2023 Comment Letters
2022 Comment Letters
- Re: Special Purpose Acquisition Companies, Shell Companies and Projections (June 17, 2022)
- Re: Rule 10b5-1 and Insider Trading (April 29, 2022)
- Re: Proposed Rules and Rule Amendments Regarding Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews (April 28, 2022)
- Re: Comments on Modernization of Beneficial Ownership Reporting (April 28, 2022)
- Re: Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”; Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stocks, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities (April 18, 2022)
- Re: Share Repurchase Disclosure Modernization (April 13, 2022)
- Re: Comments on Listing Standards for Recovery of Erroneously Awarded Compensation (File No. S7-12-15, Release No. 33-10998) (January 24, 2022)
2021 Comment Letters
2020 Comment Letters
2019 Comment Letters
2018 Comment Letters
2017 Comment Letters
2015 Comment Letters
2014 Comment Letters
- Re: Request for Public Comments on the Securities and Exchange Commission's Disclosure Effectiveness Initiative (November 14, 2014)
- Re: Comments to Notice of Filing of Proposed Rule Change Relating to Payments to Unregistered Persons (Rel. No. 34-73210; File No. SR-FINRA-2014-037) (November 5, 2014)
- Re: Regulation Crowdfunding (Rel. Nos. 33-9470, 34-70741; File No. S7-09-13) (May 28, 2014)
- Re: Proposed Rules for Limited Corporate Financing Brokers (May 21, 2014)
- Re: Re-Opening of Comment Period for Asset-Backed Securities Release (Rel. Nos. 33-9552, 34-71611; File No. S7-08-10) (May 6, 2014)
- Re: Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act (Rel. Nos. 33-9497, 34-71120, 39-2493; File No. S7-11-13) (April 3, 2014)
- Re: Pay Ratio Disclosure (Rel. Nos. 33-9452, 34-70443; File No. S7-07-13) (March 7, 2014)
2013 Comment Letters
2012 Comment Letters
- Re: Potentially Negative Impacts on Human Rights and the Internet Posed by WCIT-12 (October 30, 2012)
- Re: Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings (Rel. No. 33-9354; File No. S7-07-12) (October 5, 2012)
- Re: Request for Public Comments on SEC Regulatory Initiatives Under the JOBS Act: Title IV-Small Company Capital Formation (September 7, 2012)
- Re: Credit Risk Retention - Use of Participation Interests (August 10, 2012)
- Re: Regulatory Notice 12-27: Corporate Financing Rule: Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings and Filing Requirements for Certain Exchange-Traded Funds (July 30, 2012)
- Re: Request for Public Comments on SEC Regulatory Initiatives Under the JOBS Act Title II- Access to Capital for Job Creators (April 30, 2012)
- Re: FINRA Regulatory Notice 12-14 (April 9, 2012)
- Re: Proposed Model Crowdfunding Exemption (March 12, 2012)
- Re: Prohibition against Conflicts of Interest in Certain Securitizations (Rel. Nos. 34-65355, 34-65942 and 34-66058; File No. S7-38-11) (February 13, 2012)