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(Click here for meetings with SEC officials)
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| Jul. 25, 2025 | Mark Jones, CEO, Sprowtt |
| Jun. 15, 2024 | Albert L. Harlow |
| Aug. 9, 2022 | Dan Mueller, CEO/President, JUDOBABY, Inc. |
| Jun. 15, 2022 | Patrick Sullivan |
| Mar. 12, 2022 | Mark Czuchry |
| Jan. 31, 2022 | Loral Langemeier, President, live Out Loud, Inc. |
| Nov. 3, 2021 | Michael Lord, Small Business Owner, Serial Entrepreneur |
| Jul. 19, 2021 | Ross Youngs, Entrepreneur |
| Apr. 30, 2021 | Keith Moorhouse |
| Jan. 29, 2021 | Mark Holman, Chairman, Expanesthetics, Inc. |
| Jan. 25, 2021 | Mitchell Morgan |
| Jan. 20, 2021 | Richard Sandberg, Entrepreneur |
| Dec. 28, 2020 | Sherri Haskell, Founder, CEO, Canna Angels, LLC |
| Dec. 28, 2020 | Kent Lucas, Founding Partner, 30X LLC |
| Nov. 30, 2020 | Sara Hanks, CEO, CrowdCheck, Inc. |
| Nov. 23, 2020 | Carlo Porreca |
| Nov. 14, 2020 | Robert Rutkowski |
| Nov. 13, 2020 | Mark Berman, Founder and CEO, CompliGlobe Ltd. |
| Nov. 13, 2020 | Joseph P. Borg,
Director, Alabama Securities Commission, et al. |
| Nov. 13, 2020 | Marcia Asquith,
Executive Vice President, Board & External Relations, FINRA |
| Nov. 13, 2020 | Lev Bagramian, Senior Securities Policy Advisor, Better Markets |
| Nov. 12, 2020 | Robert Strahota |
| Nov. 12, 2020 | Linda Lerner, Martin Hewitt, Richard Alvarez, Faith Colish, Edward Eisert, Michael Halloran, Shane Hansen, Mark Hobson, Bonnie Roe and Valentino Vasi |
| Nov. 12, 2020 | Linda Lerner, Martin Hewitt, Richard Alvarez, Faith Colish, Edward Eisert, Michael Halloran, Shane B. Hansen, Mark Hobson, Bonnie Roe, Valentino Vasi and Gregory Yadley |
| Nov. 12, 2020 | Marc Wilson (Supplemental Remark) |
| Nov. 12, 2020 | Mark R. Basile, Esq., Law Professor - Jacob D. Fuchsberg Law Center and Princple Attorney - The Basile Law Firm P.C. |
| Nov. 12, 2020 | Kenneth E. Bentsen, Jr., President and CEO, SIFMA |
| Nov. 12, 2020 | A Randal Burch, Owner, Burch & Company, Inc. |
| Nov. 12, 2020 | George J. Mazin, Esq. |
| Nov. 12, 2020 | David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation |
| Nov. 12, 2020 | Robert Buckholz |
| Nov. 12, 2020 | David P. Meyer, President, Public Investors Advocate Bar Association |
| Nov. 12, 2020 | Michael Renetzky, Locke Lord, LLP |
| Nov. 12, 2020 | Michael D. Harris |
| Nov. 12, 2020 | Stephen Deane, CFA, Senior Director, Capital Markets Policy for the Americas, CFA Institute |
| Nov. 12, 2020 | North Capital Private Securities Corporation |
| Nov. 12, 2020 | Mark Quinn |
| Nov. 12, 2020 | Laura Anthony |
| Nov. 12, 2020 | John Zayac, President, BIEF; Chris Blees, President, AM&AA; Barry Berkowitz, Chair, IBBA; and Robert McCormack, Chair, M&A Source |
| Nov. 12, 2020 | Katten Muchin Roseman LLP |
| Nov. 12, 2020 | Lisa Hopkins,
NASAA President, NSAA |
| Nov. 12, 2020 | Marcus Stanley, Americans for Financial Reform Education Fund |
| Nov. 12, 2020 | William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts |
| Nov. 12, 2020 | Michael Collins, CEO, Alumni Ventures Group
8 |
| Nov. 12, 2020 | Sean Caplice |
| Nov. 12, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Nov. 12, 2020 | John P. O'Shea, Global Alliance Securities, LLC, 15a-6 Chaperoning Broker |
| Nov. 11, 2020 | Granville Ungerleider |
| Nov. 11, 2020 | M.E. Allison & Co., Inc. |
| Nov. 11, 2020 | Donna DiMaria |
| Nov. 11, 2020 | Mark Atchity |
| Nov. 11, 2020 | Gregory Wright, President, Zanbato Securities |
| Nov. 11, 2020 | Robert Onesti |
| Nov. 11, 2020 | Richard J. Rice |
| Nov. 11, 2020 | McLaughlin Ryder Investments, Inc. |
