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 Richard J. Rice
Public Comment Robert Onesti
Public Comment Russell Travis
Public Comment Scott A. Eichhorn
Public Comment Thomas Boytinck
Public Comment William Heyn
Public Comment Anthony Durone, Berkowitz Oliver LLP
Public Comment Avisen Legal, P.A.
Public Comment Barbara Roper, Consumer Federation of America
Public Comment Bob Hamman
Public Comment Hilary Bergman
Public Comment Joe Delaney
Public Comment Rick Dahl
Public Comment Damon D. Testaverde, Chairman, Network 1 Financial Securities, Inc.
Public Comment David T. Frank
Public Comment Faith Colish
Public Comment John Fahy, Member, Whitaker Chalk Swindle Schwartz PLLC et al.
Public Comment Sanjay Vora
Public Comment Charles Jordan
Public Comment Daniel Pickens
Public Comment Dante Fichera, President, Independent Investment Bankers Corp.
Public Comment Houston Goddard
Public Comment Jessica Pastorino, President & CCO, M&A Securities Group, Inc.
Public Comment Law Office of Donald Neidhardt, Attorney
Public Comment Pat Gouhin, Chief Executive Officer, Angel Capital Association and Tony Shipley, Chairman of the Board, Angel Capital Association
Public Comment Andre Schwegler, Licensed broker with TerraNova Capital Equities, Inc., a member FINRA
Public Comment Brian A. Lebrecht, Keith M. Woodwell, Thomas A. Brady, Clyde Snow & Sessions, PC
Public Comment Dale M. Sizemore
Public Comment Michael A. Bendix, CEO, DFPG Investments, LLC
Meeting with SEC Officials 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

Last Reviewed or Updated: Dec. 18, 2025

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