(Click here for
SEC Staff Studies and Reports
)
(Click here for meetings with SEC officials)
|
Comments have been received from individuals and entities using the following Letter Type
A: 286 |
| Oct. 30, 2020 | Andrew Vollmer and Brian Knight, Mercatus Center at George Mason University |
| Oct. 21, 2020 | Lisa Hopkins, NASAA President and West Virginia Senior Deputy Securities Commissioner |
| Sep. 25, 2020 | Ken Linge, Executive Director, National Coalition for Community Capital |
| Sep. 1, 2020 | Association of Online Investment Platforms |
| Aug. 25, 2020 | Mark Jones, CEO, Sprowtt Inc. |
| Aug. 22, 2020 | Kendrick Nguyen |
| Aug. 21, 2020 | Andrew Vollmer, Mercatus Center, George Mason University |
| Aug. 3, 2020 | Rutheford B. Campbell, Emeritus Professor of Law, Rosenberg College of Law, University of Kentucky |
| Jul. 30, 2020 | Umair Shams |
| Jul. 27, 2020 | Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, ABA Business Law Section; Joshua Geffen, Chair, Private Equity and Venture Capital Committe, ABA Business Law Section; R. Marshall Grodner, Chair, Commercial Finance Committee, ABA Business Law Section |
| Jul. 21, 2020 | Carlo Passeri, Director of Capital Markets and Financial Services Policy, Biotechnology Innovation Organization |
| Jul. 19, 2020 | Youngro Lee, CEO, NextSeed Securities |
| Jul. 13, 2020 | Marshall Uzzle, Vezzit, Inc |
| Jul. 10, 2020 | Maxine Waters, Chairwoman, Committee on Financial Services, U.S. Congress |
| Jul. 10, 2020 | Anthony Chereso, President and CEO, Institute for Portfolio Alternatives |
| Jul. 1, 2020 | Pat Toomey, U.S. Senator, Chairman, Subcommittee on Securities, Insurance, and Investment,
U.S. Senate Committee on Banking, Housing, and Urban Affairs |
| Jun. 30, 2020 | Zachary O. Fallon, Principal, Ketsal and James M. Blakemore, Principal, Ketsal |
| Jun. 29, 2020 | David F. Connor, MIM Americas General Counsel, Macquarie Investment Management |
| Jun. 25, 2020 | Anthony Chereso, President & CEO, Institute for Portfolio Alternatives |
| Jun. 18, 2020 | Shearman & Sterling LLP |
| Jun. 17, 2020 | Christian Bilger, Chief Operating Officer, Honeycomb Credit Inc. |
| Jun. 16, 2020 | James L. Markus |
| Jun. 12, 2020 | James C. Allen, CFA, Head, Capital Markets Policy – Americas, CFA Institute and Stephen Deane, CFA, Sr. Director, Capital Markets Policy – Americas, CFA Institute |
| Jun. 11, 2020 | Sara Hanks, CEO, CrowdCheck, Inc. |
| Jun. 11, 2020 | Mitch Chapman |
| Jun. 8, 2020 | Patrick McHenry, Representative, US House of Representatives |
| Jun. 8, 2020 | Brian Belley, Founder and Managing Member, Crowdwise, LLC |
| Jun. 7, 2020 | Matt L. |
| Jun. 5, 2020 | Minnie Mark |
| Jun. 4, 2020 | Robert Rutkowski |
| Jun. 4, 2020 | Ryan M. Feit, CEO, SeedInvest |
| Jun. 4, 2020 | Barbara Roper, Director of Investor Protection, Consumer Federation of America and Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Jun. 4, 2020 | Robert E. Rutkowski |
| Jun. 2, 2020 | David Cornett |
| Jun. 2, 2020 | Richard Megos |
| Jun. 2, 2020 | Lev Bagramian, Senior Securities Policy Advisor, Better Markets, et al. |
