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Comments on Proposed Rule:Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
[Release No. 33-9354; File No. S7-07-12]
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(Click here for meetings with SEC officials)
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| Oct. 15, 2012 | Michael P. Quatrini, Village Cultivators Business Incubator, Winter Park, Florida |
| Oct. 14, 2012 | Ruben R. Brache, General Securities Principal, Opening Night Capital, LLC, New York, New York |
| Oct. 12, 2012 | Davis Polk & Wardwell LLP |
| Oct. 12, 2012 | Howard Dicker, Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association |
| Oct. 11, 2012 | Matt Kitzi, Missouri Commissioner of Securities, Jefferson City, Missouri |
| Oct. 11, 2012 | John Clarke, CEO, Midtown Partners & Co, LLC, New York, New York |
| Oct. 10, 2012 | John Clarke, CEO, Midtown Partners & Co., LLC, New York, New York |
| Oct. 10, 2012 | Stanley Keller, Edwards Wildman Palmer LLP |
| Oct. 9, 2012 | Sandra L. Flow, Chair, Committee on Securities Regulation, New York City Bar Association, New York, New York |
| Oct. 9, 2012 | Philip Rutledge, Esquire, Bybel Rutledge LLP, Lemoyne, Pennsylvania |
| Oct. 9, 2012 | Gary D. Snow, Houston, Texas |
| Oct. 9, 2012 | Jonathan N. Priluck, President, Jonathan Aerospace Materials Company, Cottage Grove, Oregon |
| Oct. 8, 2012 | Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York |
| Oct. 8, 2012 | Stephen Kayner |
| Oct. 8, 2012 | Wm. D. Williams |
| Oct. 8, 2012 | Brian Crook, Boise, Idaho |
| Oct. 6, 2012 | Barbara R. Fennick, M.S., New Castle, Pennsylvania |
| Oct. 5, 2012 | Senator Carl Levin, U.S. Senate |
| Oct. 5, 2012 | Alan Wilson, Securities Commissioner, State of South Carolina |
| Oct. 5, 2012 | Karen K. Pesson, Kennesaw, Georgia |
| Oct. 5, 2012 | Jeffrey E. Caplan, Esq., Long Beach, California |
| Oct. 5, 2012 | Diana J. Foley, Esq., Securities Administrator, Securities Division, Nevada Secretary of State |
| Oct. 5, 2012 | Americans for Financial Reform and AFL-CIO |
| Oct. 5, 2012 | Bryan S. Mick, President, Mick & Associates, P.C., LLO |
| Oct. 5, 2012 | Sean C. Davy, Managing Director, Capital Markets, Securities Industry and Financial Markets Association, and Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable |
| Oct. 5, 2012 | Forum for US Securities Lawyers in London, London, United Kingdom |
| Oct. 5, 2012 | Daniel R. Hansen, Managing Partner, Montgomery & Hansen, LLP |
| Oct. 5, 2012 | Joseph McLaughlin, Sidley Austin LLP |
| Oct. 5, 2012 | Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, Washington, District of Columbia |
| Oct. 5, 2012 | Karrie McMillan, General Counsel, Investment Company Institute, Washington, District of Columbia |
| Oct. 5, 2012 | Brett Palmer, President, Small Business Investor Alliance |
| Oct. 5, 2012 | Andrea L. Seidt, Commissioner, Ohio Division of Securities, Columbus, Ohio |
| Oct. 5, 2012 | David Certner, Legislative Counsel and Legislative Policy Director, AARP, Washington, District of Columbia |
