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Enhancing Investment Adviser Examinations:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Submitted Comments

(Click here for meetings with SEC officials)
Jul. 26, 2012 Edward W. Murray, Family Investment Advisory, LLC
Jan. 13, 2011 Investment Company Institute
Jan. 12, 2011 Mary Richardson, Director of Regulatory & Tax Department, Alternative Investment Management Association
Jan. 12, 2011 Mari-Anne Pisarri, Pickard and Djinis LLP
Jan. 12, 2011 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Jan. 6, 2011 William F. Galvin, Secretary of the Commonwealth of Massachusetts
Dec. 30, 2010 Susan O. Seltzer, President, The Derivative Project, Minneapolis, Minnesota
Dec. 24, 2010 John Gidman, Institutional Investors
Dec. 22, 2010 David J. Stertzer, Chief Executive Officer, Association for Advanced Life Underwriting, Reston, Virginia
Dec. 21, 2010 Curt R. Stauffer, Chief Investment Officer, EHD Advisory Services, Inc., Lancaster, Pennsylvania
Dec. 20, 2010 Ron A. Rhoades, JD, CFP, Lecanto, Florida
Dec. 20, 2010 Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Dec. 18, 2010 Ralph J. Sorrentino
Dec. 16, 2010 Kevin R. Keller, CFP Board; Marvin W. Tuttle, Jr., FPA, and Ellen Turf, NAPFA; Financial Planning Coalition
Dec. 16, 2010 Richard H. Baker, President and CEO, Managed Funds Association
Dec. 13, 2010 David Massey, President, NASAA
Dec. 12, 2010 Eric E. Haas, Chief Investing Officer, Altruist Financial Advisors LLC, Holland, Michigan
Dec. 3, 2010 John D. Rogers, President and Chief Executive Officer, and Linda L. Rittenhouse, Esq., Director, Capital Markets, CFA Institute, Charlottesville, Virginia
Nov. 24, 2010 Barry C. Melancon, President & CEO, American Institute of Certified Public Accountants
Nov. 23, 2010 David G. Tittsworth, Executive Director, Investment Adviser Association
Nov. 22, 2010 David Massey, NASAA President, North Carolina Deputy Securities Administrator
Nov. 19, 2010 John Norberg, VP/Counsel, Wellington Management Company, LLP, Boston, Massachusetts
Nov. 16, 2010 Thomas M. Selman, Executive Vice President, FINRA
Nov. 11, 2010 Knut A. Rostad, Chairman, The Committee for the Fiduciary Standard, Falls Church, Virginia
Nov. 4, 2010 Reagan Sirmons, FCA Corp.
Nov. 4, 2010 Bill Ramsay, President, Financial Symmetry Inc., Raleigh, North Carolina
Nov. 4, 2010 Blaine F. Aikin, Chief Executive Officer, and Kristina A. Fausti, Director of Legal and Regulatory Affairs, Fiduciary360
Nov. 2, 2010 Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA
Nov. 1, 2010 Aimee A Toth, Esquire, Pittsburgh, Pennsylvania
Oct. 25, 2010 Investment Company Institute
Oct. 19, 2010 David G. Tittsworth, Executive Director, Investment Adviser Association, Washington, D.C.
Oct. 14, 2010 Angela C. Goelzer, Vice President, FINRA
Oct. 8, 2010 Jonathan N. Castle, CFP, ChFC, CEO, PARAGON Wealth Strategies, LLC, Jacksonville, Florida
Sep. 22, 2010 Richard H. Baker, President and CEO, Managed Funds Association
Aug. 29, 2010 James A Stehr, AIA, CEO Fortunatus Investor Education, Alameda, California
July 28, 2010 Robin McLeish, Virginia Beach, Virginia
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
Jun. 24, 2013 Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association
Jun. 20, 2013 Memorandum from the Office of the Chair regarding a June 17, 2013, meeting with representatives of the Investment Adviser Association (IAA)
Jun. 17, 2011 Memorandum from the Division of Investment Management regarding a June 17, 2011, meeting with representatives of Wells Fargo Advisors
May 16, 2011 Memorandum from the Office of the Chairman regarding a May 16, 2011 meeting with representatives of the Association of Institutional Investors
Mar. 25, 2011 Memorandum from the Division of Investment Management regarding a March 23, 2011 meeting with representatives of the Financial Services Roundtable
Jan. 19, 2011 Memorandum from the Office of Commissioner Casey regarding a January 13, 2011, meeting with representatives of the Investment Company Institute and FINRA
Jan. 18, 2011 Memorandum from the Office of Commissioner Casey regarding a January 18, 2011, meeting with representatives of LPL Financial
Jan. 12, 2011 Memorandum from the Office of Commissioner Casey regarding a January 12, 2011, meeting with representatives of the North American Securities Administrators Association
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 2, 2010 meeting with representatives of the Investment Advisers Association
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 1, 2010 meeting with representatives of FINRA
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 23, 2010 meeting with representatives of Wells Fargo Advisors
Dec. 17, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a December 17, 2010 meeting with representatives of the Financial Planning Coalition
Dec. 6, 2010 Memorandum from the Division of Investment Management regarding a December 6, 2010, meeting with representatives of the Financial Services Institute, Inc.
Nov. 23, 2010 Memorandum from the Division of Investment Management regarding a November 23, 2010, meeting with representatives of the Managed Funds Association
Nov. 10, 2010 Memorandum from the Division of Investment Management regarding a November 10, 2010, meeting with representatives of TD Ameritrade, Inc.
Nov. 4, 2010 Memorandum from the Division of Investment Management regarding a November 4, 2010, meeting with representatives of the North American Securities Administrators Association, Inc.
Nov. 1, 2010 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2010 meeting with representatives of FINRA
Oct. 25, 2010 Memorandum from the Division of Investment Management regarding an October 25, 2010, meeting with representatives of the Association of Institutional Investors
Oct. 21, 2010 Memorandum from the Division of Investment Management regarding an October 21, 2010, meeting with representatives of the Investment Adviser Association
Oct. 8, 2010 Memorandum from the Division of Investment Management regarding an October 6, 2010, meeting with representatives of the Financial Industry Regulatory Authority

 

 

 

 

http://www.sec.gov/comments/df-title-ix/enhancing-ia-examinations/enhancing-ia-examinations.shtml


Modified: 12/16/2014