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Exemptions for Certain Advisers:
Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See also: Comments for 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; File No. S7-37-10
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(Click here for meetings with SEC officials)
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| Mar. 28, 2012 | Anonymous Attorney |
| Mar. 6, 2012 | Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Nov. 17, 2010 | J-P Fourie, Managing Director, Executive Officer, SAVCA |
| Nov. 16, 2010 | Thaddeus I. Gray, Managing Director, Chief Investment Officer, Abbott Capital Management, LLC |
| Nov. 9, 2010 | Chuck Stetson, Managing Director, Private Equity Investors, Inc. and Jerrold Newman, Founder, Willowridge Partners, Inc. |
| Nov. 12, 2010 | ERISA EXPERT, LA, California |
| Nov. 3, 2010 | Shearman & Sterling LLP |
| Nov. 3, 2010 | law professor, NY, New York |
| Nov. 1, 2010 | Mark J. Tannenbaum and Cameron S. Fairall, Ropes and Gray LLP |
| Oct. 30, 2010 | Law Professor |
| Oct. 29, 2010 | Nichter Paul, Paul, Hastings, Janofsky & Walker LLP |
| Oct. 23, 2010 | Hedge Manager, Fund Manager, NY, New York |
| Oct. 1, 2010 | David C. Fischer, Attorney, New York, New York |
| Sep. 25, 2010 | T. A. Jones, US investor in offshore funds, Washington, District of Columbia |
| Sep. 22, 2010 | Richard H. Baker, President and CEO, Managed Funds Association |
| Sep. 14, 2010 | Katten Muchin Rosenman LLP |
| Aug. 21, 2010 | P. James, New York, New York |
| Aug. 18, 2010 | Judith Gross, Principal, JG Advisory Services (compliance consulting), New York, New York |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia |
| Jul. 28, 2010 |
Keith P. Bishop, Irvine, California |
| Jul. 27, 2010 | Lewis E. Hutchison, Knoxville, Tennessee
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Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Nov. 1, 2010 | Memorandum from the Division of Investment Management regarding a November 1, 2010, conference call with representatives of the Pennsylvania Public School Employees’ Retirement System |
| Oct. 27, 2010 | Memorandum from the Office of the Chairman regarding an October 27, 2010 meeting with members and representatives of the National Venture Capital Association |
| Oct. 28, 2010 | Memorandum from the Division of Investment Management regarding an October 28, 2010, meeting with representatives of the National Venture Capital Association and Proskauer Rose LLP |
| Oct. 27, 2010 | Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 27, 2010 meeting with members and representatives of the National Venture Capital Association |
| Oct. 19, 2010 | Memorandum from the Division of Investment Management regarding an October 19, 2010, conference call with Dechert LLP |
| Oct. 13, 2010 | Memorandum from the Office of Investment Adviser Regulation, Division of Investment Management regarding an October 12, 2010, conference call with The Yale Endowment |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable |
| Oct. 7, 2010 | Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 7, 2010 meeting with representatives from the Securities Industry and Financial Markets Association |
| Oct. 6, 2010 | Memorandum from the Office of Compliance Inspections and Examinations regarding a October 6, 2010 meeting with the Alternative Investment Management Association |
| Oct. 5, 2010 | Memorandum from the Division of Investment Management regarding an October 4, 2010, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP |
| Sep. 28, 2010 | Memorandum from the Division of Investment Management regarding an September 28, 2010, conference call with Proskauer Rose LLP |
| Sep. 24, 2010 | Memorandum from the Division of Investment Management regarding a September 20, 2010, meeting with representatives of Gunderson Dettmer |
| Sep. 22, 2010 | Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the National Venture Capital Association |
| Sep. 20, 2010 | Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives from Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP |
| Sep. 17, 2010 | Memorandum from the Office of Investment Adviser Regulation and Division of Investment Management regarding a conference call with Tiedemann Wealth Management, LLC |
| Sep. 13, 2010 | Memorandum from the Office of Investment Adviser Regulation and Division of Investment Management regarding a conference call with Mayer Brown LLP |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
| Aug. 30, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 30, 2010, telephone call with representatives of the National Venture Capital Association. |
http://www.sec.gov/comments/df-title-iv/exemptions/exemptions.shtml
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