SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


New Threshold for Federal Registration:
Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

See also: Comments on Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940; File No. S7-36-10


Submitted Comments

Mar. 28, 2012 Anonymous Attorney
Apr. 11, 2011 Anonymous
Nov. 4, 2010 Cindi Showalter, Investment Manager, Axton, Virginia
Oct. 30, 2010 Krista Zipfel, Advisor Solutions Group, Inc., NEWPORT BEACH, California
Sep. 18, 2010 Anonymous
Sep. 17, 2010 Judith Gross, Principal, JG Advisory Services
Aug. 27, 2010 Robert Schwenneker
Aug. 16, 2010 Robert a Mchardy, Mr, Engineer, Lapeer, Michigan
Aug. 10, 2010 Molly E. Pengra, President, Pengra Capital Management, Inc.
Jul. 29, 2010 Raiford Garrabrant, CFA
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia
 

Meetings with SEC Officials

Oct. 7, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 7, 2010 meeting with representatives from the Securities Industry and Financial Markets Association
Sep. 9, 2010 Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association
Sep. 9, 2010 Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association

 

http://www.sec.gov/comments/df-title-iv/new-threshold/new-threshold.shtml


Modified: 04/02/2012