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
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a July 15, 2014, meeting with representatives of the North American Securities Administrators Association (NASAA)
Public Comment Samuel S. Guzik, Securities Attorney, Guzik and Associates, Los Angeles, California
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Public Comment Stephen F. Lynch, et al., U.S. House of Representatives
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 22, 2014, meeting with representatives of the California Department of Business Oversight
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a May 27, 2014, telephone conference with representatives of Moloney Securities Co., Inc.
Public Comment Pat Roberts, U.S. Senator
Public Comment Ford C. Ladd, Esquire, Alexandria, Virginia
Public Comment Gabrielle Buckley, Chair, Section of International Law, American Bar Association, Washington, District of Columbia
Public Comment Kim Wales, Executive Board Member, Crowdfund Intermediary Regulatory Advocates (CFIRA)
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a May 9, 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 a May 7, 2014, meeting with representatives of the Heritage Foundation
Public Comment Lindsay M. Scherber
Public Comment Chad Johnson, Bureau Chief, Investor Protection Bureau, New York State Attorney General's Office, New York, New York
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 7, 2014, meeting with representatives of The Heritage Foundation
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 29, 2014, conference call with representatives of NASAA
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding an April 9, 2014, meeting with representatives of NASAA
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an April 7, 2014, meeting with representatives of NASAA
Public Comment Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Stanley Keller, Edwards Wildman Palmer LLP
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Public Comment Daniel McElroy, DuMoulin Black LLP
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Public Comment Andrew F. Viles, Canaccord Genuity Inc., New York, New York
Public Comment George W. Beard, Mng. Member, Beacon Investment Partners, LLC, Harrisburg, Pennsylvania
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.
Public Comment Morrison & Foerster LLP, New York, New York
Public Comment Christopher Cole, Senior Vice President and Senior Regulatory Counsel, Independent Community Bankers of America
Public Comment Jason Coombs, Co-Founder and CEO, Public Startup Company, Inc.

Last Reviewed or Updated: Dec. 18, 2025

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