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Proposed Rule: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers

[Release No. IA-3111; File No. S7-37-10]

See also: Comments for Dodd Frank Act Title IV, Exemptions for Certain Advisers



Submitted Comments

(Click here for meetings with SEC officials)
Jun. 17, 2011 Sidney Wigfall, Managing Partner/Consultant, SC Advisors Group, Chicago, Illinois
Jun. 15, 2011 Craig T. Redinger, Fulbright & Jaworski L.L.P., Munich, Germany
Jun. 14, 2011 Pierre Bollon, AFG
Jun. 1, 2011 Deena Seelenfreund, Chief Financial Officer, VCFA Group; Bart Shirley, Managing Partner, Cuyahoga Capital Partners LLC; Chuck Stetson, Managing Director, PEI Funds ; Jason Andris, Managing Director, Venture Investment Associates; Jerrold Newman, President, Willowridge Partners, Inc.
May 24, 2011 Nora Jordan and Greg Rowland, Davis Polk & Wardwell LLP
May 16, 2011 Jack Governale, Esq., Katten Muchin Rosenman LLP
Apr. 1, 2011 Howard Dicker, Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association
Mar. 21, 2011 Shearman & Sterling LLP
Feb. 17, 2011 Marshall H. Cole II, Patrick A. Duncan, Benny LaRussa, Jr., James M. Micali, Porter B. Rose, R. Patrick Weston, Azalea Capital
Feb. 10, 2011 Anne Simpson, Senior Portfolio Manager, Global Equity, California Public Employees' Retirement System (CalPERS)
Feb. 10, 2011 David Massey, Administrator, North Carolina Deputy Securities and President, North American Securities Administrators Association, Inc.
Feb. 2, 2011 Samuel L. Katz, Managing Partner, TZP Capital Partners I
Feb. 2, 2011 Elizabeth Shea Fries, Goodwin Procter LLP
Feb. 1, 2011 Ken Taymor, Executive Director, and Eric Finseth, Lecturer and Research Fellow, Berkeley Center for Law, Business and the Economy, Berkeley, California
Jan. 31, 2011 Seward & Kissel LLP
Jan. 31, 2011 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York
Jan. 28, 2011 James Tullis, CEO and Managing Partner, Tullis-Dickerson/Tullis Health Investors
Jan. 28, 2011 James Chanos, Chairman, Coalition of Private Investment Companies, New York, New York
Jan. 25, 2011 Christopher M. Salter, O'Melveny & Myers LLP, on behalf of the China Venture Capital and Private Equity Association, Hong Kong Venture Capital and Private Equity Association and the Singapore Venture Capital and Private Equity Association
Jan. 25, 2011 Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, United States Senate
Jan. 25, 2011 Georg Merkl, Binz, Switzerland
Jan. 24, 2011 CounselWorks LLC
Jan. 24, 2011 Gilbert G. Menna, Goodwin Proctor LLP
Jan. 24, 2011 John M. Mino, Partner, and Gerald A. Monroe, Partner; Calfee, Halter and Griswold LLP, Cleveland, Ohio
Jan. 24, 2011 Dechert LLP, Washington, District of Columbia
Jan. 24, 2011 Joanne De Laurentiis, President and CEO, The Investment Funds Institute of Canada
Jan. 24, 2011 Dechert LLP, on behalf of Foreign Adviser, Washington, District of Columbia
Jan. 24, 2011 Wilson Sonsoni Goodrich & Rosati, P.C., Palo Alto, California
Jan. 24, 2011 Mark Berman and Philip Thomas, CompliGlobe Ltd.
Jan. 24, 2011 DLA Piper LLP (US)
Jan. 24, 2011 Richard H. Baker, President and CEO, Managed Funds Association
Jan. 24, 2011 J. Edmund Colloton, COO and Managing Partner, Bessemer Venture Partners
Jan. 24, 2011 Americans for Financial Reform
Jan. 24, 2011 David T. Jones, Proskauer Rose LLP
Jan. 24, 2011 Hilary Strain, Chief Financial Officer, Alta Partners
Jan. 24, 2011 Vedanta Capital, LP
Jan. 24, 2011 Steve Baloff, Mike Carusi, Jean George, Tom Rodgers, Bob Hower, Bill Wiberg, Advanced Technology Ventures
Jan. 24, 2011 Amit Rajput, Vice-President, Finance, Wellington Financial LP, Toronto, Canada
Jan. 24, 2011 Sally Webb, General Counsel, MAp Airports Limited, Australia
