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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]
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(Click here for meetings with SEC officials)
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| 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)
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| 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
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