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 Howard Pham
Public Comment Michael J. Cumbo, Ph.D., Founder & CEO, Sandia Electro-Optics Corporation
Public Comment George C. Johnson, Asbury Park, New Jersey
Public Comment Scott Kupor, Managing Partner, Andreessen Horowitz, and Jeffrey M. Solomon, Chief Executive Officer, Cowen and Company
Public Comment Jesse J. Palomino, Dexter, New Mexico
Public Comment Charles Huynh, Waltham, Massachusetts
Public Comment Janet M. Tavakoli, President, Tavakoli Structured Finance, Inc.
Public Comment John Warren, Esq., Des Moines, Iowa
Public Comment Paul S. Germo, CEO of a start up, St. Cloud, Minnesota
Public Comment Bradley L. Staples, MBA, University of Utah, Salt Lake City, Utah
Public Comment Chris Sugai, Fort Collins, Colorado
Public Comment Ryan Hawxhurst, Founder and CEO of Unorthodocs Printing LLC, New York
Public Comment A. Heath Abshure, Arkansas Securities Commissioner, Little Rock, Arkansas
Public Comment Donald R. Hancock, CEO, Moloney Securities Co., Inc., Manchester, Missouri
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a February 19, 2014, meeting with representatives of Morrison & Foerster LLP and Fundrise, LLC
Public Comment Andrea Seidt, President, et al., North American Securities Administrators Association (NASAA)
Public Comment Jonathan C. Guest, Esq., McCarter & English LLP, Boston, Massachusetts
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a February 19, 2014, meeting with representatives of Guzik & Associates and Seyfarth Shaw LLP
Public Comment Steven J. Sutton, New York, New York
Public Comment Anna G. Eshoo, et al., Members of Congress
Public Comment Kendall Almerico, Crowdfunding Expert, Attorney and CEO, Fund Hub and ClickStartMe, Tampa, Florida
Public Comment Jack E. Herstein, Assistant Director, Nebraska Department of Banking and Finance, Lincoln, Nebraska
Public Comment James A. Riggs, CFP, Executive Vice President Moloney Securities, Richmond, Virginia
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a January 26, 2014, meeting with representatives of the Corporate Directors Forum
Public Comment Mike Liles, Jr., Attorney, Karr Tuttle Campbell, Seattle, Washington
Public Comment David N. Feldman, Esq., Partner, Richardson Patel LLP, New York, New York
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a January 8, 2014, phone call with representatives of the Office of the Secretary of the Commonwealth of Massachusetts
Public Comment David B. Kolstedt, Buffalo, Missouri
Public Comment William F. Galvin, Secretary of the Commonwealth of Massachusetts

Last Reviewed or Updated: Dec. 18, 2025

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