Jan. 24, 2011 Non-US Adviser
Jan. 24, 2011 Debevoise & Plimpton LLP, Washington, District of Columbia
Jan. 24, 2011 Doug French, Joe Cunningham, and Kevin M. Lalande, Managing Directors, Santé Ventures
Jan. 24, 2011 Brian Sopinsky, General Counsel, Susquehanna International Group, LLP, Bala Cynwyd, Pennsylvania
Jan. 24, 2011 Brett T. Palmer, Small Business Investor Alliance, National Association of Small Business Investment Companies, Washington, District of Columbia
Jan. 24, 2011 Howard S. Zeprun, Chief Administrative Officer and General Counsel, Trident Capital, Inc.
Jan. 24, 2011 Chris Fralic, Robert Hayes, Josh Kopelman, Howard Morgan, Managing Partners, First Round Capital
Jan. 24, 2011 Shearman & Sterling LLP
Jan. 24, 2011 J. Stephen Zielezienski, Senior Vice President & General Counsel, and Phillip L. Carson, Assistant General Counsel, American Insurance Association
Jan. 24, 2011 Alan F. Eisenberg, Executive Vice President, Emerging Companies & Business Development, Biotechnology Industry Organization
Jan. 24, 2011 Katten Muchin Rosenman LLP on behalf of Certain Non-U.S Advisers
Jan. 24, 2011 John J. Park, General Partner & CFO, Cardinal Partners
Jan. 24, 2011 Bryan Chegwidden, Cameron Fairall, and Mark Tannenbaum, Ropes & Gray LLP, New York, New York
Jan. 24, 2011 Robert Jackowitz, Chief Financial Officer, Pine Brook Road Partners, LLC
Jan. 24, 2011 John W. Buttrick, Partner, Union Square Ventures, New York, New York
Jan. 24, 2011 Peter C. Brockway, Managing Partner, Brockway Moran & Partners, Inc.
Jan. 24, 2011 Grace A. Ames, General Partner, Chief Operating Officer, Oak Investment Partners
Jan. 24, 2011 Katten Muchin Rosenman LLP on behalf of Certain Non-U.S. Insurance Companies
Jan. 24, 2011 John V. Jaggers, Managing General Partner, Sevin Rosen Funds
Jan. 24, 2011 Marc E. Sacks, Senior Managing Director, and Thomas E. Galuhn, Senior Managing Director, Mesirow Financial
Jan. 24, 2011 Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller, and Dennis B. Phelps, Institutional Venture Partners
Jan. 24, 2011 Kirk B. Griswold, Founding Partner, Argosy Capital, Wayne, Pennsylvania
Jan. 24, 2011 John H. Heuberger and Hal M. Brown
Jan. 24, 2011 Jason P. Andris, Managing Director, Venture Investment Associates, Peapack, New Jersey
Jan. 24, 2011 Robert V. Gunderson, Jr., Founding Partner, Gunderson Dettmer Stough Villeneuve Franklin Hachigian, LLP, Redwood City, California
Jan. 24, 2011 Davis Polk & Wardwell LLP
Jan. 24, 2011 Mark N. Polebaum, Executive Vice President and General Counsel, MFS Investment Management, Boston, Massachusetts
Jan. 24, 2011 Michael P. Maher, Chief Financial Officer, U.S. Venture Partners
Jan. 24, 2011 Mary Dent, Jason Doren, and Sven Weber, SVB Financial Group, Palo Alto, California
Jan. 24, 2011 T. Bondurant French, Chief Executive Officer, Adams Street Partners
Jan. 24, 2011 Rick D. Anderson, Matthew S. Crawford, and Evan S. Melrose, M.D., PTV Sciences
Jan. 24, 2011 Damon Silvers, Director of Policy Special Counsel, AFL-CIO, Washington, District of Columbia
Jan. 24, 2011 Barbara Muir, Bank of Montreal; Thomas A. Shree, Royal Bank of Canada; and Brian A. Murdock, The Toronto-Dominion Bank
Jan. 24, 2011 David H. Pankey, McGuireWoods LLP
Jan. 24, 2011 Leonard Nero, CFO, MissionPoint Capital Partners, Norwalk, Connecticut
Jan. 24, 2011 John Geschke, General Counsel, Norwest Venture Partners, Palo Alto, California
Jan. 24, 2011 Bart A. Shirley, CFA, Managing Partner, Cuyahoga Capital Partners, Cleveland, Ohio
Jan. 24, 2011 Fred L. Levy, Brown Rudnick LLP
Jan. 24, 2011 Thaddeus I. Gray, Managing Director, Abbott Capital Management, LLC
Jan. 24, 2011 Marc E. Goldberg, Managing Director, BioVentures Investors
