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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]
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(Click here for meetings with SEC officials)
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| Mar. 27, 2015 | William Michael Cunningham |
| Mar. 27, 2015 | William Michael Cunningham |
| Feb. 23, 2015 | Christopher Tyrrell, Chair, CrowdFund Intermediary Regulatory Advocates |
| Feb. 11, 2015 | William J. Beatty, NASAA President and Washington Securities Director, Washington, District of Columbia |
| 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)
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| Feb. 27, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a February 24, 2015, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Feb. 26, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a February 24, 2015, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Feb. 19, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a February 10, 2015, conference call with a representative of the Milken Institute |
| Feb. 6, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 6, 2015, conference call with a representative of Groundfloor Finance Inc. |
| Jan. 16, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a December 22, 2014, meeting with a representative of W.R. Hambrecht + Co. |
| 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
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