Comments on Concept Release: Harmonization of Securities Offering Exemptions

[Release Nos. 33-10649, 34-86129, IA-5256, IC-33512; File No. S7-08-19]

Submitted Comments

(Click here for meetings with SEC officials)
Jan. 17, 2020 Senators John Barasso, M.D., John THune, M. Michael, Rounds, and Michael B. Enzi, US Senate
Jan. 15, 2020 Nicholas Tommarello, Chief Executive Officer, Wefunder
Jan. 14, 2020 Mike S., Venture Capital Professional
Jan. 8, 2020 Jason Weisz, Spencer Winston Securities
Jan. 6, 2020 James E. Bowlus, Vice President and Assistant General Counsel, Wilmington Trust
Jan. 2, 2020 Cameron S. McLaughlin
Dec. 28, 2019 Shanel S. Fields, CEO, MD Ally
Dec. 18, 2019 Brian Seelinger
Dec. 18, 2019 David M. Gold
Dec. 17, 2019 David Zweig
Dec. 6, 2019 Marty Margolis, Managing Director, PFM Asset Management LLC
Nov. 7, 2019 T. W. Kennedy, Regulated Funding Portals Industry Assoc.
Nov. 5, 2019 Joey Jones
Oct. 30, 2019 Sara Hanks, CEO, CrowdCheck, Inc.
Oct. 29, 2019 Joey Jones
Oct. 18, 2019 Gail C. Bernstein, General Counsel, Investment Adviser Association
Oct. 18, 2019 Dagan Bora, Leyline Corporation
Oct. 18, 2019 Tram Nguyen, Chair, Committee on Securities Regulation, et al., New York State Bar Association
Oct. 16, 2019 Robert Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Oct. 15, 2019 Alfonso Ceja
Oct. 15, 2019 Crowdfunding Professional Association
Oct. 15, 2019 Patrick McHenry, Ranking Member, U.S. House of Representatives Committee on Financial Services
Oct. 14, 2019 Jason Coombs
Oct. 13, 2019 Jason Coombs
Oct. 11, 2019 Christopher Gerold, President, North American Securities Administrators Association, Inc. (NASAA)
Oct. 10, 2019 Michael J. Friedman, Head of Trading, LEX Markets
Oct. 8, 2019 Kamal Jafarnia, Artivest Holdings, Inc.
Oct. 8, 2019 Robert R. Champion, President, MarketPlus Capital Company
Oct. 4, 2019 Greg L. Hansen, CEO, Hans and Company
Oct. 3, 2019 Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors
Oct. 1, 2019 Robert Rutkowski
Oct. 1, 2019 Rutheford B. Campbell, Professor of Law, University of Kentucky
Oct. 1, 2019 Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel; Consumer Federation of America
Sep. 30, 2019 Atish Davda, Co-Founder & CEO, et al., EquityZen, Inc.
Sep. 30, 2019 Tyler Gellasch, Executive Director, Healthy Markets Association
Sep. 30, 2019 Christian Bilger, Chief Operating Officer, Honeycomb Credit Inc. and Honeycomb Portal LLC (Funding Portal)
Sep. 30, 2019 Americans for Financial Reform Education Fund and AFL-CIO
Sep. 30, 2019 John A. Zecca, Senior Vice President, General Counsel North Ameri, Nasdaq, Inc.
Sep. 27, 2019 Joseph Bonvouloir, ALTI LLC
Sep. 26, 2019 Georgia Quinn, General Counsel, CoinList
Sep. 25, 2019 Rahsan Boykin, Esquire
Sep. 25, 2019 Brett Palmer, President, Small Business Investor Alliance
Sep. 25, 2019 Erik Syvertsen, General Counsel, AngelList
Sep. 25, 2019 William J. Williams
Sep. 24, 2019 Wizipan Little Elk, CEO, Rosebud Economic Development Corporation
Sep. 24, 2019 Mark Berman, Founder and CEO, CompliGlobe Ltd.
Sep. 24, 2019 Terrie Brockie, CEO, Island Mountain Development Group
Sep. 24, 2019 Davis Polk & Wardwell LLP
Sep. 24, 2019 Xavier Becerra, California Attorney General, et al.
Sep. 24, 2019 Herwig Konings, Founding Partner, Security Token Group, et al.
Sep. 24, 2019 James P. Dowd, CEO, North Capital Investment Technology, Inc.
