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Comments on Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings

[Release No. 33-9211; File No. S7-21-11]


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 1, 2012 J. Robert Brown, Jr., Professor, Director, Corporate Commercial Law Program, Sturm College of Law, University of Denver
Oct. 4, 2011 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York
Sep. 29, 2011 Anonymous
Aug. 23, 2011 David E. Y. Sarna
Aug. 23, 2011 Keith P. Bishop, Former California Commissioner of Corporations, Irvine, California
Aug. 21, 2011 Anonymous
Aug. 17, 2011 Paula A. Argento, Esq.
Aug. 16, 2011 Marianne Hudson, Executive Director, Angel Capital Association, Overland Park, Kansas
Aug. 12, 2011 Richard H. Baker, President and CEO, Managed Funds Association
Jul. 30, 2011 John R Fahy, Esq., Whitaker Chalk Swindle & Sawyer, PLLC; Dan R. Waller, Secore & Waller, LLP; P. Michael Armstrong, Law Firm of P. Michael Armstrong
Jul. 25, 2011 David S. Massey, NASAA President and Deputy Securities Commissioner, North Carolina Department of the Secretary of State
Jul. 20, 2011 Patricia A. Poglinco and Robert Van Grover, Seward & Kissel
Jul. 14, 2011 Sullivan & Cromwell LLP
Jul. 14, 2011 Cleary Gottlieb Steen & Hamilton LLP
Jul. 14, 2011 Lawrence B. Mandala, Munck Carter, LLP, Dallas, Texas
Jul. 14, 2011 Katten Muchin Rosenman LLP
Jul. 14, 2011 Patton L. Zarate, Esq., Alfaro Oil and Gas, LLC, San Antonio, Texas
Jul. 14, 2011 Paul R. Eckert, William R. McLucas, Wilmer Cutler Pickering Hale and Dorr LLP; Marc S. Rosenberg, Rachel G. Skaistis, Cravath, Swaine & Moore LLP; Michael P. Carroll, Linda Chatman, Thomsen Davis Polk & Wardwell LLP; Amy Goodman, James J. Moloney, John F. Olson, John H. Sturc, F. Joseph Warin, Gibson, Dunn & Crutcher LLP; and Heather Cruz Colleen P. Mahoney Erich T. Schwartz Skadden, Arps, Slate, Meagher & Flom LLP
Jul. 14, 2011 Robert E. Buckholz, Committee on Securities Regulation, New York City Bar Association
Jul. 14, 2011 Bob E. Lehman, Lehman & Eilen LLP
Jul. 14, 2011 Dennis M. Kelleher, President & CEO and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Jul. 14, 2011 Richard Chess, President, Real Estate Investment Securities Association
Jul. 14, 2011 Charles Douglas Bethill, SNR Denton US LLP, on behalf of The Depository Trust & Clearing Corporation
Jul. 14, 2011 Jack L. Hollander, Chairman, Investment Program Association
Jul. 14, 2011 Iris K. Linder, Lansing, Michigan
Jul. 14, 2011 Frank D. Zaffere, Partner, Schuyler, Roche & Crisham, P.C.
Jul. 14, 2011 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association, Washington, District of Columbia
Jul. 14, 2011 Marianne Hudson, Executive Director, Angel Capital Association, Overland Park, Kansas
Jul. 13, 2011 Scott W. Coy, President, S.W. Coy Capital, Inc., Pittsburgh, Pennsylvania
Jul. 12, 2011 Anonymous
Jul. 11, 2011 G. Philip Rutledge, Esquire, Partner, Bybel Rutledge LLP, Lemoyne, Pennsylvania
Jul. 8, 2011 Robert J. Ahrenholz, Esq., Partner, Kutak Rock LLP, Denver, Colorado
Jul. 7, 2011 Andrew K. Johnson, Inc., UPSP, Placentia, California
Jul. 4, 2011 William Michael Cunningham, Creative Investment Research, Inc., Washington, District of Columbia
Jul. 1, 2011 William A. Newman, Attorney at Law, Sullivan & Worcester LLP
Jun. 29, 2011 Virginia R. Geraghty, CPA, Menomonee Falls, Wisconsin
Jun. 29, 2011 Leonard W. Burningham, Esq., Salt Lake City, Utah
Jun. 13, 2011 Jaimie Davis
Jun. 6, 2011 Mike Liles, Jr., Karr Tuttle Campbell, Seattle, Washington
Jun. 3, 2011 Bill Nelson
Jun. 1, 2011 Chris Barnard, Germany
May 31, 2011 Mike F. Zhu
May 26, 2011 Jim Leigh, Alabama
May 25, 2011 Ralph M. Sherman, Esq., Founding Partner, The Law Offices of Ralph M. Sherman, P.C., Southfield, Michigan

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jan. 17, 2012 Memorandum from the Office of Commissioner Paredes regarding a January 17, 2013, meeting with representatives of the Managed Funds Association (MFA)
Oct. 10, 2012 Memorandum from the Office of Division of Investment Management regarding a September 11, 2012, meeting with representatives of the Managed Funds Association
Oct. 9, 2012 Memorandum from the Office of Commissioner Troy A. Paredes regarding a September 11, 2012, meeting with representatives of the Managed Funds Association
Oct. 5, 2012 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 11, 2012, meeting with representatives of the Managed Funds Association
Jun. 22, 2012 Memorandum from the Division of Corporation Finance regarding a May 9, 2012, meeting with representatives of the Real Estate Investment Securities Association (REISA)
Jun. 17, 2011 Memorandum from the Division of Corporation Finance regarding a June 17, 2011, meeting with representatives of the Managed Funds Association

 

http://www.sec.gov/comments/s7-21-11/s72111.shtml

Modified: 10/16/2014