| Oct. 5, 2012 | Scott Purcell, Arctic Island, San Francisco, California |
| Oct. 5, 2012 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Oct. 5, 2012 | Linklaters LLP, United Kingdom |
| Oct. 5, 2012 | Gregory J. Nowak, Pepper Hamilton LLP |
| Oct. 5, 2012 | Monique S. Botkin, Assistant General Counsel, Investment Adviser Association |
| Oct. 5, 2012 | George W. Beard, Managing Member, Beacon Investment Partners LLC (DE), Harrisburg, Pennsylvania |
| Oct. 5, 2012 | John Vassilliw, ACFIA.org |
| Oct. 5, 2012 | Tarmenbaum Helpern Syracuse & Hirschtritt LLP |
| Oct. 5, 2012 | Martel Day, Chairman, Investment Program Association |
| Oct. 5, 2012 | Anonymous |
| Oct. 5, 2012 | David R. Burton, General Counsel, National Small Business Association |
| Oct. 5, 2012 | Sullivan & Cromwell LLP |
| Oct. 5, 2012 | Barbara Novick, Vice Chairman, BlackRock |
| Oct. 5, 2012 | Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Oct. 5, 2012 | Anonymous |
| Oct. 5, 2012 | Alan F. Eisenberg, Executive Vice President, Emerging Companies and Business Development, Biotechnology Industry Organization (BIO) |
| Oct. 4, 2012 | Kim Wales, Scott Purcell, Charles Sidman, and Luan Cox, Founding Members, CFIRA |
| Oct. 4, 2012 | Monica J. Lindeen, Commissioner of Securities and Insurance, Montana State Auditor |
| Oct. 4, 2012 | Handler Thayer, LLP, Chicago, Illinois |
| Oct. 4, 2012 | Andrew L. Schwartz, 2013 J.D. Candidate, Maurice A. Deane School of Law, Hofstra University, Hempstead, New York |
| Oct. 4, 2012 | Richard E Everett, RPh., Corpus Christi, Texas |
| Oct. 4, 2012 | Tung Chan, Commissioner of Securities, State of Hawaii |
| Oct. 4, 2012 | Keith Paul Bishop, Former California Commissioner of Corporations, Trabuco Canyon, California |
| Oct. 4, 2012 | David Smith, Indianapolis, Indiana |
| Oct. 4, 2012 | Chris Naylor, Securities Commissioner, State of Indiana |
| Oct. 4, 2012 | James E. Brown, Executive Vice President and General Counsel, Options Clearing Corporation |
| Oct. 4, 2012 | Ronald W. Thomas, Director, State Corporation Commission, Commonwealth of Virginia |
| Oct. 4, 2012 | Anonymous |
| Oct. 3, 2012 | V. de Havilland, Director Operations Center, San Antonio, Texas |
| Oct. 3, 2012 | Lynn Johnson, Sacramento, California |
| Oct. 3, 2012 | Martin A. Stever, President, Pacific West Land, LLC |
| Oct. 3, 2012 | Ron S. Geffner, Partner, Sadis and Goldberg LLP, New York, New York |
| Oct. 3, 2012 | Barbara Roper, Director of Investor Protection, Consumer Federation of America |
| Oct. 3, 2012 | Anonymous |
| Oct. 3, 2012 | James P. Pigott, Jr., Mechanicsburg, Pennsylvania |
| Oct. 3, 2012 | A. Heath Abshure, President, North American Securities Administrators Association, Inc. (NASAA) |
| Oct. 2, 2012 | William Johnson, CEO, OTCQX Traded company, Pasadena, California |
| Oct. 2, 2012 | Michael Rodgers, Sparks, Nevada |
| Oct. 2, 2012 | Mercer Bullard, President and Founder, Fund Democracy, Inc., Oxford, Mississippi |
