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Comments on Proposed Rule:
Short Selling in Connection With A Public Offering

[Release No. 34-54888; File No. S7-20-06]


Apr. 26, 2007 Memorandum from the Division of Market Regulation regarding an April 26, 2007 conference call with representatives of Sidley, Austin LLP and certain SIFMA members.
Apr. 25, 2007 Memorandum from the Division of Market Regulation regarding an April 25, 2007 conference call with Ari Burstein and certain ICI members.
Apr. 10, 2007 Memorandum from the Division of Market Regulation regarding an April 10, 2007 meeting with representatives of Sidley, Austin LLP and certain SIFMA members.
Mar. 19, 2007 Simon Lorne, Vice Chairman and Chief Legal Officer, and Martin Schwartz, Chief Compliance Officer, Millenium Partners, L.P.
Mar. 9, 2007 Paul Rivett, Vice President, Fairfax Financial Holdings Limited
Feb. 28, 2007 Sullivan & Cromwell LLP
Feb. 27, 2007 Richard Ketchum, Chief Executive Officer, NYSE Regulation, Inc., New York, New York
Feb. 16, 2007 Cleary Gottlieb Steen Hamilton LLP, New York, New York
Feb. 14, 2007 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
Feb. 14, 2007 Howard L. Kramer and Laura S. Pruitt, Schiff Hardin LLP, Washington, District of Columbia
Feb. 13, 2007 Ira D. Hammerman, SIFMA Managing Director and General Counsel, Washington, District of Columbia
Feb. 13, 2007 Richard D. Truesdell, Jr., Davis Polk & Wardwell
Feb. 12, 2007 John G. Gaine, President, Managed Funds Association
Feb. 12, 2007 Ari Burstein, Senior Counsel, Investment Company Institute
Feb. 12, 2007 Robert Mendelson, Morgan, Lewis Bockius LLP, New York, New York
Jan. 12, 2007 Memorandum from the Division of Market Regulation regarding a December 19, 2006 meeting with representatives of Citadel Investment Group, L.L.C.
Dec. 14, 2006 Peter J. Chepucavage, General Counsel, Plexus Consulting, on behalf of International Association of Small Broker-Dealers and Advisors

 

http://www.sec.gov/comments/s7-20-06/s72006.shtml

Modified: 10/16/2014