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Enhancing Investment Adviser Examinations:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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(Click here for meetings with SEC officials)
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| 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
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| 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
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