012 Dan Grady, CEO, Winfiniti, Inc, Spokane, Washington
Apr. 11, 2012 Darrell M. Stafford, CMA, Certified Managerial Accountant, Real Estate Broker,Retired Financial Director, Arroyo Grande, California
Apr. 11, 2012 Marc C. Coan, Developing Registered Funding Portal per JOBS Act, Santa Fe, New Mexico
Apr. 11, 2012 Kraig Fairhurst, Orem, Utah

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Oct. 9, 2013 Memorandum from the Division of Corporation Finance regarding an October 9, 2013, meeting with Robert Salame and Stephen Ferszt
Oct. 8, 2013 Memorandum from the Division of Trading and Markets regarding an October 8, 2013, phone call with representatives of CrowdFund Intermediary Regulatory Advocates
Oct. 7, 2013 Memorandum from the Division of Trading and Markets regarding an October 7, 2013, phone call with representatives of Ellenoff Grossman & Schole LLP
Jul. 31, 2013 Memorandum from the Division of Trading and Markets regarding a July 31, 2013, meeting with representatives of Australian Small Scale Offerings Board and CrowdFund Intermediary Regulatory Advocates
Jul. 30, 2013 Memorandum from the Division of Corporation Finance regarding a July 30, 2013, meeting with representatives of City First Enterprises
Jul. 25, 2013 Memorandum from the Division of Trading and Markets regarding a July 25, 2013, meeting with representatives of CommunityLeader, Inc. and Native American Partnerships, LLC
Jun. 12, 2013 Memorandum from the Division of Trading and Markets regarding a June 12, 2013, meeting with representatives of Cmp.ly
May 16, 2013 Memorandum from the Division of Corporation Finance regarding a May 16, 2013, meeting with a representative of CONNECT
May 15, 2013 Memorandum from the Division of Corporation Finance regarding a May 15, 2013, meeting with a representative of Portfolia
Apr. 30, 2013 Memorandum from the Division of Corporation Finance regarding an April 30, 2013, meeting with representatives of the American Institute of Architects
Apr. 15, 2013 Memorandum from the Division of Trading and Markets regarding an April 15, 2013, meeting with representatives of NACHA
Mar. 25, 2013 Memorandum from the Division of Trading and Markets regarding a March 25, 2013, phone call with representatives of BancBox and SeedInvest
Feb. 27, 2013 Memorandum from the Division of Trading and Markets regarding a February 27, 2013, phone call with representatives of SeedInvest and Ellenoff, Grossman & Schole
Feb. 27, 2013 Memorandum from the Division of Corporation Finance regarding a February 27, 2013, meeting with representatives of Frankfurt Kurnit Klein & Selz
Feb. 27, 2013 Memorandum from the Division of Corporation Finance regarding a February 27, 2013, phone call with a representative of ciValidator Corp.
Feb. 19, 2013 Memorandum from the Division of Trading and Markets regarding a February 19, 2013, meeting with representatives from the crowdfunding industry
Feb. 8, 2013 Memorandum from the Division of Trading and Markets regarding a February 8, 2013, meeting with representatives of FINRA
Feb. 4, 2013 Memorandum from the Division of Trading and Markets regarding a February 4, 2013, meeting with John Vassilliw and Ty Sagalow
Feb. 5, 2013 Memorandum from the Division of Corporation Finance regarding a February 5, 2013, telephone call with Sam Braslau
Jan. 31, 2013 Memorandum from the Division of Corporation Finance regarding a January 31, 2013, meeting with representatives of The InVentures Group, Inc.
Jan. 18, 2013 Memorandum from the Division of Trading and Markets regarding a January 18, 2013, meeting with representatives of CrowdCheck, Inc.
Jan. 16, 2013 Memorandum from the Office of the Chair regarding a January 16, 2013, meeting with representatives of SoMoLend, Grossman, & Schole, and Funding Circle
Dec. 19, 2012 Memorandum from the Division of Trading and Markets regarding a December 12, 2012 meeting with Prof. Ethan Mollick
Dec. 5, 2012 Memorandum from the Division of Corporation Finance regarding a December 5, 2012 meeting representatives of the North American Securities Administrators Association (NASAA)
Dec. 3, 2012 Memorandum from the Division of Corporation Finance regarding a December 3, 2012 meeting representatives of the American Sustainable Business Council
Nov. 29, 2012 Memorandum from the Division of Corporation Finance regarding a November 29, 2012 phone call with representatives of the Startup Channel
