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Comments on Proposed Rule:
Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act

[Release Nos. 33-9497, 34-71120, 39-2493; File No. S7-11-13]


Submitted Comments

(Click here for meetings with SEC officials)
Dec. 9, 2014 Samuel S. Guzik, Securities Lawyer, Guzik and Associates, Los Angeles, California
Dec. 4, 2014 Reps. Maxine Waters and Stephen F. Lynch, U.S. House of Representatives
Nov. 18, 2014 Nick Bhargava, Executive Vice President, Groundfloor Finance Inc. , Atlanta , Georgia
Nov. 3, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Oct. 25, 2014 Samuel S. Guzik, Securities Attorney, Guzik and Associates, Los Angeles, California
Sep. 25, 2014 Rep. Patrick McHenry, Member of Congress, et al.
Sep. 5, 2014 Sen. Mark R. Warner, U.S. Senate
Sep. 3, 2014 Kevin Bernard, Ashburn, Virginia
Aug. 19, 2014 Todd Hart, Kailua Kona, Hawaii
Aug. 13, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Aug. 1, 2014 Sen. Edward J. Markey, et al., U.S. Senate
Jul. 26, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Jul. 15, 2014 Gregory S. Fryer, Esq., Partner, Verrill Dana, LLP, Portland, Maine
Jul. 5, 2014 Samuel S. Guzik, Securities Attorney, Guzik and Associates, Los Angeles, California
Jun. 6, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Jun. 3, 2014 Stephen F. Lynch, et al., U.S. House of Representatives
May 27, 2014 Pat Roberts, U.S. Senator
May 19, 2014 Ford C. Ladd, Esquire, Alexandria, Virginia
May 14, 2014 Gabrielle Buckley, Chair, Section of International Law, American Bar Association, Washington, District of Columbia
May 14, 2014 Kim Wales, Executive Board Member, Crowdfund Intermediary Regulatory Advocates (CFIRA)
May 8, 2014 Lindsay M. Scherber
May 7, 2014 Chad Johnson, Bureau Chief, Investor Protection Bureau, New York State Attorney General's Office, New York, New York
Apr. 3, 2014 Stanley Keller, Edwards Wildman Palmer LLP
Apr. 3, 2014 Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Apr. 2, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Apr. 1, 2014 Daniel McElroy, DuMoulin Black LLP
Mar. 30, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Mar. 27, 2014 George W. Beard, Mng. Member, Beacon Investment Partners, LLC, Harrisburg, Pennsylvania
Mar. 27, 2014 Andrew F. Viles, Canaccord Genuity Inc., New York, New York
Mar. 26, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Mar. 26, 2014 Morrison & Foerster LLP, New York, New York
Mar. 26, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Mar. 25, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Mar. 25, 2014 Christopher Cole, Senior Vice President and Senior Regulatory Counsel, Independent Community Bankers of America
Mar. 24, 2014 Ernst & Young LLP
Mar. 24, 2014 Mark Kosanke, President, Real Estate Investment Securities Association
Mar. 24, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Mar. 24, 2014 Paul Sigelman, President & CEO, Accredited Assurance
Mar. 24, 2014 Ted J. Coombs, Chief Technology Officer, Workers On Call, Kurtistown, Hawaii
Mar. 24, 2014 Andrew M. Hartnett, Missouri Commissioner of Securities, Jefferson City, Missouri
Mar. 24, 2014 Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Mar. 24, 2014 Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York
Mar. 24, 2014 William M. Beatty, Securities Administrator, Washington Department of Financial Institutions
Mar. 24, 2014 Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner, Washington , District of Columbia
Mar. 24, 2014 Deloitte & Touche LLP
Mar. 24, 2014 Michael L. Zuppone, Paul Hastings LLP, New York, New York
Mar. 24, 2014 Bill Soby, Managing Director, Silicon Valley Global Shares
Mar. 24, 2014 Irving L. Faught, Administrator, Oklahoma Department of Securities
Mar. 24, 2014 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Mar. 24, 2014 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Mar. 24, 2014 PricewaterhouseCoopers LLP
Mar. 24, 2014 Brett Palmer, President, Small Business Investor Alliance
Mar. 24, 2014 Mark Goldberg, Chairman, Investment Program Association
Mar. 24, 2014 William F. Galvin, Secretary, Commonwealth of Massachusetts
Mar. 24, 2014 KPMG LLP
Mar. 24, 2014 Jonathan Frutkin, Principal, The Frutkin Law Firm, PLC
Mar. 24, 2014 Pw Carey
Mar. 24, 2014 Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets, CFA Institute
Mar. 24, 2014 Cynthia M. Fornelli, Executive Director, Center for Audit Quality
