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 Bruce E. Methven, Securities Law Attorney, Berkeley, California
Public Comment Robert R. Kaplan, Jr. and T. Rhys James, Kaplan Voekler Cunningham & Frank PLC, Richmond, Virginia
Public Comment Michael Sauvante, Executive Director
Public Comment William Klehm, Chairman and CEO, Fallbrook Technologies, Cedar Park, Texas
Public Comment David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation
Public Comment George W. Beard, Harrisburg, Pennsylvania
Public Comment John Morgan, Securities Commissioner, Texas State Securities Board
Public Comment Michael Sauvante, Executive Director, Commonwealth Fund LLC
Public Comment Michael T. Lempres, Assistant General Counsel, SVB Finanical Group, Palo Alto, California
Public Comment BDO USA, LLP
Public Comment Daniel Eng, CEO
Public Comment Daniel Gorfine, Director, Financial Markets Policy, and Staci Warden, Executive Director, Center for Financial Markets, Milken Institute, Washington, District of Columbia
Public Comment Ford C. Ladd, Esq., Alexandria, Virginia
Public Comment Jack H. Brier, President and Founder, US Alliance Corporation
Public Comment McGladrey LLP
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a March 19, 2014, meeting with representatives of Morrison & Foerster LLP
Public Comment Robert Kisel, Small Business Owner, Bolivar, New York
Public Comment Roger Doctor
Public Comment Frederick D. Lipman, Blank Rome LLP
Public Comment Jason Akel, President, New Food Ventures LLC, Hercules, California
Public Comment Akbert P. Kretz, Ph.D., Founder/Manager, Mentor, Ohio
Public Comment E. Cartier Esham, Executive Vice President, Emerging Companies, Biotechnology Industry Organization (BIO)
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a March 7, 2014, meeting with representatives of OTC Markets Group Inc.
Public Comment Damaris Mendoza-Román, Assistant Commissioner, Office of the Commissioner of Financial Institutions, Puerto Rico
Public Comment Rutheford B. Campbell, Jr., Spears-Gilbert Professor of Law, University of Kentucky
Public Comment William R. Hambrecht, Chairman, WR Hambrecht+ Co, San Francisco, California
Public Comment Hon. Jesse White, Illinois Secretary of State, et al.
Public Comment Travis Newman, COO, The Funding Platform, San Clemente, California
Public Comment William Carter, Investment Banker, Moloney Securities Inc, Midlothian, Virginia
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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