Sep. 24, 2019 Sherwood Neiss, Principal, Crowdfund Capital Advisors, LLC
Sep. 24, 2019 Christine Lazaro, President, and Samuel Edwards, Executive Vice President/President-Elect, Public Investors Advocate Bar Association (PIABA)
Sep. 24, 2019 James E. Bowlus, Vice President and Assistant General Counsel, Wilmington Trust, National Association
Sep. 24, 2019 Maria Wolvin, Vice President & Sr. Counsel, Public Policy, Association for Corporate Growth
Sep. 24, 2019 Anthony Chereso, President & CEO, Institute for Portfolio Alternatives
Sep. 24, 2019 Nicholas Mathews, Co-Founder and CEO, and Benjamin Blieden, CFA, Co-Founder and CFO; MainVest, Inc.
Sep. 24, 2019 Robert F. Licopoli, CEO, 360 Sports, Inc.
Sep. 24, 2019 Jeff Thomas, Chair of Entrepreneurship, Associate Professor, Central Michigan University.
Sep. 24, 2019 Daniel Zinn, General Counsel, and Cass Sanford, Associate General Counsel; OTC Markets Group Inc.
Sep. 24, 2019 Dechert LLP
Sep. 24, 2019 Theodore M. Grannatt, et al., McCarter & English LLP
Sep. 24, 2019 Jade Barker, Silicon Prairie Portal and Exchange
Sep. 24, 2019 Joseph L. Schocken
Sep. 24, 2019 Erik Gerding, Professor of Law and Wolf-Nichol Fellow, University of Colorado Law School, et al.
Sep. 24, 2019 Andrew A. Schwartz, Professor of Law, University of Colorado
Sep. 24, 2019 Henry S. Ward, CEO, et al., eShares, Inc. d/b/a Carta, Inc.
Sep. 24, 2019 Greg Mausz, President, Alternative & Direct Investment Securities Association
Sep. 24, 2019 Simpson Thacher & Bartlett LLP
Sep. 24, 2019 Robert Anderson, Professor of Law, Pepperdine School of Law, et al.
Sep. 24, 2019 Daniel B. Ravicher, Director, et al., Startup Practicum, University of Miami School of Law
Sep. 24, 2019 Tom Quaadman, Executive Vice President, US Chamber of Commerce, Center for Capital Markets Competitiveness
Sep. 24, 2019 Daniel A. Teplin, Forum for U.S. Securities Lawyers in London
Sep. 24, 2019 Aseel M. Rabie, Managing Director and Associate General Counsel, and Lindsey Weber Keljo, Managing Director and Associate General Counsel, Asset Management Group; SIFMA
Sep. 24, 2019 Chris Rabalais, CEO, Crystal World Holdings, Inc. / Managing Director, New Sports Economy Institute
Sep. 24, 2019 Barbara Novick, Vice Chairman, and Joanne Medero, Managing Director, BlackRock, Inc.
Sep. 24, 2019 Todd J. May, President, The Securities Transfer Association, Inc.
Sep. 24, 2019 Jason Mulvihill, Chief Operating Officer & General Counsel, American Investment Council
Sep. 24, 2019 Brian Beckon, Principal, Cutting Edge Counsel Inc.
Sep. 24, 2019 Lawrence Calcano, CEO, iCapital Network
Sep. 24, 2019 Davis Polk & Wardwell LLP, Investment Management Group
Sep. 24, 2019 Mark Schoenfeld, Goodwin Procter LLP
Sep. 24, 2019 Andrew Vollmer, Senior Affiliated Scholar, Mercatus Center, George Mason University
Sep. 24, 2019 William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Sep. 24, 2019 Clifford E. Kirsch, Eversheds Sutherland, on behalf of the Coalition of Collective Investment Trusts
Sep. 24, 2019 George Humm
Sep. 24, 2019 Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc.
Sep. 24, 2019 Gregory L. Wright, President and Head of Banking, Zanbato Securities LLC
Sep. 24, 2019 Kirk McGregor and Samarth Sandeep
Sep. 24, 2019 Ropes & Gray LLP
Sep. 24, 2019 Ropes & Gray LLP
Sep. 24, 2019 Campbell Pryde, President and CEO, XBRL US
Sep. 24, 2019 David Burton, Senior Fellow, Economic Policy, Institute for Economic Freedom, The Heritage Foundation
Sep. 24, 2019 Cynthia Lo Bessette, SVP, Deputy General Counsel, Fidelity Investments
Sep. 24, 2019 Susan M. Olson, General Counsel, Investment Company Institute
Sep. 24, 2019 Rashad Kurbanov, CEO, Iownit Capital and Markets, Inc.
