Comments on Proposed Rule: Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Market Regulation, Office of Economic Analysis, and Division of Investment Management regarding an April 16, 2005, meeting with the Investment Company Institute's Closed End Fund Committee
Public Comment Dixie L. Johnson, Committee Chair, American Bar Association
Public Comment Edward F. Greene, General Counsel, Citigroup Global Markets, Inc.
Public Comment Leonard B. Mackey, Jr., Clifford Chance US LLP on behalf of Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Securities LLC
Public Comment Mark G. Heesen, President, National Venture Capital Association
Public Comment Ari Burstein, Associate Counsel, Investment Company Institute
Public Comment Gifford R. Zimmerman, CFA, Managing Director and Associate General Counsel, Nuveen Asset Management
Public Comment John C. Burch, Jr., Capital Markets Advisors, LLC and Bruce S. Foerster, Aurora Capital, Inc.
Public Comment John Faulkner, Chairman, SIA Capital Markets Committee
Public Comment Sullivan & Cromwell LLP
Public Comment T. Richard Kendrick, IV, Senior Managing Director Equity Capital Markets, Stifel Nicolaus & Company, Incorporated
Public Comment Richard D. Levey, St. Louis, Missouri

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-41-04
Release Number
33-8511
34-50831
IC-26691
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