Comments on the Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders

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Date Received
Date Letter Type Commenter Name
Public Comment Linda Lerner, Martin Hewitt, Richard Alvarez, Faith Colish, Edward Eisert, Michael Halloran, Shane B. Hansen, Mark Hobson, Bonnie Roe, Valentino Vasi and Gregory Yadley
Public Comment Linda Lerner, Martin Hewitt, Richard Alvarez, Faith Colish, Edward Eisert, Michael Halloran, Shane Hansen, Mark Hobson, Bonnie Roe and Valentino Vasi
Public Comment Lisa Hopkins, NASAA President, NSAA
Public Comment Marc Wilson (Supplemental Remark)
Public Comment Marcus Stanley, Americans for Financial Reform Education Fund
Public Comment Mark Quinn
Public Comment Mark R. Basile, Esq., Law Professor - Jacob D. Fuchsberg Law Center and Princple Attorney - The Basile Law Firm P.C.
Public Comment Michael Collins, CEO, Alumni Ventures Group 8
Public Comment Michael D. Harris
Public Comment Michael Renetzky, Locke Lord, LLP
Public Comment North Capital Private Securities Corporation
Public Comment Robert Buckholz
Public Comment Robert Strahota
Public Comment Sean Caplice
Public Comment Stephen Deane, CFA, Senior Director, Capital Markets Policy for the Americas, CFA Institute
Public Comment Tyler Gellasch, Executive Director, Healthy Markets Association
Public Comment William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment Brian Candler
Public Comment Brian Hamburger, Preseident and CEO, MarketCounsel Consulting, LLC
Public Comment Christopher A. Iacovella, CEO, American Securities Association
Public Comment Darren L. Nunn
Public Comment Donna DiMaria
Public Comment Granville Ungerleider
Public Comment Gregory Wright, President, Zanbato Securities
Public Comment Justine Tobin
Public Comment Kim Lisa Taylor, Managing Attorney for Syndication Attorneys, PLLC
Public Comment M.E. Allison & Co., Inc.
Public Comment Marc Wilson
Public Comment Mark Atchity
Public Comment McLaughlin Ryder Investments, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-13-20
Release Number
34-90112
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