Sep. 24, 2019 Kenneth J. Berman, Debevoise & Plimpton LLP (on behalf of Private Investor Coalition)
Sep. 24, 2019 Amber McDonald, CEO, Indemnis, et al.
Sep. 24, 2019 Barbara Roper, Director of Investor Protection, Consumer Federation of America
Sep. 24, 2019 Parth Bhatt, Chief Investment Officer, San Bernardino County, California
Sep. 24, 2019 Charles Nelson, Chief Executive Officer, Retirement, Voya Financial, Inc.
Sep. 24, 2019 Alison Borland, Executive Vice President, Wealth and Wellbeing Solutions, Alight Solutions
Sep. 24, 2019 Stephen M. Richards
Sep. 24, 2019 Mark D. Epley, Executive Vice-President & Managing Director, Managed Fund Association, and Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Sep. 24, 2019 Luke Carriere
Sep. 24, 2019 Ken McGuire, President, Aditum Alternatives & Aditum Asset Management
Sep. 24, 2019 Christopher Rohrbacher, Managing Director, Associate General Counsel, Teachers Insurance and Annuity Association of America (TIAA)
Sep. 24, 2019 James Allen, Head, Capital Markets Policy, and Matt Orsagh, Director, Capital Markets Policy, CFA Institute
Sep. 24, 2019 Tyler Gellasch, Executive Director, Healthy Markets Association
Sep. 24, 2019 Craig S. Tyle, Executive Vice President and General Counsel, Franklin Resources, Inc.
Sep. 24, 2019 Kendrick Nguyen, Founder and CEO, Republic
Sep. 24, 2019 Shartsis Friese LLP
Sep. 24, 2019 David V. Duccini, Founder and CEO, Silicon Prairie Portal & Exchange, LLC
Sep. 24, 2019 Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA)
Sep. 24, 2019 Ryan M. Feit, CEO & Co-Founder, SeedInvest
Sep. 24, 2019 Joseph J. Cecala, Founder and CEO, Dream Exchange LLC and Ioannis (Yianni) V. Floros, Ph.D., Associate Professor of Finance, University of Wisconsin-Milwaukee
Sep. 24, 2019 Matthew L. Clark, State Investment Officer, South Dakota Investment Council
Sep. 24, 2019 G. Philip Rutledge, Partner, Bybel Rutledge LLP
Sep. 24, 2019 Phoebe A. Papageorgiou, Vice President & Counsel, Trust Policy, American Bankers Association
Sep. 24, 2019 Aron Szapiro, Director of Policy Research, Morningstar, Inc.
Sep. 23, 2019 Nathaniel L. Hoopes, Executive Director, Marketplace Lending Association
Sep. 23, 2019 Joe Wallin, et al.
Sep. 23, 2019 Ken McGuire, President, Aditum Alternatives & Aditum Asset Management
Sep. 23, 2019 Matthew Digesti, Vice President, Government Affairs and Strategic, Blockchains, LLC
Sep. 23, 2019 Ryan Metcalf, Head of U.S. Regulatory Affairs, Funding Circle
Sep. 23, 2019 Patrick Gouhin, CEO, et al., Angel Capital Association
Sep. 23, 2019 Mitch Ackles, President, Hedge Fund Association
Sep. 22, 2019 Dr. Gavin Clarkson, Esq., Managing Director, Native American Capital
Sep. 22, 2019 Michael S. Finke, Frank M. Engle Professor of Economic Security, The American College of Financial Services
Sep. 20, 2019 Thomas Metz, Chair, Legislative Committee, California Municipal Treasurers Association
Sep. 20, 2019 Christopher Nero, CEO, Bridgeport Financial Technology
Sep. 19, 2019 John L. Thornton, Co-Chair, Committee on Capital Markets Regulation; Hal S. Scott, President, Committee on Capital Markets Regulation; and R. Glenn Hubbard, Co-Chair, Committee on Capital Markets Regulation
Sep. 18, 2019 Richard H. Kreger, Advisory Group Equity Services, Ltd. RHK Capital
Sep. 17, 2019 Stuart M. Rigot, Attorney, Wyrick Robbins Yates Ponton LLP
Sep. 16, 2019 Brian Davis
Sep. 16, 2019 Barry Hicks
Sep. 13, 2019 Vinh Nguyen
Sep. 13, 2019 Nicholas Tommarello, Chief Executive Officer, Wefunder
Sep. 12, 2019 Dante Desiderio, Executive Director, Native American Finance Officers Association
Sep. 12, 2019 Sean R. Walters, Chief Executive Officer, Investments Wealth Institute
Sep. 11, 2019 Cody Snyder
Sep. 10, 2019 Paul Arssov
Sep. 9, 2019 Stephen H. Watkins, Chairman and CEO, Entrex Capital Market
Sep. 9, 2019 Jonathan Epstein, President and Founder, Defined Contribution Alternatives Association
Sep. 6, 2019 Jeff LaBerge
Sep. 1, 2019 Nathan Eames
Sep. 1, 2019 John Gerena, Conserve Financial Inc.
