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Comments on Rulemaking Petition: Petition for Commission Action to Require Exchange Act Registration of Over-the-Counter Equity Securities

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Date Sort descending	Letter Type	Commenter Name
Oct. 23, 2013	Public Comment	Tony Chiarenza, Key Equity Investors, Inc.
March 11, 2011	Public Comment	Stephen J. Nelson, The Nelson Law Firm, LLC, Raffles Capital Management, on behalf of Philip Oppenheimer and Mark Close, Oppenheimer & Close, Inc., Paul O'Leary, Raffles Associates, and David Wright, Henry Investment Trust, L.P.
Feb. 10, 2011	Meeting with SEC Officials	Memorandum from the Division of Corporation Finance regarding a February 10, 2011 meeting with representatives of The Nelson Law Firm, LLC, Raffles Capital Management, Oppenheimer & Close, Inc., and Henry Investment Trust, L.P.
April 1, 2009	Public Comment	Robert J. Schweich
April 1, 2009	Public Comment	Tony Chiarenza, President, Key Equity Investors, Inc.
March 27, 2009	Public Comment	Anthony Chiarenza, Key Equity Investors, Inc.
March 26, 2009	Public Comment	Lawrence J. Goldstein, Santa Monica Partners, L.P.
March 26, 2009	Public Comment	Martin Fox
March 24, 2009	Public Comment	Philip V. Oppenheimer, Oppenheimer & Close, Inc.
March 19, 2009	Public Comment	Anthony Lamport
Nov. 12, 2008	Public Comment	Sarah A. Miller, Senior Vice President, American Bankers Association
Dec. 3, 2007	Public Comment	Christopher T. Singley, Houston, Texas
Oct. 23, 2006	Meeting with SEC Officials	Memorandum from the Division of Corporation Finance regarding an October 23, 2006, meeting with representatives of the Community Bankers Council of the American Bankers Association
Sept. 19, 2005	Public Comment	Anthony Chiarenza, Key Equity Investors, Inc.
Oct. 12, 2004	Public Comment	F. Scott Koonce, President, Koonce Securities, Inc.
Sept. 28, 2004	Public Comment	Peter J. Lewis, CFA, Director of Research, Towle & Co.
Aug. 24, 2004	Public Comment	Debra Fiakas, CFA, Managing Director, Crystal Equity Research
Aug. 2, 2004	Public Comment	Daniel Zeff, General Partner, Zeff Capital Partners
July 19, 2004	Public Comment	David G. Connors
June 4, 2004	Public Comment	Gerald I. White, CFA, President, Grace & White, Inc.
May 27, 2004	Public Comment	John Rosenthal
May 12, 2004	Public Comment	Jim Brodie
May 11, 2004	Public Comment	James A. Brodie, Managing Director, Carr Securities Corporation
Jan. 13, 2004	Public Comment	Anthony Chiarenza, Key Equity Investors, Inc.
Dec. 21, 2003	Public Comment	David Shuldiner, Kanagawa Holdings LLC
Dec. 8, 2003	Public Comment	Nelson Obus, President, Wynnefield Capital, Inc.
Oct. 28, 2003	Public Comment	Jim Brodie
Oct. 27, 2003	Public Comment	Walter Carucci, President, Carr Securities
Oct. 10, 2003	Public Comment	Anthony Chiarenza, Key Equity Investors, Inc.
Oct. 9, 2003	Public Comment	James A. Brodie

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-483

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