Nov. 19, 2012 Memorandum from the Division of Trading and Markets regarding a November 19, 2012 meeting with representatives of FINRA and Gate Technology
Nov. 13, 2012 Memorandum from the Division of Trading and Markets regarding a November 13, 2012 meeting with representatives of SoMoLend, FINRA, and Gate Technology
Nov. 13, 2012 Memorandum from the Division of Trading and Markets regarding a November 8, 2012 telephonic meeting with representatives of CIFRA
Oct. 16, 2012 Memorandum from the Division of Trading and Markets regarding an October 16, 2012 meeting with representatives of FINRA
Oct. 16, 2012 Memorandum from the Division of Corporation Finance regarding an October 12, 2012 meeting with representatives of the CrowdFund Intermediary Regulatory Advocates
Oct. 11, 2012 Memorandum from the Division of Trading and Markets regarding an October 11, 2012 meeting with representatives of Kiva
Sep. 27, 2012 Memorandum from the Division of Corporation Finance regarding a September 11, 2012 meeting with representatives of the Securities Transfer Association
Sep. 27, 2012 Memorandum from the Division of Corporation Finance regarding a September 21, 2012 meeting with representatives of CityFirst Enterprises
Sep. 27, 2012 Memorandum from the Division of Corporation Finance regarding an August 8, 2012 meeting with representatives of CityFirst Enterprises
Sep. 20, 2012 Memorandum from the Division of Trading and Markets regarding a September 20, 2012 meeting with representatives of Indiegogo, Inc.
Sep. 20, 2012 Memorandum from the Division of Trading and Markets regarding a September 20, 2012 meeting with representatives of Kiva
Sep. 20, 2012 Memorandum from the Office of Commissioner Walter regarding a September 20, 2012 meeting with representatives of CityFirst Enterprises
Sep. 12, 2012 Memorandum from the Division of Trading and Markets regarding a September 12, 2012 meeting with representatives of RocketHub
Sep. 7, 2012 Memorandum from the Division of Trading and Markets regarding a September 7, 2012, meeting with representatives of FINRA
Aug. 22, 2012 Memorandum from the Division of Trading and Markets regarding an August 22, 2012, meeting with representatives of Indiegogo, Inc.
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. 10, 2012 Memorandum from the Office of Legislative and Intergovernmental Affairs regarding an August 10, 2012, meeting with staff of Senator Jeff Merkley
Aug. 9, 2012 Memorandum from the Division of Trading and Markets regarding an August 9, 2012, meeting with representatives of Sprowtt, Inc.
Aug. 9, 2012 Memorandum from the Division of Corporation Finance regarding a July 10, 2012, telephone call with a representative of Operations, Kickstarter
Jul. 24, 2012 Memorandum from the Division of Corporation Finance regarding a July 16, 2012, meeting with a representative of MicroAngels
Jul. 17, 2012 Memorandum from the Division of Trading and Markets regarding a July 17, 2012, meeting with representatives of RocketHub
Jun. 27, 2012 Memorandum from the Division of Corporation Finance regarding a June 25, 2012, phone call with representatives of the Massachusetts Securities Division
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)
Jun. 19, 2012 Memorandum from the Division of Corporation Finance regarding a May 29, 2012, meeting with representatives of the North American Securities Administrators Association (NASAA)
Jun. 18, 2012 Memorandum from the Division of Trading and Markets regarding a June 18, 2012, meeting with representatives from crowd funding portals
Jun. 13, 2012 Memorandum from the Division of Trading and Markets regarding a June 13, 2012, meeting with representatives of the American Sustainable Business Council
May 24, 2012 Memorandum from the Division of Trading and Markets regarding a May 24, 2012, meeting with representatives of ECS Captial Partners
May 14, 2012 Memorandum from the Division of Trading and Markets regarding a May 14, 2012, Meeting with representatives of the National Crowdfunding Association
Apr. 20, 2012 Memorandum from the Division of Trading and Markets regarding an April 20, 2012, Meeting with representatives of Crowdfunding Portals
Apr. 20, 2012 Memorandum from the Division of Trading and Markets regarding an April 20, 2012, Telephonic Meeting with representatives from ProFounder

 

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

Modified: 01/10/2014