View Reports by Subject Area
View Reports by Committees
View Reports by Title

Search
advance search by committee

Committee: Securities Regulation

Letter to the SEC commenting on the proposed pay ratio disclosure (File No. s7-07-13) (December 2013) ( PDF format )
Subject area: Pay Ratio Disclosure

Comments on Proposed Amendments to Regulation D, Form D and Rule 156: File No. S7-06-13 (September 2013) ( PDF format )
Subject area: General Solicitation, Use of

Letter to the SEC commenting on proposed amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 which would implement Section 201 (a) of the Jumpstart Our Business Startups Act of 2012 ( "JOBS Act") and eliminate the prohibition against general solicitation and general advertising (October 2012) ( PDF format )
Subject area: JOBS Act

Letter to the SEC providing comments on Title V: Private Company Flexibility and Growth of the Jumpstart Our Business Startups Act of 2012 (JOBS Act) (June 2012) ( PDF format )
Subject area: JOBS Act

Letter to the SEC providing comments on regulatory initiatives under the Jumpstart Our Business Startups Act of 2012 (the JOBS Act) (May 2012) ( PDF format )
Subject area: JOBS Act

Letter to the SEC providing comments on Title 1: Reopening American Capital Markets to Emerging Growth Companies of the Jumpstart Our Business Startups Act of 2012 (JOBS Act) (May 2012) ( PDF format )
Subject area: JOBS Act

Letter to the SEC commenting on amendments to the proposal by the Financial Industry Regulatory Authority, Inc. to adopt new FINRA Rule 5123 (Private Placement of Securities) (February 2012) ( PDF format )
Subject area: Securities

Letter to the SEC commenting on the proposal by the Financial Industry Regulatory Authority, Inc. to adopt new FINRA Rule 5123 (Private Placement of Securities) (November 2011) ( PDF format )
Subject area: Securities

Letter to the Public Company Accounting Oversight Board (PCAOB) on possible revisions to the PCAOB standards related to reports on audited financial statements (October 2011) ( PDF format )
Subject area: Audited Financial Statements

Letter to the SEC on File No S7-21-11, Implementing Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Comments on Disqualification of Felons and Other Bad Actors from Rule 506 Offerings (August 2011) ( PDF format )
Subject area: Disqualifying Securities Offerings

Letter to the Financial Industry Regulatory Authority, Inc. commenting on Proposed Amendments to FINRA Rule 5122, Private Placement of Securities (March 2011) ( PDF format )
Subject area: Private Placement of Securities

Letter to the SEC commenting on Section 1502 of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act. (December 2010) ( PDF format )
Subject area: Conflict Minerals

Comments to the SEC on proposed amendments to Regulation S-K under the Securities Act of 1933 and the Securities Exchange Act of 1934 Affecting Disclosures of Short-Term Borrowings (File No. S7-22-10) (November 2010) ( PDF format )
Subject area: Short-Term Borrowing

Letter to the Financial Accounting Standards Board commenting on the FASB's proposal relating to disclosure of certain loss contingencies (File Reference No.1840-100) (September 2010) ( PDF format )
Subject area: Accounting Standards

Letter to the SEC on the proposed amendments (File No. S7-30-09) to Rule 163 under the Securities Act of 1933 which would allow well-known seasoned issuers to test the market via underwriters or dealers further facilitating registered offerings (January 2010) ( PDF format )
Subject area: Registered Offerings

Letter to the SEC commenting on proposed amendments to rules relating to credit ratings disclosure (File No. S7-24-09) and concept release on possible rescission of rule 436(g) under the Securities Act of 1933 (File No. S7-25-09) (December 2009) ( PDF format )
Subject area: Credit Ratings

Letter to the Securities and Exchange Commission (the “Commission”) commenting on proposed amendments (File No. S7-05-08) by the Commission to the rules relating to foreign private issuer reporting under the Securities Exchange Act of 1934. ( PDF format )
Subject area: Foreign Private Issuers

Letter to the Securities and Exchange Commission (the “Commission”) commenting on proposed amendments (File No. S7-04-08) by the Commission to amend Rule 12(g)under the Securities Exchange Act of 1934 which relates to foreign private issuers. ( PDF format )
Subject area: Foreign Private Issuers

Letter to the Director of the SEC regarding the Securities Act of 1933, private offering reform ( PDF format )
Subject area: Private Offerings

Letter to the SEC commenting on proposed amendments to the disclosure requirements for executive and director compensation, related party transactions, director independence and other corporate governance matters and security ownership of officers and directors ( PDF format )
Subject area: Executive Compensation

Letter to the SEC commenting on its proposed recommendations for changes in the current regulatory system for smaller companies under the securities laws of the United States ( PDF format )
Subject area: Smaller public companies

Comments to PCOAB re: Proposed Auditing Standard V Reporting on the Elimination of a Material Weakness ( PDF format )
Subject area: Audits

File No. S7-38-04; Release Nos. 33-8501; 34-50624; IC-26649; International Series Release No. 1282 Securities Offering Reform ( PDF format )
Subject area: Securities

Letter to the SEC on the Proposed Release of Comment Letters and Responses ( PDF format )
Subject area: Securities and Exchange Commission

Letter to the SEC Regarding Proposed Rule: Asset Backed Securities ( PDF format )
Subject area: Asset Backed Securities

Letter to the SEC on Proposed Rule Regarding Standards Relating to Listed Company Audit Committees ( PDF format )
Subject area: Securities

Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies ( PDF format )
Subject area: Accounting