Jan. 24, 2011 Pierre Bollon, submitted on behalf of AFG (French Asset Management Association), France
Jan. 24, 2011 Uli Fricke, Chairwoman, European Private Equity and Venture Capital Association, Brussels, Belgium
Jan. 24, 2011 Tami E. Nason, Esquire, Senior Vice President and General Counsel, Charlesbank Capital Partners, LLC, Boston, Massachusetts
Jan. 24, 2011 Mary Richardson, Director of Regulatory and Tax Department, The Alternative Investment Management Association Limited, London, United Kingdom
Jan. 24, 2011 Peter De Proft, Director General, European Fund and Asset Management Association (EFAMA), Bruxells, Belgium
Jan. 24, 2011 Portfolio Manager, Hartford, Connecticut
Jan. 24, 2011 P. Sherrill Neff, Partner, Quaker BioVentures
Jan. 23, 2011 Stephen E. Hoey, Administrative Partner, CFO and CCO, KPS Capital Partners, LP, New York, New York
Jan. 23, 2011 David Stepp, General Counsel, Venrock
Jan. 21, 2011 Chuck Stetson, Managing Director, Private Equity Investors, Inc., and Jerrold Newman, Founder, Willowridge Partners, Inc.
Jan. 21, 2011 Andrew Bursky, Chairman, Atlas Holdings
Jan. 21, 2011 Deena B. Seelenfreund, Chief Financial Officer, and Steven J. Taubman, Managing Director, VCFA Group, San Francisco, California
Jan. 21, 2011 Katten Muchin Rosenman LLP, on behalf of APG Asset Management US Inc.
Jan. 21, 2011 Craig E. Dauchy, Cooley LLP
Jan. 21, 2011 Mari-Anne Pisarri, Pickard and Djinis LLP
Jan. 21, 2011 Maggie Radford, CFO & COO, Leland Fikes Foundation
Jan. 21, 2011 Stephen Holmes, General Partner and COO, InterWest Partners
Jan. 21, 2011 Barney D. Byrd, President and CEO, Gen Cap America, Inc.
Jan. 21, 2011 John Dirvin, Chief Operating Officer, Austin Ventures, Austin, Texas
Jan. 21, 2011 Jerrold M. Newman, Willowridge Partners, Inc., New York, New York
Jan. 21, 2011 John G. McDonald, The Stanford Investors Professor, Stanford University
Jan. 21, 2011 The General Partners of Charles River Ventures
Jan. 21, 2011 Denise Marks, Partner & CFO, SV Life Sciences Advisers, LLC
Jan. 21, 2011 Preston DuFauchard, Commissioner, California Department of Corporations
Jan. 21, 2011 Robert D. Kraus, SVP and General Counsel, Village Ventures, Inc., Williamstown, Massachusetts
Jan. 20, 2011 Jeff Alexander, Chairman, Cook Children's Healthcare Foundation Investment Committee
Jan. 19, 2011 Barry S. Volpert, Chairman, Crestview Advisors, LLC
Jan. 18, 2011 Jean-Pierre Jouyet, Autorité des Marchés Financier, Paris, France
Jan. 18, 2011 Eugene F. Maloney, Esq., Executive Vice President, Federated Investors, Inc.
Jan. 18, 2011 D. Grant Vingoe, Arnold & Porter LLP, on behalf of the Investment Industry Association of Canada
Jan. 17, 2011 Keith P. Bishop, Former California Commissioner of Corporations, Irvine, California
Jan. 16, 2011 David S. Lobel, Managing Partner, Sentinel Capital Partners
Jan. 14, 2011 Jonathan Murray, Managing Director, Early Stage Partners, Cleveland, Ohio
Jan. 14, 2011 David L. Schnadig, Managing Partner, Cortec Group
Jan. 13, 2011 Robert S. Morris, Managing Partner, Olympus Partners, Stamford, Connecticut
Jan. 13, 2011 Mark G. Heesen, President, National Venture Capital Association
Jan. 7, 2011 Chuck Stetson, Managing Director, Private Equity Investors, Inc. and Jerrold Newman, Founder, Willowridge Partners, Inc.
Jan. 4, 2011 John D. Hogoboom, Lowenstein Sandler PC
Dec. 23, 2010 L. A. Schnase
Dec. 22, 2010 Patrick L. Ferriere, Esq., Fox Horan & Camerini LLP
Dec. 21, 2010 Michael Gilleran, Chief Financial Officer, Avoca Capital Holdings
Dec. 14, 2010 Richard Dougherty
Dec. 6, 2010 Daniel G. Viola, Sadis & Goldberg LLP, New York, New York
Nov. 23, 2010 Thomas A. McKay, T.A. McKay & Co., Inc., New York, New York

