|
 |
Proposed Rule: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
[Release No. IA-3111; File No. S7-37-10]
See also: Comments for Dodd Frank Act Title IV, Exemptions for Certain Advisers
|
(Click here for meetings with SEC officials)
|
Jun. 17, 2011 | Sidney Wigfall, Managing Partner/Consultant, SC Advisors Group, Chicago, Illinois |
Jun. 15, 2011 | Craig T. Redinger, Fulbright & Jaworski L.L.P., Munich, Germany |
Jun. 14, 2011 | Pierre Bollon, AFG |
Jun. 1, 2011 | Deena Seelenfreund, Chief Financial Officer, VCFA Group; Bart Shirley, Managing Partner, Cuyahoga Capital Partners LLC; Chuck Stetson, Managing Director, PEI Funds ; Jason Andris, Managing Director, Venture Investment Associates; Jerrold Newman, President, Willowridge Partners, Inc.
|
May 24, 2011 | Nora Jordan and Greg Rowland, Davis Polk & Wardwell LLP |
May 16, 2011 | Jack Governale, Esq., Katten Muchin Rosenman LLP |
Apr. 1, 2011 | Howard Dicker, Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association |
Mar. 21, 2011 | Shearman & Sterling LLP |
Feb. 17, 2011 | Marshall H. Cole II, Patrick A. Duncan, Benny LaRussa, Jr., James M. Micali, Porter B. Rose, R. Patrick Weston, Azalea Capital |
Feb. 10, 2011 | Anne Simpson, Senior Portfolio Manager, Global Equity, California Public Employees' Retirement System (CalPERS) |
Feb. 10, 2011 | David Massey, Administrator, North Carolina Deputy Securities and President, North American Securities Administrators Association, Inc. |
Feb. 2, 2011 | Samuel L. Katz, Managing Partner, TZP Capital Partners I |
Feb. 2, 2011 | Elizabeth Shea Fries, Goodwin Procter LLP |
Feb. 1, 2011 | Ken Taymor, Executive Director, and Eric Finseth, Lecturer and Research Fellow, Berkeley Center for Law, Business and the Economy, Berkeley, California |
Jan. 31, 2011 | Seward & Kissel LLP |
Jan. 31, 2011 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York |
Jan. 28, 2011 | James Tullis, CEO and Managing Partner, Tullis-Dickerson/Tullis Health Investors |
Jan. 28, 2011 | James Chanos, Chairman, Coalition of Private Investment Companies, New York, New York |
Jan. 25, 2011 | Christopher M. Salter, O'Melveny & Myers LLP, on behalf of the China Venture Capital and Private Equity Association, Hong Kong Venture Capital and Private Equity Association and the Singapore Venture Capital and Private Equity Association |
Jan. 25, 2011 | Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, United States Senate |
Jan. 25, 2011 | Georg Merkl, Binz, Switzerland |
Jan. 24, 2011 | CounselWorks LLC |
Jan. 24, 2011 | Gilbert G. Menna, Goodwin Proctor LLP |
Jan. 24, 2011 | John M. Mino, Partner, and Gerald A. Monroe, Partner; Calfee, Halter and Griswold LLP, Cleveland, Ohio |
Jan. 24, 2011 | Dechert LLP, Washington, District of Columbia |
Jan. 24, 2011 | Joanne De Laurentiis, President and CEO, The Investment Funds Institute of Canada |
Jan. 24, 2011 | Dechert LLP, on behalf of Foreign Adviser, Washington, District of Columbia |
Jan. 24, 2011 | Wilson Sonsoni Goodrich & Rosati, P.C., Palo Alto, California |
Jan. 24, 2011 | Mark Berman and Philip Thomas, CompliGlobe Ltd. |
Jan. 24, 2011 | DLA Piper LLP (US) |
Jan. 24, 2011 | Richard H. Baker, President and CEO, Managed Funds Association |
Jan. 24, 2011 | J. Edmund Colloton, COO and Managing Partner, Bessemer Venture Partners |
Jan. 24, 2011 | Americans for Financial Reform |
Jan. 24, 2011 | David T. Jones, Proskauer Rose LLP |
Jan. 24, 2011 | Hilary Strain, Chief Financial Officer, Alta Partners |
Jan. 24, 2011 | Vedanta Capital, LP |
Jan. 24, 2011 | Steve Baloff, Mike Carusi, Jean George, Tom Rodgers, Bob Hower, Bill Wiberg, Advanced Technology Ventures |
Jan. 24, 2011 | Amit Rajput, Vice-President, Finance, Wellington Financial LP, Toronto, Canada |