| Jun. 1, 2020 | Eshwar Inapuri, CEO, InnaMed, Inc., et al. |
| Jun. 1, 2020 | Aron Szapiro, Head of Policy Research, Morningstar, Inc. and Jasmin Sethi, Associate Director of Policy Research, Morningstar, Inc. |
| Jun. 1, 2020 | Fried, Frank, Harris, Shriver & Jacobson LLP |
| Jun. 1, 2020 | David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation |
| Jun. 1, 2020 | Franz Hochstrasser, Chief Executive Officer, Raise Green Inc., Managing Member, New Haven Community Solar, LLC and
Matthew Moroney, Chief Operating Officer, Raise Green Inc., Managing Member, New Haven Community Solar, LLC |
| Jun. 1, 2020 | Josh Levit, Chief Compliance Officer, Private Markets, Americas, Invesco Ltd. and Christopher Fischer,
Assistant General Counsel, Invesco Ltd. |
| Jun. 1, 2020 | Marshall E. Uzzle, CEO, Vezzit Inc. and Ron Matana, CPO, Vezzit Inc. |
| Jun. 1, 2020 | Bret Hester, Senior Managing Director and General Counsel, TIAA |
| Jun. 1, 2020 | Dan Berglund, President and CEO, SSTI |
| Jun. 1, 2020 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Jun. 1, 2020 | Engine Advocacy |
| Jun. 1, 2020 | Mark Schonberger |
| Jun. 1, 2020 | Christina Mitsopoulos, Securities Regulation Advisor, Shareholder Advocacy Forum |
| Jun. 1, 2020 | William Hubbard, Hubbard Business Counsel |
| Jun. 1, 2020 | Jonathan J. Grossman |
| Jun. 1, 2020 | Amy Davine Kim, Chief Policy Officer, Chamber of Digital Commerce |
| Jun. 1, 2020 | Leila Shaver, Esq. Owner, Shaver Law Group, LLC, d/b/a My RIA Lawyer |
| Jun. 1, 2020 | Michael H. Shuman, Esq. |
| Jun. 1, 2020 | Aseel M. Rabie, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Jun. 1, 2020 | Zachary O Fallon, CEO and Founder, So. Capital Inc. |
| Jun. 1, 2020 | Youngro Lee, CEO, NextSeed Securities LLC and
Vivian Kim, Counsel, NextSeed Securities LLC |
| Jun. 1, 2020 | Americans for Financial Reform Education Fund |
| Jun. 1, 2020 | Maxwell R. Rich, Deputy General Counsel, Republic |
| Jun. 1, 2020 | Penny Somer-Greif, Chair and Gregory T. Lawrence, Vice-Chair, Committee on Securities Law of the Business Law Section of the Maryland State Bar Association |
| Jun. 1, 2020 | Henry Ward, CEO, eShares, Inc. d/b/a Carta, Inc. and Anthony Cimino, Head of Policy, eShares, Inc. d/b/a Carta, Inc. |
| Jun. 1, 2020 | Christopher Gerold, NASAA President, Chief, New Jersey Bureau of Securities, North American Securities Administrators Association, Inc. |
| Jun. 1, 2020 | Eric T. Holzer, CPC, Healthcare Division,
Managing Search Director, Richard, Wayne and Roberts |
| Jun. 1, 2020 | Jon F. Stoner |
| May 31, 2020 | Mark Roderick |
| May 31, 2020 | Jason Frishman, Chief Executive Officer, Netcapital Funding Portal Inc. |
| May 31, 2020 | Robert C. Guinto Jr., President, Social Enterprise Investments, Inc. |
| May 31, 2020 | Luc W. Van Braekel |
| May 31, 2020 | David V. Duccini, Founder and CEO, Silicon Prairie Holdings, Inc. |
| May 31, 2020 | Daniel Farb |
| May 31, 2020 | Mark Roderick |
| May 31, 2020 | Jason |
| May. 31, 2020 | John A. Carter |
| May 30, 2020 | Bob |
| May 30, 2020 | John R. Clarke, Industry Professional |