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jun. 15, 2011 Memorandum from the Division of Investment Management regarding a June 1, 2011 Conference Call with Representatives of Davis Polk & Wardwell LLP
Jun. 3, 2011 Memorandum from the Division of Investment Management regarding a May 5, 2011 meeting with representatives of the European Fund and Asset Management Association and Dechert LLP
Jun. 3, 2011 Memorandum from the Division of Investment Management regarding April 20 and May 9, 2011 conference calls with representatives of Autorité des Marchés Financiers de la République Française
May 26, 2011 Memorandum from the Office of Commissioner Casey regarding a May 26, 2011, meeting with representatives of Private Equity Growth Capital Council
Apr. 18, 2011 Memorandum from the Division of Investment Management regarding an April 15, 2011, meeting with representatives of the Private Equity Growth Company Council
Apr. 15, 2011 Memorandum from the Division of Investment Management regarding an April 12, 2011, meeting with representatives of the European Fund and Asset Management Association
Apr. 4, 2011 Memorandum from the Division of Investment Management regarding an April 4, 2011, meeting with representatives of SVB Capital
Mar. 25, 2011 Memorandum from the Division of Investment Management regarding a March 14, 2011, meeting with various private fund investment advisers and service providers
Mar. 17, 2011 Memorandum from the Office of the Chairman regarding a March 16, 2011, meeting with representatives of Willowridge Partners, PEI Funds, VCFA Group, Cuyahoga Capital Partners, and Carter Ledyard & Milburn
Mar. 16, 2011 Memorandum from the Office of Commissioner Walter regarding a February 22, 2011, meeting with representatives of Atlas Holdings and Willkie Farr & Gallagher
Mar. 16, 2011 Memorandum from the Office of Commissioner Walter regarding a March 1, 2011, meeting with representatives of Willowridge Partners, PEI Funds, Venture Capital Fund of America, and Carter Ledyard & Milburn
Mar. 3, 2011 Memorandum from the Division of Investment Management regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, Private Equity Investors and Carter Ledyard & Milburn
Mar. 2, 2011 Memorandum from the Division of Investment Management regarding a February 22, 2011, meeting with representatives of Atlas Holdings LLC and Willkie Farr & Gallagher LLP
Mar. 1, 2011 Memorandum from the Office of Commissioner Casey regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, and PEI Funds
Feb. 14, 2011 Memorandum from the Division of Investment Management regarding a February 9, 2011, meeting with representatives of the ACA Compliance Group
Jan. 6, 2011 Memorandum from the Division of Investment Management regarding a January 5, 2011, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP
Dec. 22, 2010 Memorandum from the Division of Investment Management regarding a November 29, 2010, meeting with staff from the office of Senator Jack Reed
Dec. 16, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Dec. 3, 2010 Memorandum from the Division of Investment Management regarding a December 2, 2010, meeting with a representative of the Subcommittee on Private Investment Entities of the American Bar Association

 

http://www.sec.gov/comments/s7-37-10/s73710.shtml

Modified: 10/16/2014