Aug. 21, 2019 Philip A. Feigin, Attorney at Law, PFeiginLaw LLC
Aug. 18, 2019 Steven Marshall, Director of Finance and IS
Aug. 15, 2019 Brenda L. Hamilton, Hamilton & Associates Law Group, P.A.
Aug. 11, 2019 Anne Sheehan, Chair, IAC
Aug. 9, 2019 Charlie Uchill
Aug. 7, 2019 J.L.
Aug. 6, 2019 Sam M. Yaffa
Aug. 5, 2019 Marc Steinberg, Professor of Law, Southern Methodist University
Aug. 4, 2019 Stephen R. Steciak
Jul. 29, 2019 Joseph L. Schocken, President & CEO, Broadmark Capital
Jul. 18, 2019 Anonymous
Jul. 11, 2019 Rick A. Fleming, Investor Advocate of the U.S. Securities and Exchange Commission
Jul. 10, 2019 Leonard A. Grover, Founder/CEO, FinToolbox (Screener.co)
Jul. 10, 2019 Jor Law
Jul. 10, 2019 J. C.
Jul. 10, 2019 Robert Gregory
Jul. 6, 2019 Jor Law, Licensed attorney (CA NY)
Jul. 5, 2019 Youngro Lee, President, et al., Association of Online Investment Platforms
Jul. 1, 2019 Chris Corn
Jun. 25, 2019 Kyle Sonlin, CEO, Security Token Market
Jun. 24, 2019 Herwig Konings
Jun. 24, 2019 Logan B.
Jun. 20, 2019 Grant Gulovsen, Owner, Gulovsen Law Office
Jun. 19, 2019 John Tapp
Jun. 19, 2019 Anonymous
Jun. 19, 2019 Andrew Deville

Meetings with SEC Officials

(Click here for submitted comments from the public)
Jan. 17, 2020 Memorandum from Division of Corporation Finance, the Division of Trading and Markets, the Division of Investment Management, and the Office of the Advocate for Small Business Capital Formation regarding a January 17, 2020, meeting with representatives of AngelList
Dec. 20, 2019 Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 17, 2019, meeting with representatives of the World Gold Council, et al.
Dec. 16, 2019 Memorandum from the Division of Corporate Finance regarding a December 13, 2019, meeting with representatives of of the American Bankers Association and Coalition of Collective Investment Trusts
Nov. 25, 2019 Memorandum from the Office of the Chairman regarding a November 22, 2019, meeting with representatives of the Alternative Investment Management Association Ltd.
Nov. 4, 2019 Memorandum from the Division of Investment Management regarding a November 1, 2019, meeting with representatives of Groom Law Group
Oct. 30, 2019 Memorandum from the Division of Corporation Finance regarding a October 30, 2019, meeting with representatives of Broadmark Capital
Oct. 23, 2019 Memorandum from the Division of Investment Management regarding an October 23, 2019, meeting with representatives of Wellington Management Company LLP
Oct. 3, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 1, 2019, meeting with representatives of Invesco
Sep. 18, 2019 Memorandum from the Division of Investment Management regarding a September 13, 2019, meeting with representatives of Drinker Biddle & Reath LLP
Aug. 19, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 16, 2019, meeting with representatives of Institutional Limited Partners Association (ILPA)
Aug. 16, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 12, 2019, meeting with representatives of the North American Securities Administrators Association
Aug. 1, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding a July 26, 2019, meeting with representatives of the Consumer Federation of America
Jul. 23, 2019 Memorandum from the Division of Investment Management regarding a July 22, 2019, meeting with representatives of Ropes & Gray LLP