Comments on Proposed Rule: Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act

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Date Received
Date Letter Type Commenter Name
Public Comment William Michael Cunningham
Public Comment William Michael Cunningham
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a February 24, 2015, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials 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)
Public Comment Christopher Tyrrell, Chair, CrowdFund Intermediary Regulatory Advocates
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a February 10, 2015, conference call with a representative of the Milken Institute
Public Comment William J. Beatty, NASAA President and Washington Securities Director, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 6, 2015, conference call with a representative of Groundfloor Finance Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a December 22, 2014, meeting with a representative of W.R. Hambrecht + Co.
Public Comment Samuel S. Guzik, Securities Lawyer, Guzik and Associates, Los Angeles, California
Public Comment Reps. Maxine Waters and Stephen F. Lynch, U.S. House of Representatives
Public Comment Nick Bhargava, Executive Vice President, Groundfloor Finance Inc. , Atlanta , Georgia
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a November 14, 2014, meeting with a representative of Groundfloor Real Estate LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 6, 2014, meeting with a representative of W.R. Hambrecht + Co.
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an October 28, 2014, meeting with representatives of Groundfloor Finance
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 31, 2014, telephone call with a representative of Groundfloor Inc.
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 28, 2014, meeting with representatives of the Small Business and Entrepreneurship Council
Public Comment Samuel S. Guzik, Securities Attorney, Guzik and Associates, Los Angeles, California
Meeting with SEC Officials 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)
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an October 7, 2014, meeting with representatives of the North American Securities Administrators Association
Public Comment Rep. Patrick McHenry, Member of Congress, et al.
Public Comment Sen. Mark R. Warner, U.S. Senate
Public Comment Kevin Bernard, Ashburn, Virginia
Public Comment Todd Hart, Kailua Kona, Hawaii
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 12, 2014, meeting with representatives of the Biotechnology Industry Organization (BIO)
Public Comment Sen. Edward J. Markey, et al., U.S. Senate
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Public Comment Gregory S. Fryer, Esq., Partner, Verrill Dana, LLP, Portland, Maine

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-11-13
Release Number
33-9497
34-71120
39-2493
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