Comments on Proposed Rule: Short Selling in Connection With A Public Offering

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding an April 26, 2007 conference call with representatives of Sidley, Austin LLP and certain SIFMA members.
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding an April 25, 2007 conference call with Ari Burstein and certain ICI members.
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding an April 10, 2007 meeting with representatives of Sidley, Austin LLP and certain SIFMA members.
Public Comment Simon Lorne, Vice Chairman and Chief Legal Officer, and Martin Schwartz, Chief Compliance Officer, Millenium Partners, L.P.
Public Comment Paul Rivett, Vice President, Fairfax Financial Holdings Limited
Public Comment Sullivan & Cromwell LLP
Public Comment Richard Ketchum, Chief Executive Officer, NYSE Regulation, Inc., New York, New York
Public Comment Cleary Gottlieb Steen Hamilton LLP, New York, New York
Public Comment Howard L. Kramer and Laura S. Pruitt, Schiff Hardin LLP, Washington, District of Columbia
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
Public Comment Ira D. Hammerman, SIFMA Managing Director and General Counsel, Washington, District of Columbia
Public Comment Richard D. Truesdell, Jr., Davis Polk & Wardwell
Public Comment Ari Burstein, Senior Counsel, Investment Company Institute
Public Comment John G. Gaine, President, Managed Funds Association
Public Comment Robert Mendelson, Morgan, Lewis Bockius LLP, New York, New York
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a December 19, 2006 meeting with representatives of Citadel Investment Group, L.L.C.
Public Comment Peter J. Chepucavage, General Counsel, Plexus Consulting, on behalf of International Association of Small Broker-Dealers and Advisors

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-20-06
Release Number
34-54888
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