| Oct. 2, 2012 | Kent Hayek, Phoenix, Arizona |
| Sep. 30, 2012 | Thanigai Ranganathan, IT Professional Active Individual Investor, Centreville, Virginia |
| Sep. 30, 2012 | Richard Kellogg |
| Sep. 29, 2012 | David Kronheim |
| Sep. 29, 2012 | Cindy P. Corn, Ellijay, Georgia |
| Sep. 29, 2012 | Gail Morin |
| Sep. 29, 2012 | Stephen R. Johnston, Moab, Utah |
| Sep. 28, 2012 | Stuart J. Kaswell, Executive Vice President Managing Director, General Counsel, Managed Funds Association |
| Sep. 28, 2012 | Paul S. Sigelman, Esquire, Beverly Hills, California |
| Sep. 28, 2012 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Sep. 28, 2012 | Laura L. Fichter, Penfield, New York |
| Sep. 28, 2012 | J. Sanders |
| Sep. 28, 2012 | Glen Lavy, Senior Counsel, VP, Alliance Defending Freedom |
| Sep. 27, 2012 | Eric I. Michelman, Esq., Law Offices of Eric I. Michelman, Irvine, California |
| Sep. 27, 2012 | Jeff Mahoney, General Counsel, Council of Institutional Investors |
| Sep. 27, 2012 | Jacob Abrahams, Attorney, De Leon & Washburn, P.C., Austin, Texas |
| Sep. 27, 2012 | Marianne Hudson, Angel Capital Association |
| Sep. 26, 2012 | Chris Barnard, Germany |
| Sep. 26, 2012 | Jon Woods |
| Sep. 26, 2012 | Tim McCormack, Alpha Titans LLC, Santa Barbara, California |
| Sep. 26, 2012 | Alfredo Lopez-Brignoni |
| Sep. 25, 2012 | Anonymous, Florida |
| Sep. 25, 2012 | Pat Turney |
| Sep. 25, 2012 | Michael F. Flannigan, Eden Prairie, Minnesota |
| Sep. 25, 2012 | Phillip Goldstein, Principal, Bulldog Investors |
| Sep. 25, 2012 | Caroline Myers, Dacula, Georgia |
| Sep. 25, 2012 | Tom Luther, Barre, Vermont |
| Sep. 25, 2012 | Brian Petrak, VP Global Capital Markets Comerica Bank, Auburn Hills |
| Sep. 25, 2012 | Charles Bebko, Spartanburg, South Carolina |
| Sep. 24, 2012 | Jim Nieman |
| Sep. 24, 2012 | Freda D. Urling, Garden Valley, California |
| Sep. 24, 2012 | Paul Christenson, President, Actium Partners LLC, Salt Lake City, Utah |
| Sep. 24, 2012 | Anonymous |
| Sep. 24, 2012 | Thomas E. Vass, Owner/Manager, The Private Capital Market, Inc., Jupiter, Florida |
| Sep. 21, 2012 | Carl Van Demark, Golenbock Eiseman Assor Bell & Peskoe LLP |
| Sep. 21, 2012 | Anonymous |
| Sep. 21, 2012 | Anonymous |
| Sep. 20, 2012 | Tim McCormack, Alpha Titans LLC, Santa Barbara, California |
| Sep. 20, 2012 | William F. Galvin, Secretary of the Commonwealth of Massachusetts |
| Sep. 20, 2012 | Anonymous |
| Sep. 20, 2012 | Leighton Strader, Virginia Ventures, LLC, Williamsburg, Virginia |
| Sep. 19, 2012 | Anonymous |
| Sep. 18, 2012 | Judith Gross, Principal, JG Advisory Services LLC, New York, New York |
| Sep. 17, 2012 | Elin R. Guthrie, Los Angeles, California |
| Sep. 17, 2012 | Craig Davis, Scottsdale, Arizona |
| Sep. 15, 2012 | Richard Schwachter, JD |
| Sep. 14, 2012 | George W. Beard, Harrisburg, Pennsylvania |
| Sep. 14, 2012 | Mike Stapleton, President, Stallion Assets, Inc., Dallas, Texas |
| Sep. 13, 2012 | Bruce Methven, Berkeley, California |
| Sep. 13, 2012 | Peter J. Chepucavage, General Counsel, Plexus Consulting Group, LLC |
