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(Click here for meetings with SEC officials)
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Comments have been received from individuals and entities using the following Letter Type
A: 12
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| Jul. 26, 2022 | Josh Gottheimer, Member of Congress et al. |
| Jun. 1, 2022 | The Delois Albert Brassell Estate and the Robert James Brassell Estate |
| Jan. 13, 2022 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Sep. 23, 2021 | Justin M. Underwood,
Executive Director, ABA Securities Association |
| Aug. 20, 2021 | John Guerriero |
| Aug. 2, 2021 | Jonathan Lichter |
| Jul. 28, 2021 | Spiro Kalogeropoulos |
| Oct. 6, 2020 | Brandon Cline |
| Sep. 2, 2020 | Ted Haberfield, Chairman & President, MZCHI, LLC |
| Aug. 31, 2020 | James Berns, Esq. |
| Jul. 26, 2020 | John B. Lowy, P.C. |
| Jul. 10, 2020 | Richard Revelins, Executive Director, Peregrine Corporate Limited |
| May 29, 2020 | Joseph Lucosky, Managing Partner, Lucosky Brookman LLP, Lawrence Metelitsa, Partner, Lucosky Brookman LLP and Scott E. Linsky, Counsel, Lucosky Brookman LLP |
| May 28, 2020 | Louis Taubman, Partner, Hunter Taubman Fischer & Li LLC |
| May 22, 2020 | Sara Hanks, CEO, CrowdCheck, Inc. |
| May 18, 2020 | David Menn, Chief Executive Officer, MCAP LLC |
| May 14, 2020 | Robin Sosnow, Esq., Managing Partner, Sosnow & Associates PLLC and Manuel Pesendorfer, Esq., Attorney, Sosnow & Associates PLLC |
| May 8, 2020 | Peter Goldstein, Managing Partner, Exchange Listing, LLC |
| May 6, 2020 | R Cromwell Coulson, CEO, OTC Markets Group |
| Apr. 16, 2020 | Ronald A. Woessner, Principal, Woessner & Associates;
Brett Bushnell, Texas A&M School of Law J.D. Candidate 2020; and David Lazar, CEO, Activist Investing LLC |
| Apr. 8, 2020 | Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc. |
| Mar. 20, 2020 | Andrew F. Viles, U.S. General Counsel, Canaccord Genuity LLC |
| Mar. 13, 2020 | James E. Mitchell, General Partner, Mitchell Partners L.P. |
| Mar. 10, 2020 | Brian Brown, Chief Financial Officer and Treasurer, Computer Services, Inc. |
| Mar. 6, 2020 | Robert N. Grosshandler, CEO, iConsumer |
| Mar. 4, 2020 | John Gardiner, President and CEO, Taranis Resources Inc. |
| Mar. 3, 2020 | Sherry J. Sandler, Global OTC |
| Mar. 3, 2020 | Gerry A. Adler, Adler Silverberg PLLC |
| Feb. 26, 2020 | Laura Anthony, Anthony L.G., PLLC |
| Feb. 26, 2020 | Ari Rubenstein, Co-Founder and Chief Executive Officer, Global Trading Systems (GTS) |
| Feb. 24, 2020 | William T. Hart, Esq., Hart & Hart, LLC |
| Feb. 24, 2020 | Josh Lawler, Partner, Zuber Lawler and Del Duca |
| Feb. 20, 2020 | J. Brad Wiggins, President and Legal Counsel, SecuritiesLawUSA, PC |
| Feb. 11, 2020 | Marcia E. Asquith, FINRA |
| Feb. 7, 2020 | Robert Verderese, Head of Cash Trading, Virtu Financial |
| Feb. 6, 2020 | David Moeller, Director of Investment Planning, Symphony Financial, Ltd. Co. |
| Feb. 4, 2020 | Christopher DiIorio |
| Jan. 24, 2020 | James J. Angel, Associate Professor, McDonough School of Business, Georgetown University |
| Jan. 23, 2020 | James Toes, President/CEO, and Chris Halverson, Chairman of the Board, Security Traders Association |