| May 30, 2020 | Pin Osuji ,CEO, PP And VI Cleaning Restoration LLC, Chief Strategist At The Investing Mind and Soul Cleaning Restoration Club |
| May 30, 2020 | Robert Hill |
| May 30, 2020 | Bernie Cohen |
| May 29, 2020 | Mike Yanak |
| May 29, 2020 | Chidi Onwuka |
| May. 29, 2020 | Frank Collazo |
| May 29, 2020 | Alain Suria |
| May 29, 2020 | Guoming Xu |
| May 29, 2020 | Charles Patton |
| May 29, 2020 | Arthur Popkave |
| May 29, 2020 | Sherwood Neiss, Principal, Crowdfund Capital Advisors, LLC and Jason Best, Principal, Crowdfund Capital Advisors, LLC |
| May 29, 2020 | Michael J. Friedman, Head of Trading, LEX Markets |
| May 29, 2020 | Kevin Kim, Corporate and Securities Partner, Geraci LLP |
| May 29, 2020 | Carolynn Levy, Partner General Counsel, Y Combinator |
| May 29, 2020 | Aaron Koral |
| May 28, 2020 | Carla Garrett, Committee Chair, Advisory Committee and Jeffrey Solomon, Committee Vice Chair, Advisory Committee |
| May 28, 2020 | Nicholas Tommarello, CEO, Wefunder |
| May 28, 2020 | Jeff Mahoney, General Counsel, Council of Institutional Investors |
| May 26, 2020 | Kathleen Minogue, Founder and CEO, Crowdfund Better |
| May 26, 2020 | Andy Green, Managing Director of Economic Policy, Center for American Progress, et al |
| May 26, 2020 | Patrick Gouhin, CEO, Angel Capital Association and Linda Smith, Chair Emeritus And Public Policy Chair, Angel Capital Association |
| May 26, 2020 | Shane Hadden, CFA, Founder and CEO, Seats Capital LLC |
| May 25, 2020 | Mark A. Cooper, CTO, Haute Fabrication |
| May 22, 2020 | Jason D. Pampena, Individual investor |
| May 22, 2020 | Jenny Kassan, Esq.
Director, Crowdfunding Professional Association |
| May 22, 2020 | Chris Barnard |
| May 21, 2020 | Andrew A Schwartz, Professor of Law, University of Colorado |
| May 14, 2020 | Darshun N. Kendrick, Georgia General Assembly/KAAG |
| May 10, 2020 | William S. Li, Chairman and CEO, Knightscope, Inc. |
| May 8, 2020 | Jin Gao |
| May 7, 2020 | Nicholas Matthews, Co-Founder and CEO, MainVest, Inc. and Benjamin Blieden, CFA, Co-Founder and CFO, MainVest, Inc. |
| May 6, 2020 | Stephen E. Roth, Esq.and Frederick R. Bellamy, Eversheds Sutherland on behalf of the Committee of Annuity Insurers |
| May 3, 2020 | Howard Marks |
| May 1, 2020 | Brandon Andrews |
| May 1, 2020 | Jeffrey M. Vinokur, Ph.D., CEO, Generation Genius, Inc. |
| Apr. 25, 2020 | Fred Pea, Manager, VAS Portal, LLC |
| Apr. 24, 2020 | Thomas Cilento |
| Apr. 20, 2020 | Bill Ferguson, President, National Chauffeur Network |
| Apr. 17, 2020 | Jeffrey Marks, Alliance Legal Partners, Inc. |
| Apr. 1, 2020 | James Sun |
| Apr. 1, 2020 | Richard McDermott |
| Mar. 31, 2020 | Guenadi Jilevski |
| Mar. 31, 2020 | Bridget Richardson |
| Mar. 31, 2020 | Raymond Palermo |
| Mar. 30, 2020 | Aviz MacBook |
| Mar. 30, 2020 | Yatin Patil |
| Mar. 30, 2020 | Steven Hicks |
| Mar. 30, 2020 | Ricardo Harari |
| Mar. 30, 2020 | W. Kim Colich |
| Mar. 30, 2020 | Peter Farmer |
| Mar. 30, 2020 | Dixon |
| Mar. 30, 2020 | Barry Knopf |
| Mar. 30, 2020 | Charles Raper |
| Mar. 30, 2020 | Ruth Vassaw |
| Mar. 30, 2020 | Joe Campbell |
| Mar. 30, 2020 | Barbara Baughman |