Jan. 24, 2011 | Sally Webb, General Counsel, MAp Airports Limited, Australia |
Jan. 24, 2011 | Non-US Adviser |
Jan. 24, 2011 | Debevoise & Plimpton LLP, Washington, District of Columbia |
Jan. 24, 2011 | Doug French, Joe Cunningham, and Kevin M. Lalande, Managing Directors, Santé Ventures |
Jan. 24, 2011 | Brian Sopinsky, General Counsel, Susquehanna International Group, LLP, Bala Cynwyd, Pennsylvania |
Jan. 24, 2011 | Brett T. Palmer, Small Business Investor Alliance, National Association of Small Business Investment Companies, Washington, District of Columbia |
Jan. 24, 2011 | Howard S. Zeprun, Chief Administrative Officer and General Counsel, Trident Capital, Inc. |
Jan. 24, 2011 | Chris Fralic, Robert Hayes, Josh Kopelman, Howard Morgan, Managing Partners, First Round Capital |
Jan. 24, 2011 | Shearman & Sterling LLP |
Jan. 24, 2011 | J. Stephen Zielezienski, Senior Vice President & General Counsel, and Phillip L. Carson, Assistant General Counsel, American Insurance Association |
Jan. 24, 2011 | Alan F. Eisenberg, Executive Vice President, Emerging Companies & Business Development, Biotechnology Industry Organization |
Jan. 24, 2011 | Katten Muchin Rosenman LLP on behalf of Certain Non-U.S Advisers |
Jan. 24, 2011 | John J. Park, General Partner & CFO, Cardinal Partners |
Jan. 24, 2011 | Bryan Chegwidden, Cameron Fairall, and Mark Tannenbaum, Ropes & Gray LLP, New York, New York |
Jan. 24, 2011 | Robert Jackowitz, Chief Financial Officer, Pine Brook Road Partners, LLC |
Jan. 24, 2011 | John W. Buttrick, Partner, Union Square Ventures, New York, New York |
Jan. 24, 2011 | Peter C. Brockway, Managing Partner, Brockway Moran & Partners, Inc. |
Jan. 24, 2011 | Grace A. Ames, General Partner, Chief Operating Officer, Oak Investment Partners |
Jan. 24, 2011 | Katten Muchin Rosenman LLP on behalf of Certain Non-U.S. Insurance Companies |
Jan. 24, 2011 | John V. Jaggers, Managing General Partner, Sevin Rosen Funds |
Jan. 24, 2011 | Marc E. Sacks, Senior Managing Director, and Thomas E. Galuhn, Senior Managing Director, Mesirow Financial |
Jan. 24, 2011 | Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller, and Dennis B. Phelps, Institutional Venture Partners |
Jan. 24, 2011 | Kirk B. Griswold, Founding Partner, Argosy Capital, Wayne, Pennsylvania |
Jan. 24, 2011 | John H. Heuberger and Hal M. Brown |
Jan. 24, 2011 | Jason P. Andris, Managing Director, Venture Investment Associates, Peapack, New Jersey |
Jan. 24, 2011 | Robert V. Gunderson, Jr., Founding Partner, Gunderson Dettmer Stough Villeneuve Franklin Hachigian, LLP, Redwood City, California |
Jan. 24, 2011 | Davis Polk & Wardwell LLP |
Jan. 24, 2011 | Mark N. Polebaum, Executive Vice President and General Counsel, MFS Investment Management, Boston, Massachusetts |
Jan. 24, 2011 | Michael P. Maher, Chief Financial Officer, U.S. Venture Partners |
Jan. 24, 2011 | Mary Dent, Jason Doren, and Sven Weber, SVB Financial Group, Palo Alto, California |
Jan. 24, 2011 | T. Bondurant French, Chief Executive Officer, Adams Street Partners |
Jan. 24, 2011 | Rick D. Anderson, Matthew S. Crawford, and Evan S. Melrose, M.D., PTV Sciences |
Jan. 24, 2011 | Damon Silvers, Director of Policy Special Counsel, AFL-CIO, Washington, District of Columbia |
Jan. 24, 2011 | Barbara Muir, Bank of Montreal; Thomas A. Shree, Royal Bank of Canada; and Brian A. Murdock, The Toronto-Dominion Bank |
Jan. 24, 2011 | David H. Pankey, McGuireWoods LLP |
Jan. 24, 2011 | Leonard Nero, CFO, MissionPoint Capital Partners, Norwalk, Connecticut |
Jan. 24, 2011 | John Geschke, General Counsel, Norwest Venture Partners, Palo Alto, California |
Jan. 24, 2011 | Bart A. Shirley, CFA, Managing Partner, Cuyahoga Capital Partners, Cleveland, Ohio |