| Jan. 13, 2020 | Sherwood E. Neiss, Co-Founder, GUARDD and Principal, Crowdfund Capital Advisors; Douglas Ellenoff, Esq., Co-Founder, GUARDD and Founding Partner, Ellenoff Grossman & Schole LLP; James P. Dowd, CPA, CFA, Co-Founder, GUARDD and CEO North Capital Private Securities Corporation |
| Jan. 2, 2020 | Richard Krejcarek |
| Dec. 31, 2019 | Peter Hayman |
| Dec. 30, 2019 | Leonard W. Burningham, Esquire |
| Dec. 30, 2019 | Ariel Ozick |
| Dec. 30, 2019 | Dan Kanter, President, and Craig Carlino, Chief Compliance Officer, Monroe Financial Partners |
| Dec. 30, 2019 | Erik S. Nelson, President, Coral Capital Partners, Inc. |
| Dec. 30, 2019 | Daniel Zinn, General Counsel, and Cass Sanford, Associate General Counsel, OTC Markets Group Inc. |
| Dec. 30, 2019 | Steven Barber, PhD, Professor of Finance, Keuka College |
| Dec. 30, 2019 | William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts |
| Dec. 30, 2019 | Dennis M. Kelleher, President and CEO, and Lev Bagramian,
Senior Securities Policy Advisor, Better Markets |
| Dec. 29, 2019 | Jean-Paul Tres |
| Dec. 27, 2019 | Franklin Antonio |
| Dec. 27, 2019 | Stephen M. Brophy, President, Aztec Land and Cattle Company, Ltd. |
| Dec. 27, 2019 | Christopher Gerold, President, North American Securities Administrators Association, Inc. (NASAA) |
| Dec. 26, 2019 | James Duade |
| Dec. 26, 2019 | Erik Nelson, President, Sterling Holdings Investments, LLC |
| Dec. 23, 2019 | Darian B. Andersen, General Counsel, PC |
| Dec. 23, 2019 | Aseel Rabie, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel; SIFMA |
| Dec. 24, 2019 | Joseph Helmer, CFA, Caldwell Sutter |
| Dec. 21, 2019 | Debby Valentijn |
| Dec. 18, 2019 | Carlton A. Getz, Winter Harbor Advisors, L.L.C |
| Dec. 16, 2019 | David W. Wright |
| Dec. 16, 2019 | Michael K. Goode, Managing Member, MorningLightMountain, LLC |
| Dec. 16, 2019 | Dan Canter, President, and Craig Carlino, Chief Compliance Officer, Monroe Financial Partners, Inc. |
| Dec. 15, 2019 | Joep vd Berg |
| Dec. 13, 2019 | F. Mark Reuter, Partner, Keating, Muething & Klekamp |
| Dec. 10, 2019 | Larry E. Bergmann, Partner, Murphy McGonigle, P.C. |
| Dec. 10, 2019 | Robert E. Schermer, CEO, Meritage Hospitality |
| Dec. 9, 2019 | S. Van den Hoogenhoff |
| Dec. 8, 2019 | Al Gonzalez, President, Beacon Redevelopment Industrial Corp. |
| Dec. 7, 2019 | Brandon Cline |
| Dec. 7, 2019 | Eric Schleien, Investment Manager, Granite State Capital Management |
| Dec. 3, 2019 | Franklin Urdaneta |
| Dec. 1, 2019 | Kyle M. Peeples |
| Nov. 27, 2019 | Eric Speron |
| Nov. 26, 2019 | Philip H. Milner, Norberg Capital Management, LLC |
| Nov. 26, 2019 | Christian Gabis |
| Nov. 25, 2019 | Matthew Kerch, Terravoir Venture |
| Nov. 25, 2019 | Tyler Black |
| Nov. 25, 2019 | Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc. |
| Nov. 24, 2019 | Alan S. Cameron, Private Investor |
| Nov. 23, 2019 | Brett Dorendorf |
| Nov. 21, 2019 | Douglas Raymond, Drinker Biddle & Reath LLP |
| Nov. 19, 2019 | Jonathan Norberg |
| Nov. 18, 2019 | Douglas DiSanti |
| Nov. 16, 2019 | J.H. Broekhoven |
| Nov. 15, 2019 | Hans Brost |
| Nov. 11, 2019 | Ron Lefton |
| Nov. 10, 2019 | Frank Danna, III |
| Nov. 8, 2019 | Doug Mohn |
| Nov. 7, 2019 | Laura B. Coffman |
| Nov. 7, 2019 | Barry Gleicher |
| Nov. 6, 2019 | Logan Kemper |
| Nov. 5, 2019 | Robert Schmidt |
| Nov. 5, 2019 | Connor Davis, Principal and Founder, Lake Highlands Capital Management |
| Nov. 1, 2019 | Gary Huscher |
| Nov. 1, 2019 | Peter Quagliano |