| Nov. 11, 2020 | Kim Lisa Taylor, Managing Attorney for Syndication Attorneys, PLLC |
| Nov. 11, 2020 | William Heyn |
| Nov. 11, 2020 | Justine Tobin |
| Nov. 11, 2020 | Brian Candler |
| Nov. 11, 2020 | Christopher A. Iacovella, CEO, American Securities Association |
| Nov. 11, 2020 | Marc Wilson |
| Nov. 11, 2020 | Russell Travis |
| Nov. 11, 2020 | Thomas Boytinck |
| Nov. 11, 2020 | Darren L. Nunn |
| Nov. 11, 2020 | Scott A. Eichhorn |
| Nov. 11, 2020 | Brian Hamburger, Preseident and CEO, MarketCounsel Consulting, LLC |
| Nov. 10, 2020 | Avisen Legal, P.A. |
| Nov. 10, 2020 | Anthony Durone, Berkowitz Oliver LLP |
| Nov. 10, 2020 | Barbara Roper, Consumer Federation of America |
| Nov. 10, 2020 | Bob Hamman |
| Nov. 10, 2020 | Hilary Bergman |
| Nov. 10, 2020 | Rick Dahl |
| Nov. 10, 2020 | Joe Delaney |
| Nov. 9, 2020 | Damon D. Testaverde, Chairman, Network 1 Financial Securities, Inc. |
| Nov. 9, 2020 | David T. Frank |
| Nov. 9, 2020 | Faith Colish |
| Nov. 7, 2020 | John Fahy, Member, Whitaker Chalk Swindle Schwartz PLLC et al. |
| Nov. 7, 2020 | Sanjay Vora |
| Nov. 6, 2020 | Daniel Pickens |
| Nov. 6, 2020 | Law Office of Donald Neidhardt, Attorney |
| Nov. 6, 2020 | Dante Fichera, President, Independent Investment Bankers Corp. |
| Nov. 6, 2020 | Jessica Pastorino, President & CCO, M&A Securities Group, Inc. |
| Nov. 6, 2020 | Pat Gouhin, Chief Executive Officer, Angel Capital Association and Tony Shipley, Chairman of the Board, Angel Capital Association |
| Nov. 6, 2020 | Houston Goddard |
| Nov. 6, 2020 | Charles Jordan |
| Nov. 5, 2020 | Michael A. Bendix, CEO, DFPG Investments, LLC |
| Nov. 5, 2020 | Brian A. Lebrecht, Keith M. Woodwell, Thomas A. Brady, Clyde Snow & Sessions, PC |
| Nov. 5, 2020 | Andre Schwegler, Licensed broker with TerraNova Capital Equities, Inc., a member FINRA |
| Nov. 5, 2020 | Dale M. Sizemore |
| Nov. 3, 2020 | Dan LeGaye |
| Nov. 2, 2020 | Maxwell R. Rich, Deputy General Counsel, OpenDeal Inc. |
| Nov. 1, 2020 | Christopher Brown |
| Oct. 30, 2020 | David Neuman |
| Oct. 28, 2020 | G. Philip Rutledge, Partner, Bybel Rutledge LLP |
| Oct. 27, 2020 | Emmanuel Yimfor |
| Oct. 23, 2020 | Andrew M. Lieb, Esq., MPH, Managing Attorney, Lieb at Law, P.C. |
| Oct. 21, 2020 | Robert J. Dickson, Partner, McCracken |
| Oct. 20, 2020 | Sylvia Blount |
| Oct. 20, 2020 | Neil Wahlgren |
| Oct. 19, 2020 | Stephen Nunes |
| Oct. 19, 2020 | Helgi C. Walker, Gibson, Dunn & Crutcher LLP and Barry Goldsmith, Gibson, Dunn & Crutcher LLP |
| Oct. 17, 2020 | Jeanette Stewart |
| Oct. 17, 2020 | William C. Stewart |
| Oct. 14, 2020 | Bradford Harries |
| Oct. 8, 2020 | Richard A. Weintraub, PC dba Weintraub Law Group PC |
| Oct. 8, 2020 | David E. Case, Esq., Aisa Pacific Advisory |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Nov. 4, 2020 | Memorandum from the Division of Trading and Markets regarding a November 4, 2020 meeting with representatives of Halloran Farkas & Kittila LLP; Carter Ledyard & Milburn LLP; Fried, Frank, Harris, Shriver & Jacobson LLP; and the Law Offices of Richard Alvarez |
| Nov. 2, 2020 | Memorandum from the Division of Trading and Markets regarding a November 2, 2020 meeting with representative of CompliGlobe Ltd. |
| Nov. 2, 2020 | Memorandum from the Division of Trading and Markets regarding a November 2, 2020 meeting with representatives of Warner Norcross & Judd LLP |
| Oct. 7, 2020 | Memorandum from the Office of the Advocate for Small Business Capital Formation regarding an October 7, 2020 Finders Proposed Exemptive Order: Overview Chart of Tier I Finders, Tier II Finders and Registered Brokers |