Jan. 24, 2011 | Fred L. Levy, Brown Rudnick LLP |
Jan. 24, 2011 | Thaddeus I. Gray, Managing Director, Abbott Capital Management, LLC |
Jan. 24, 2011 | Marc E. Goldberg, Managing Director, BioVentures Investors |
Jan. 24, 2011 | Pierre Bollon, submitted on behalf of AFG (French Asset Management Association), France |
Jan. 24, 2011 | Uli Fricke, Chairwoman, European Private Equity and Venture Capital Association, Brussels, Belgium |
Jan. 24, 2011 | Tami E. Nason, Esquire, Senior Vice President and General Counsel, Charlesbank Capital Partners, LLC, Boston, Massachusetts |
Jan. 24, 2011 | Mary Richardson, Director of Regulatory and Tax Department, The Alternative Investment Management Association Limited, London, United Kingdom |
Jan. 24, 2011 | Peter De Proft, Director General, European Fund and Asset Management Association (EFAMA), Bruxells, Belgium |
Jan. 24, 2011 | Portfolio Manager, Hartford, Connecticut |
Jan. 24, 2011 | P. Sherrill Neff, Partner, Quaker BioVentures |
Jan. 23, 2011 | Stephen E. Hoey, Administrative Partner, CFO and CCO, KPS Capital Partners, LP, New York, New York |
Jan. 23, 2011 | David Stepp, General Counsel, Venrock |
Jan. 21, 2011 | Chuck Stetson, Managing Director, Private Equity Investors, Inc., and Jerrold Newman, Founder, Willowridge Partners, Inc. |
Jan. 21, 2011 | Andrew Bursky, Chairman, Atlas Holdings |
Jan. 21, 2011 | Deena B. Seelenfreund, Chief Financial Officer, and Steven J. Taubman, Managing Director, VCFA Group, San Francisco, California |
Jan. 21, 2011 | Katten Muchin Rosenman LLP, on behalf of APG Asset Management US Inc. |
Jan. 21, 2011 | Craig E. Dauchy, Cooley LLP |
Jan. 21, 2011 | Mari-Anne Pisarri, Pickard and Djinis LLP |
Jan. 21, 2011 | Maggie Radford, CFO & COO, Leland Fikes Foundation |
Jan. 21, 2011 | Stephen Holmes, General Partner and COO, InterWest Partners |
Jan. 21, 2011 | Barney D. Byrd, President and CEO, Gen Cap America, Inc. |
Jan. 21, 2011 | John Dirvin, Chief Operating Officer, Austin Ventures, Austin, Texas |
Jan. 21, 2011 | Jerrold M. Newman, Willowridge Partners, Inc., New York, New York |
Jan. 21, 2011 | John G. McDonald, The Stanford Investors Professor, Stanford University |
Jan. 21, 2011 | The General Partners of Charles River Ventures |
Jan. 21, 2011 | Denise Marks, Partner & CFO, SV Life Sciences Advisers, LLC |
Jan. 21, 2011 | Preston DuFauchard, Commissioner, California Department of Corporations |
Jan. 21, 2011 | Robert D. Kraus, SVP and General Counsel, Village Ventures, Inc., Williamstown, Massachusetts |
Jan. 20, 2011 | Jeff Alexander, Chairman, Cook Children's Healthcare Foundation Investment Committee |
Jan. 19, 2011 | Barry S. Volpert, Chairman, Crestview Advisors, LLC |
Jan. 18, 2011 | Jean-Pierre Jouyet, Autorité des Marchés Financier, Paris, France |
Jan. 18, 2011 | Eugene F. Maloney, Esq., Executive Vice President, Federated Investors, Inc. |
Jan. 18, 2011 | D. Grant Vingoe, Arnold & Porter LLP, on behalf of the Investment Industry Association of Canada |
Jan. 17, 2011 | Keith P. Bishop, Former California Commissioner of Corporations, Irvine, California |
Jan. 16, 2011 | David S. Lobel, Managing Partner, Sentinel Capital Partners |
Jan. 14, 2011 | Jonathan Murray, Managing Director, Early Stage Partners, Cleveland, Ohio |
Jan. 14, 2011 | David L. Schnadig, Managing Partner, Cortec Group |
Jan. 13, 2011 | Robert S. Morris, Managing Partner, Olympus Partners, Stamford, Connecticut |
Jan. 13, 2011 | Mark G. Heesen, President, National Venture Capital Association |
Jan. 7, 2011 | Chuck Stetson, Managing Director, Private Equity Investors, Inc. and Jerrold Newman, Founder, Willowridge Partners, Inc. |
Jan. 4, 2011 | John D. Hogoboom, Lowenstein Sandler PC |
Dec. 23, 2010 | L. A. Schnase |
