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

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a January 17, 2013, meeting with representatives of the Managed Funds Association (MFA)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 11, 2012, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a September 11, 2012, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 11, 2012, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a May 9, 2012, meeting with representatives of the Real Estate Investment Securities Association (REISA)
Public Comment J. Robert Brown, Jr., Professor, Director, Corporate Commercial Law Program, Sturm College of Law, University of Denver
Public Comment Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York
Public Comment Anonymous
Public Comment David E. Y. Sarna
Public Comment Keith P. Bishop, Former California Commissioner of Corporations, Irvine, California
Public Comment Anonymous
Public Comment Paula A. Argento, Esq.
Public Comment Marianne Hudson, Executive Director, Angel Capital Association, Overland Park, Kansas
Public Comment Richard H. Baker, President and CEO, Managed Funds Association
Public Comment John R Fahy, Esq., Whitaker Chalk Swindle & Sawyer, PLLC; Dan R. Waller, Secore & Waller, LLP; P. Michael Armstrong, Law Firm of P. Michael Armstrong
Public Comment David S. Massey, NASAA President and Deputy Securities Commissioner, North Carolina Department of the Secretary of State
Public Comment Patricia A. Poglinco and Robert Van Grover, Seward & Kissel
Public Comment Bob E. Lehman, Lehman & Eilen LLP
Public Comment Charles Douglas Bethill, SNR Denton US LLP, on behalf of The Depository Trust & Clearing Corporation
Public Comment Cleary Gottlieb Steen & Hamilton LLP
Public Comment Dennis M. Kelleher, President & CEO and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Public Comment Frank D. Zaffere, Partner, Schuyler, Roche & Crisham, P.C.
Public Comment Iris K. Linder, Lansing, Michigan
Public Comment Jack L. Hollander, Chairman, Investment Program Association
Public Comment Katten Muchin Rosenman LLP
Public Comment Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association, Washington, District of Columbia
Public Comment Lawrence B. Mandala, Munck Carter, LLP, Dallas, Texas
Public Comment Marianne Hudson, Executive Director, Angel Capital Association, Overland Park, Kansas
Public Comment Patton L. Zarate, Esq., Alfaro Oil and Gas, LLC, San Antonio, Texas
Public Comment 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

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-21-11
Release Number
33-9211
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