| Mar. 30, 2020 | Rik Moore |
| Mar. 29, 2020 | Karen Melton |
| Mar. 29, 2020 | Charles Cronin |
| Mar. 29, 2020 | C. G. |
| Mar. 29, 2020 | Brent Boyer |
| Mar. 29, 2020 | William Atamanchuk |
| Mar. 29, 2020 | Jerry Roland |
| Mar. 29, 2020 | George Kissi |
| Mar. 29, 2020 | Raymond Hooks III |
| Mar. 29, 2020 | Counsil Griffin |
| Mar. 29, 2020 | William Rueth |
| Mar. 29, 2020 | Donald Liberty |
| Mar. 29, 2020 | Warren Forman |
| Mar. 29, 2020 | CD Lee |
| Mar. 29, 2020 | Richard Bjelland |
| Mar. 29, 2020 | Eileen J. Domingo |
| Mar. 29, 2020 | Joel Berger |
| Mar. 29, 2020 | Barry Mohr |
| Mar. 29, 2020 | Paul Straub |
| Mar. 29, 2020 | Joe Daniluk |
| Mar. 29, 2020 | Daniel Farb |
| Mar. 29, 2020 | Raymond Hooks |
| Mar. 29, 2020 | Scott Bradley |
| Mar. 28, 2020 | Greg Johnson |
| Mar. 28, 2020 | Jennifer Lapoint |
| Mar. 28, 2020 | David Stewart |
| Mar. 28, 2020 | John Carter |
| Mar. 27, 2020 | Jason, One Door Studios |
| Mar. 27, 2020 | Stuart Halperin |
| Mar. 27, 2020 | Albert Koenigsberg |
| Mar. 27, 2020 | Anonymous |
| Mar. 27, 2020 | Jim Tulin |
| Mar. 27, 2020 | Kevin Wolf |
| Mar. 23, 2020 | Isaiah Dalu |
| Mar. 22, 2020 | Miguel P Costa |
| Mar. 18, 2020 | Joe Spivack |
| Mar. 16, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Mar. 14, 2020 | Miguel Costa |
| Mar. 10, 2020 | Michael Seng, CPA |
| Mar. 10, 2020 | Miguel Costa |
| Mar. 10, 2020 | Bruce D Wertz, Sr. |
| Mar. 8, 2020 | Aaron Koral |
| Mar. 6, 2020 | T.W. Kennedy, Founder, Regulated Funding Portal Industry Association |
| Mar. 5, 2020 | Alan Donenfeld, Founder and CEO, CityVest |
SEC Staff Studies and Reports
(Click here for submitted comments from the public)
|
| Mar. 20, 2020 | Overview Chart of Proposed Changes to the Capital-Raising Exemptions from the Office of the Advocate for Small Business Capital Formation |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Oct. 28, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 28, 2020 meeting with Andrew Vollmer, Mercatus Center, George Mason University |
| Oct. 8, 2020 | Memorandum from the Office of Chairman Clayton regarding an October 8, 2020, telephone conference with representatives of the North American Securities Administrators Association, Inc. |
| Aug. 6, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an August 6, 2020, discussion with representatives of the Angel Capital Association |
| Jul. 14, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 25, 2020, discussion with representatives of the CFA Institute |
| Jul. 8, 2020 | Memorandum from the Office of Chairman Clayton regarding a July 8, 2020, telephone conference with representatives of the CFA Institute |
| Jul. 6, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 30, 2020, discussion with representatives of the CFA Institute |
| Jun. 30, 2020 | Memorandum from the Division of Corporation Finance regarding a June 30, 2020, telephone conference with representatives of the CFA Institute |
| Mar. 30, 2020 | Memorandum from the Office of Chairman Clayton regarding a March 26, 2020, meeting with representatives of Managed Funds Association |