| Oct. 31, 2019 | Reid McKenzie |
| Oct. 30, 2019 | Thomas Schiessling |
| Oct. 28, 2019 | Matt Geiger, Managing Partner, MJG Capital Fund, LP |
| Oct. 27, 2019 | Raymond Balser |
| Oct. 26, 2019 | Duane DeYoung |
| Oct. 25, 2019 | James Gibson |
| Oct. 25, 2019 | Chris Girand |
| Oct. 25, 2019 | Anthony Perala |
| Oct. 25, 2019 | Michael E. Reiss |
| Oct. 24, 2019 | William E. Mitchell |
| Oct. 24, 2019 | Hank Armested |
| Oct. 23, 2019 | Tom H. Sleeter, Chief Investment Officer, Total Clarity Wealth Management |
| Oct. 23, 2019 | Michael A. Zgayb |
| Oct. 23, 2019 | Lucas H. Selvidge |
| Oct. 23, 2019 | Steven Erickson, Anbec Partners, LP |
| Oct. 23, 2019 | Tom Amenda |
| Oct. 22, 2019 | David Schiff, Founder and Editor, Schiff's Insurance Observer |
| Oct. 21, 2019 | Michael Tofias |
| Oct. 16, 2019 | Paul Lucot |
| Oct. 16, 2019 | Dave Peirce |
| Oct. 16, 2019 | Andy Summers |
| Oct. 16, 2019 | Brenda Hamilton, Hamilton Associates Law Group, P.A. |
| Oct. 15, 2019 | John Sheehy |
| Oct. 15, 2019 | Gaurang Merani |
| Oct. 15, 2019 | Mark Schepers |
| Oct. 15, 2019 | Han Han |
| Oct. 14, 2019 | Alex Toppan |
| Oct. 13, 2019 | Ronald Ringelberg |
| Oct. 12, 2019 | Peter Kniffin |
| Oct. 12, 2019 | Aharon Levy |
| Oct. 11, 2019 | James E. Mitchell, General Partner, Mitchell Partners, L.P. |
| Oct. 11, 2019 | Braxton Gann |
| Oct. 10, 2019 | Dana Blanc |
| Oct. 10, 2019 | Alexandra Elliott |
| Oct. 10, 2019 | Michael Milchen |
| Oct. 10, 2019 | Chris Soule |
| Oct. 10, 2019 | Michael P. Kruger, CFA |
| Oct. 10, 2019 | David Sanders |
| Oct. 10, 2019 | Bradley J. Grasl, Chief Investment Officer, Tiercel Capital Texas |
| Oct. 9, 2019 | James E. Mitchell, General Partner, Mitchell Partners, L.P. |
| Oct. 9, 2019 | Todd Blue |
| Oct. 9, 2019 | David I. Waters, President, Alluvial Capital Management, LLC |
| Oct. 9, 2019 | Tim Bergin |
| Oct. 9, 2019 | Lucas Elliott |
| Oct. 9, 2019 | Robert Ringelberg |
| Oct. 8, 2019 | Leonard Marx |
| Oct. 8, 2019 | Kevin Ward |
| Oct. 8, 2019 | Jason Hirschman |
| Oct. 8, 2019 | Matt Jester |
| Oct. 8, 2019 | Richard Kogut |
| Oct. 8, 2019 | Anonymous |
| Oct. 8, 2019 | Ralf Erz |
| Oct. 8, 2019 | David J. Flood |
| Oct. 7, 2019 | Raymond Webb |
| Oct. 7, 2019 | Dan Schum |
| Oct. 5, 2019 | Samuel J. Yake |
| Oct. 4, 2019 | John Guerriero |
| Oct. 4, 2019 | Amenda M. Thomas |
| Oct. 4, 2019 | Joshua Marino |
| Oct. 3, 2019 | Brad Christensen |
| Oct. 3, 2019 | R. Berkvens |
| Oct. 2, 2019 | Dan Raider |
| Oct. 1, 2019 | David Aldridge |
| Oct. 1, 2019 | Charles M. Rardon |
| Oct. 1, 2019 | Philippe Goodwill |
| Sep. 30, 2019 | Tracy Michaels |
| Sep. 30, 2019 | Steven Gereau, Mayfair Plastics Inc |
| Sep. 30, 2019 | Tom Prenger |
| Sep. 29, 2019 | Lawrence J. Goldstein, President, Santa Monica Partners LP |
| Sep. 29, 2019 | Jim Rivest |
| Sep. 29, 2019 | Don C. Whitaker |
| Sep. 27, 2019 | Michael Hess |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Aug. 11, 2022 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an August 11, 2022 meeting with Tyler Gellasch, Healthy Markets Association |
| Jun. 24, 2020 | Memorandum from the Division of Trading and Markets regarding a June 24, 2020 teleconference with Jim Mitchell of Mitchell Partners, L.P. and Ben Brown of Blue Ridge Law & Policy |
| Jun. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a June 12, 2020 teleconference with Blue Ridge Law & Policy |