Mar. 24, 2014 Samuel S. Guzik, Corporate and Securities Attorney, Los Angeles, California
Mar. 24, 2014 John Rodenrys, Executive Director R&D, Leading Biosciences, Inc.
Mar. 24, 2014 Ryan C. Gilman, Esq., Glenwood Springs, Colorado
Mar. 24, 2014 Barbara Roper, Director of Investor Protection, Consumer Federation of America
Mar. 24, 2014 Salomon Kamalodine, Director, Investment Banking, B. Riley & Co.
Mar. 23, 2014 Robert R. Kaplan, Jr. and T. Rhys James, Kaplan Voekler Cunningham & Frank PLC, Richmond, Virginia
Mar. 23, 2014 Bruce E. Methven, Securities Law Attorney, Berkeley, California
Mar. 22, 2014 William Klehm, Chairman and CEO, Fallbrook Technologies, Cedar Park, Texas
Mar. 22, 2014 Michael Sauvante, Executive Director
Mar. 21, 2014 John Morgan, Securities Commissioner, Texas State Securities Board
Mar. 21, 2014 David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation
Mar. 21, 2014 Michael Sauvante, Executive Director, Commonwealth Fund LLC
Mar. 21, 2014 Michael T. Lempres, Assistant General Counsel, SVB Finanical Group, Palo Alto, California
Mar. 21, 2014 George W. Beard, Harrisburg, Pennsylvania
Mar. 20, 2014 Daniel Eng, CEO
Mar. 20, 2014 BDO USA, LLP
Mar. 19, 2014 Ford C. Ladd, Esq., Alexandria, Virginia
Mar. 19, 2014 Daniel Gorfine, Director, Financial Markets Policy, and Staci Warden, Executive Director, Center for Financial Markets, Milken Institute, Washington, District of Columbia
Mar. 19, 2014 Jack H. Brier, President and Founder, US Alliance Corporation
Mar. 19, 2014 McGladrey LLP
Mar. 18, 2014 Robert Kisel, Small Business Owner, Bolivar, New York
Mar. 18, 2014 Roger Doctor
Mar. 17, 2014 Frederick D. Lipman, Blank Rome LLP
Mar. 12, 2014 Jason Akel, President, New Food Ventures LLC, Hercules, California
Mar. 11, 2014 E. Cartier Esham, Executive Vice President, Emerging Companies, Biotechnology Industry Organization (BIO)
Mar. 11, 2014 Akbert P. Kretz, Ph.D., Founder/Manager, Mentor, Ohio
Mar. 5, 2014 Rutheford B. Campbell, Jr., Spears-Gilbert Professor of Law, University of Kentucky
Mar. 5, 2014 William R. Hambrecht, Chairman, WR Hambrecht+ Co, San Francisco, California
Mar. 5, 2014 Damaris Mendoza-Román, Assistant Commissioner, Office of the Commissioner of Financial Institutions, Puerto Rico
Mar. 4, 2014 Hon. Jesse White, Illinois Secretary of State, et al.
Mar. 4, 2014 Travis Newman, COO, The Funding Platform, San Clemente, California
Mar. 3, 2014 William Carter, Investment Banker, Moloney Securities Inc, Midlothian, Virginia
Feb. 28, 2014 Gregory S. Fryer, Esq., Partner, Verrill Dana LLP, Portland, Maine
Feb. 28, 2014 Howard Pham
Feb. 27, 2014 Michael J. Cumbo, Ph.D., Founder & CEO, Sandia Electro-Optics Corporation
Feb. 26, 2014 Scott Kupor, Managing Partner, Andreessen Horowitz, and Jeffrey M. Solomon, Chief Executive Officer, Cowen and Company
Feb. 26, 2014 George C. Johnson, Asbury Park, New Jersey
Feb. 25, 2014 Jesse J. Palomino, Dexter, New Mexico
Feb. 24, 2014 Janet M. Tavakoli, President, Tavakoli Structured Finance, Inc.
Feb. 24, 2014 Charles Huynh, Waltham, Massachusetts
Feb. 24, 2014 John Warren, Esq., Des Moines, Iowa
Feb. 23, 2014 Paul S. Germo, CEO of a start up, St. Cloud, Minnesota
Feb. 21, 2014 Chris Sugai, Fort Collins, Colorado
Feb. 21, 2014 Ryan Hawxhurst, Founder and CEO of Unorthodocs Printing LLC, New York
Feb. 21, 2014 Bradley L. Staples, MBA, University of Utah, Salt Lake City, Utah
Feb. 20, 2014 A. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas
Feb. 20, 2014 Donald R. Hancock, CEO, Moloney Securities Co., Inc., Manchester, Missouri
Feb. 19, 2014 Andrea Seidt, President, et al., North American Securities Administrators Association (NASAA)
Feb. 19, 2014 Jonathan C. Guest, Esq., McCarter & English LLP, Boston, Massachusetts
Feb. 19, 2014 Steven J. Sutton, New York, New York
Feb. 12, 2014 Anna G. Eshoo, et al., Members of Congress
Feb. 11, 2014 Kendall Almerico, Crowdfunding Expert, Attorney and CEO, Fund Hub and ClickStartMe, Tampa, Florida
Feb. 10, 2014 Jack E. Herstein, Assistant Director, Nebraska Department of Banking and Finance, Lincoln, Nebraska
Feb. 10, 2014 James A. Riggs, CFP, Executive Vice President Moloney Securities, Richmond, Virginia
Jan. 17, 2014 Mike Liles, Jr., Attorney, Karr Tuttle Campbell, Seattle, Washington
Jan. 15, 2014 David N. Feldman, Esq., Partner, Richardson Patel LLP, New York, New York
Jan. 5, 2014 David B. Kolstedt, Buffalo, Missouri
Dec. 18, 2013 William F. Galvin, Secretary of the Commonwealth of Massachusetts