| Sep. 10, 2012 | Mitch Ackles, President, and Richard Heller,
Chairman, Regulatory & Government Advisory Board, Hedge Fund Association |
| Sep. 10, 2012 | Anonymous |
| Sep. 10, 2012 | Richard Dukas, CEO, Dukas Public Relations, New York, New York |
| Sep. 8, 2012 | Stephen L. Rush, CEO, For Fuel Freedom, Inc. |
| Sep. 7, 2012 | Robert R. Tufts, Tufts Stephenson & Kasper, LLP |
| Sep. 7, 2012 | Kent Hayek, Network Manager, Phoenix, Arizona |
| Sep. 6, 2012 | Lee D. Neumann, Paris, France |
| Sep. 5, 2012 | Matthew Gessford, Pearland, Texas |
| Sep. 5, 2012 | Gerald P. Roston, PhD, Startup CEO consultant to high-tech startups, Saline, Michigan |
| Sep. 5, 2012 | Michael R. Witulski, Business Development, Cloudaccess.net, Cheboygan, Michigan |
| Sep. 5, 2012 | Gary Jay Brooks, PhD, CloudAccess.net, Traverse City, Michigan |
| Sep. 5, 2012 | Charles D. Hague, East Jordan, Michigan |
| Sep. 4, 2012 | Keith DeGreen, DeGreen Capital Management LLC |
| Sep. 4, 2012 | Anthony J. La Rosa, III, Upper Darby, Pennsylvania |
| Sep. 3, 2012 | Ben Gibson, Virginia Beach, Virginia |
| Sep. 3, 2012 | John Clark, Grove, Oklahoma |
| Sep. 2, 2012 | Mary K. Trail |
| Sep. 1, 2012 | Vicki Rosen |
| Sep. 1, 2012 | Karl Hensel, II, Noblesville, Indiana |
| Sep. 1, 2012 | Andrew West, Solutioneur Foundation, Austin, Texas |
| Sep. 1, 2012 | Richard T. Dunn, Houston, Texas |
| Sep. 1, 2012 | Manuel Dayenian, Grayslake, Illinois |
| Sep. 1, 2012 | Walter B. Hyde, Boulder, Colorado |
| Sep. 1, 2012 | Christine M. Erickson, Albuquerque, New Mexico |
| Sep. 1, 2012 | Charles H. Frey, Missoula, Montana |
| Sep. 1, 2012 | Christopher Hunter, Ph.D., Professor of Sociology, Grinnell College, Grinnell, Iowa |
| Sep. 1, 2012 | Tom S. Tudor, Fairfax Station, Virginia |
| Aug. 31, 2012 | Phillip Goldstein, Bulldog Investors |
| Aug. 31, 2012 | Gil Michel-Garcia, Esq., Partner, Blue HF Legal Services Inc., Montreal, Canada |
| Aug. 30, 2012 | Jeffery Stoner, Monticello, Indiana |
| Aug. 30, 2012 | Eric N., Denver, Colorado |
| Aug. 30, 2012 | Mark Zartler, Garland, Texas |
| Aug. 30, 2012 | Charles W. Ingram, Jr., Managing Director, Bank Capital Group,Commerce Street Capital, LLC, Dallas, Texas |
| Aug. 30, 2012 | Daniel P. Smith, Norwood, Massachusetts |
| Aug. 30, 2012 | Andrew Pierwola, Philadelphia, Pennsylvania |
| Aug. 30, 2012 | James L. Nesfield, Engelhard, North Carolina |
| Aug. 30, 2012 | Gil Michel-Garcia, Esq., Partner, Blue HF Legal Services Inc., Montreal, Canada |
| Aug. 30, 2012 | Derrick Rushnell, Florida |
| Aug. 30, 2012 | William Michael Cunningham, Social Investing Advisor, Washington, District of Columbia |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 15, 2012 | Memorandum from the Office of Division of Corporation Finance regarding a September 13, 2012, meeting with representatives of AngelList |
| 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 |
http://www.sec.gov/comments/s7-07-12/s70712.shtml
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