| Jun. 12, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 8, 2020, telephone call with representatives of the Financial Industry Regulatory Authority (FINRA) |
| Jun. 12, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 29, 2020, telephone call with representatives of the OTC Markets |
| Jun. 12, 2020 | Memorandum from the Office of Commissioner Roisman regarding an June 8, 2020, meeting with representatives of the OTC Markets Group |
| Jun. 2, 2020 | Memorandum from the Division of Trading and Markets regarding a June 2, 2020 teleconference with OTC Markets Group |
| May 11, 2020 | Memorandum from the Office of the Chairman regarding an April 22, 2020, meeting with representatives of OTC Markets Group, Inc. |
| May 5, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an April 10 2020, meeting with representatives of the OTC Markets |
| Apr. 21, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 13, 2020, meeting with representatives of the OTC Markets |
| Apr. 16, 2020 | Memorandum from the Division of Trading and Markets regarding an April 16, 2020 teleconference with OTC Markets Group |
| Apr. 15, 2020 | Memorandum from the Office of Commissioner Roisman regarding an April 15, 2020, meeting with representatives of the OTC Markets Group |
| Apr. 7, 2020 | Memorandum from the Division of Trading and Markets regarding a March 14, 2020, call with representatives of the OTC Markets Group |
| Mar. 6, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 22, 2020, meeting with representatives of Mitchell Partners, LP |
| Mar. 6, 2020 | Memorandum from the Offfice of Commissioner Hester M. Peirce regarding a February 25, 2020 meeting with representatives of Caldwell Sutter Capital |
| Feb. 25, 2020 | Memorandum from the Division of Trading and Markets regarding a February 25, 2020, meeting with representatives of Caldwell Sutter Capital |
| Feb. 13, 2020 | Memorandum from the Division of Trading and Markets regarding a February 13, 2020, meeting with representatives of OTC Markets Group |
| Feb. 11, 2020 | Memorandum from the Division of Trading and Markets regarding a February 11, 2020, call with representatives of FINRA |
| Feb. 5, 2020 | Memorandum from the Division of Trading and Markets regarding a February 5, 2020, call with representatives of Security Traders Association |
| Jan. 29, 2020 | Memorandum from the Division of Trading and Markets regarding a January 29, 2020, call with representatives of Virtu Financial |
| Jan. 22, 2020 | Memorandum from the Office of the Chairman regarding a January 22, 2020, meeting with representatives of Mitchell Partners, LP |
| Jan. 21, 2020 | Memorandum from the Division of Trading and Markets regarding a January 21, 2020, meeting with representatives of Mitchell Partners, LP |
| Dec. 9, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2019, meeting with representatives of OTC Markets |
| Nov. 26, 2019 | Memorandum from the Office of the Chairman regarding a November 15, 2019, meeting with representatives of OTC Markets Group, Inc. |
| Nov. 15, 2019 | Memorandum from the Division of Trading and Markets regarding a November 15, 2019, meeting with representatives of OTC Markets Group |
| Nov. 6, 2019 | Memorandum from the Division of Trading and Markets regarding a November 6, 2019, call with representatives of Monroe Financial Partners: |
