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Comments on SEC Regulatory Initiatives Under the JOBS Act: Title IV Small Company Capital Formation


Submitted Comments

(Click here for meetings with SEC officials)
Aug. 26, 2014 Arthur T. Ling, Denver, Colorado
Dec. 12, 2013 Andrea Seidt, President, North American Securities Administrators Association, Inc. (NASAA)
Nov. 26, 2013 Michael L. Zuppone, Paul Hastings LLP, New York, New York
Sep. 23, 2013 William Klehm, Chairman and CEO, Fallbrook Technologies, Cedar Park, Texas
Sep. 5, 2013 Edward C. Goodwin, Ph.D., Angel Investor Forum, New Haven, Connecticut
May 14, 2013 Robert R. Kaplan, Jr. and Mark A. Cleaves; Kaplan, Voekler, Cunningham & Frank PLC
Apr. 26, 2013 G.S. Mccallister, Punta Gorda, Florida
Apr. 25, 2013 Karl M. Sjogren
Apr. 10, 2013 A. Heath Abshure, President, North American Securities Administrators Association
Mar. 21, 2013 Todd Combre, CEO, ArcaneCapital, Canoga Park, California
Jan. 22, 2013 Og Oggilby, Lompoc, California
Jan. 4, 2013 William R. Hambrecht, Chairman and CEO, WR Hambrecht+Co., New York, New York
Dec. 17, 2012 Mike Nelson, New York
Nov. 13, 2012 Rutheford B. Campbell, Jr., William L. Matthews Professor of Law, University of Kentucky
Nov. 7, 2012 Paul Getty, Managing Director, Satwik Ventures LLC
Oct. 5, 2012 George W. Beard, Managing Member, Beacon Investment Partners LLC (DE), Harrisburg, Pennsylvania
Oct. 5, 2012 Brad Jacobsen, Vantus Law Group, P.C., South Jordan, Utah
Sep. 26, 2012 Thomas D. O'Rourke, Pres, Alpine Ventures, Cresskill, New Jersey
Sep. 7, 2012 Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, Washington, District of Columbia
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
Jul. 10, 2012 Jonathan C. Guest, McCarter & English, LLP
Jul. 3, 2012 Jack Herstein, President, North American Securities Administrators Association (NASAA)
Jun. 28, 2012 Robert J. Tresslar, Title Company Data Provider, Property Tax Lien Investor, Denver, Colorado
Jun. 12, 2012 David R. Burton, General Counsel, National Small Business Association, Washington, District of Columbia
May 10, 2012 Robert R. Kaplan, Jr., Esquire, Kaplan Voekler Cunningham & Frank PLC, Richmond, Virginia
Apr. 23, 2012 Richard Lacey, Small Business owner, Carlsbad, California
Apr. 12, 2012 Mike Liles, Jr., Attorney, Karr Tuttle Campbell, Seattle, Washington
Apr. 11, 2012 Tobias J. Preston, Anchorage, Alaska
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
Feb. 19, 2014 Memorandum from the Division of Corporation Finance regarding a February 19, 2014, meeting with representatives of Guzik & Associates and Seyfarth Shaw LLP
Jun. 25, 2013 Memorandum from the Division of Corporation Finance regarding a June 24, 2013, meeting with attorneys from Fried, Frank, Harris, Shriver & Jacobson LLP and representatives of Barclays Capital
Jun. 13, 2013 Memorandum from the Division of Corporation Finance regarding a June 12, 2013, meeting with attorneys from Kaplan Voekler Cunningham & Frank, PLC
Jun. 11, 2013 Memorandum from the Division of Corporation Finance regarding a June 4, 2013, meeting with attorneys from Fried, Frank, Harris, Shriver & Jacobson LLP and representatives of Barclays Capital, Deutsche Bank, and The Lionstone Group
May 16, 2013 Memorandum from the Division of Corporation Finance regarding a May 16, 2013, meeting with a representative of CONNECT
Apr. 23, 2013 Memorandum from the Division of Corporation Finance regarding an April 17, 2013, meeting with representatives of the North American Securities Administrators Association (NASAA)
Dec. 11, 2012 Memorandum from the Division of Corporation Finance regarding a December 3, 2012, meeting with representatives of WR Hambrecht + Co and Morrison & Foerster LLP
Sep. 12, 2012 Memorandum from the Division of Corporation Finance regarding a September 12, 2012, teleconference with representatives of University of Kentucky, College of Law
Jun. 28, 2012 Memorandum from the Division of Corporation Finance regarding a May 23, 2012, teleconference with representatives of Kaplan Voekler Cunningham & Frank PLC
Jun. 28, 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. 22, 2012 Memorandum from the Division of Corporation Financeregarding a May 9, 2012, meeting with representatives of the Real Estate Investment Securities Associat ion (REISA)

 

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

Modified: 08/28/2014