Dec. 22, 2010 | Patrick L. Ferriere, Esq., Fox Horan & Camerini LLP |
Dec. 21, 2010 | Michael Gilleran, Chief Financial Officer, Avoca Capital Holdings |
Dec. 14, 2010 | Richard Dougherty |
Dec. 6, 2010 | Daniel G. Viola, Sadis & Goldberg LLP, New York, New York |
Nov. 23, 2010 | Thomas A. McKay, T.A. McKay & Co., Inc., New York, New York |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
Jun. 15, 2011 | Memorandum from the Division of Investment Management regarding a June 1, 2011 Conference Call with Representatives of Davis Polk & Wardwell LLP |
Jun. 3, 2011 | Memorandum from the Division of Investment Management regarding a May 5, 2011 meeting with representatives of the European Fund and Asset Management Association
and Dechert LLP |
Jun. 3, 2011 | Memorandum from the Division of Investment Management regarding April 20 and May 9, 2011 conference calls with representatives of Autorité des Marchés Financiers de la
République Française |
May 26, 2011 | Memorandum from the Office of Commissioner Casey regarding a May 26, 2011, meeting with representatives of Private Equity Growth Capital Council |
Apr. 18, 2011 | Memorandum from the Division of Investment Management regarding an April 15, 2011, meeting with representatives of the Private Equity Growth Company Council |
Apr. 15, 2011 | Memorandum from the Division of Investment Management regarding an April 12, 2011, meeting with representatives of the European Fund and Asset Management Association |
Apr. 4, 2011 | Memorandum from the Division of Investment Management regarding an April 4, 2011, meeting with representatives of SVB Capital |
Mar. 25, 2011 | Memorandum from the Division of Investment Management regarding a March 14, 2011, meeting with various private fund investment advisers and service providers |
Mar. 17, 2011 | Memorandum from the Office of the Chairman regarding a March 16, 2011, meeting with representatives of Willowridge Partners, PEI Funds, VCFA Group, Cuyahoga Capital Partners, and Carter Ledyard & Milburn |
Mar. 16, 2011 | Memorandum from the Office of Commissioner Walter regarding a February 22, 2011, meeting with representatives of Atlas Holdings and Willkie Farr & Gallagher |
Mar. 16, 2011 | Memorandum from the Office of Commissioner Walter regarding a March 1, 2011, meeting with representatives of Willowridge Partners, PEI Funds, Venture Capital Fund of America, and Carter Ledyard & Milburn |
Mar. 3, 2011 | Memorandum from the Division of Investment Management regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, Private Equity Investors and Carter Ledyard & Milburn |
Mar. 2, 2011 | Memorandum from the Division of Investment Management regarding a February 22, 2011, meeting with representatives of Atlas Holdings LLC and Willkie Farr & Gallagher LLP |
Mar. 1, 2011 | Memorandum from the Office of Commissioner Casey regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, and PEI Funds |
Feb. 14, 2011 | Memorandum from the Division of Investment Management regarding a February 9, 2011, meeting with representatives of the ACA Compliance Group |
Jan. 6, 2011 | Memorandum from the Division of Investment Management regarding a January 5, 2011, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP |
Dec. 22, 2010 | Memorandum from the Division of Investment Management regarding a November 29, 2010, meeting with staff from the office of Senator Jack Reed |
Dec. 16, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association |
Dec. 3, 2010 | Memorandum from the Division of Investment Management regarding a December 2, 2010, meeting with a representative of the Subcommittee on Private Investment Entities of the American Bar Association |
http://www.sec.gov/comments/s7-37-10/s73710.shtml
|