Meetings with SEC Officials

(Click here for submitted comments from the public)
Nov. 14, 2014 Memorandum from the Division of Corporation Finance regarding a November 14, 2014, meeting with a representative of Groundfloor Real Estate LLC
Nov. 6, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a November 6, 2014, meeting with a representative of W.R. Hambrecht + Co.
Nov. 5, 2014 Memorandum from the Office of Commissioner Kara Stein regarding an October 28, 2014, meeting with representatives of Groundfloor Finance
Nov. 4, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 31, 2014, telephone call with a representative of Groundfloor Inc.
Oct. 29, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 28, 2014, meeting with representatives of the Small Business and Entrepreneurship Council
Oct. 23, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 7, 2014, meeting with representatives of the North American Securities Administrators Association (NASAA)
Oct. 8, 2014 Memorandum from the Office of Commissioner Kara Stein regarding an October 7, 2014, meeting with representatives of the North American Securities Administrators Association
Aug. 13, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 12, 2014, meeting with representatives of the Biotechnology Industry Organization (BIO)
Jul. 15, 2014 Memorandum from the Division of Corporation Finance regarding a July 15, 2014, meeting with representatives of the North American Securities Administrators Association (NASAA)
May 29, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 22, 2014, meeting with representatives of the California Department of Business Oversight
May 27, 2014 Memorandum from the Division of Corporation Finance regarding a May 27, 2014, telephone conference with representatives of Moloney Securities Co., Inc.
May 9, 2014 Memorandum from the Division of Corporation Finance regarding a May 9, 2014, meeting with representatives of the North American Securities Administrators Association (NASAA)
May 9, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a May 7, 2014, meeting with representatives of The Heritage Foundation
May 7, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 7, 2014, meeting with representatives of The Heritage Foundation
May 2, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 29, 2014, conference call with representatives of NASAA
Apr. 14, 2014 Memorandum from the Division of Corporation Finance regarding an April 9, 2014, meeting with representatives of NASAA
Apr. 8, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an April 7, 2014, meeting with representatives of NASAA
Mar. 19, 2014 Memorandum from the Division of Corporation Finance regarding a March 19, 2014, meeting with representatives of Morrison & Foerster LLP
Mar. 7, 2014 Memorandum from the Division of Corporation Finance regarding a March 7, 2014, meeting with representatives of OTC Markets Group Inc.
Feb. 20, 2014 Memorandum from the Division of Corporation Finance regarding a February 19, 2014, meeting with representatives of Morrison & Foerster LLP and Fundrise, LLC
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
Jan. 31, 2014 Memorandum from the Office of the Chair regarding a January 26, 2014, meeting with representatives of the Corporate Directors Forum
Jan. 10, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a January 8, 2014, phone call with representatives of the Office of the Secretary of the Commonwealth of Massachusetts

 

http://www.sec.gov/comments/s7-11-13/s71113.shtml

Modified: 12/12/2014