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Part 248 - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information

[Release No. 34-57427; File No. S7-06-08]




Comments have been received from individuals and entities using the following Letter Type A: 328
Oct. 27, 2008 Memorandum from the Office of Commissioner Aguilar regarding an October 27, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and J.P. Morgan Asset Management, Inc.
Oct. 21, 2008 Edward Murray, RR, IAR, ChFC, Investors Capital Corp., Everett, Massachusetts
Aug. 12, 2008 Memorandum from the Division of Trading and Markets regarding a July 23, 2008, meeting with representatives of the Financial Services Institute
Aug. 7, 2008 Memorandum regarding a July 25, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and JPMorgan Asset Management
Jul. 21, 2008 Douglas K Hollen
May 27, 2008 Walter T. Bonin, CFP, CLU, Marlborough, Massachusetts
May 27, 2008 Robert A. Muh, CEO, Sutter Securities Incorporated, San Francisco, California
May 27, 2008 Keith Gregg, President and CEO and Donna B. Lawson, Chief Compliance Officer, First Allied Securities, Inc., San Diego, California
May 22, 2008 Sarah Miller, General Counsel, ABA Securities Association
May 19, 2008 Joan Hinchman, National Society of Compliance Professionals (NSCP), Cornwall Bridge, Connecticut
May 19, 2008 Ben Bramer, Chief Compliance Officer, M Holdings Securities, Inc.
May 16, 2008 Roger C. Ochs, President, H.D. Vest Financial Services, Irving, Texas
May 16, 2008 Richard H. Baker, President and Chief Executive Officer, Managed Fund Association
May 15, 2008 David Engler
May 15, 2008 James J. Angel, Ph.D., CFA, Georgetown University, McDonough School of Business
May 13, 2008 Faisal Danka, Esq., MBA, CISA, CISM, CISSP, PRINCE2, CPM, Post Grad in Finance - Harvard University, United Kingdom
May 12, 2008 Becky Nilsen, Chief Executive Officer, Desert Schools Federal Credit Union
May 12, 2008 Colon Brown, President, Brown & Brown Securities, Inc.
May 12, 2008 David Oesheicher, Chief Legal Counsel and Karen Nash-Goetz, Associate Legal Counsel, T. Rowe Price
May 12, 2008 Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc.
May 12, 2008 Memorandum from the Division of Investment Management regarding an April 30, 2008, meeting with representatives of the National Association for Information Destruction, Inc.
May 12, 2008 James Rabenstine, Vice President, Broker Dealer Operations, Nationwide Financial, Columbus, Ohio
May 12, 2008 Noah Sorkin, Esq., Senior Vice President & General Counsel, Royal Alliance, on behalf of AIG Advisor Group, Inc.
May 12, 2008 Bill Lowell
May 12, 2008 Scott Mecham, CEO and Kimberly (Dini) Harris, President/CCO, Sawtooth Securities, LLC
May 12, 2008 Karen L. Barr, General Counsel, Investment Adviser Association
May 12, 2008 Roberta Meyer, Vice President & Associate General Counsel, American Council of Life Insurers, Washington, District of Columbia
May 12, 2008 Deborah M. Castiglioni, CEO, Cutter & Company, Inc.
May 12, 2008 Michael Shaw, Esq., ChFC, CLU, CRCP, Managing Director, Public Policy & Legal, Certified Financial Planner Board of Standards
May 12, 2008 Randy O'Connor, Chief Executive Officer, M Holdings Securities, Inc.
May 12, 2008 Mari J. Buechner, President & CEO, CCS
May 12, 2008 James E. Nelson, Redwood Falls, Minnesota
May 12, 2008 Tim Phillips, CEO, Phillips & Company
May 12, 2008 Chet B. Helck, President, Raymond James Financial, Inc.
May 12, 2008 Mark E. Czuchry, JD, Chief Compliance Officer, Askar Corp./Securities Broker Dealer; Member FINRA/SIPC, Askar Advisors Group, Inc./Registered Investment Adviser
May 12, 2008 Bruce Moldovan, General Counsel, NEXT Financial Group, Inc.
May 12, 2008 Donald M. Rembert, President and Knut A. Rostad, Chief Compliance Officer, Rembert Pendleton Jackson
May 12, 2008 Daniel J. Barry, Director of Government Relations, Financial Planning Association
May 12, 2008 Dale E. Brown, President & CEO, Financial Services Institute
May 12, 2008 John E. Gebauer, Jr., President, National Regulatory Services
May 12, 2008 Christopher P. Gilkerson, Senior Vice President, Deputy General Counsel, Charles Schwab & Co., Inc.
May 12, 2008 Brendan Daly, Compliance Manager, Commonwealth Financial Network
May 12, 2008 Leigh Williams, President, BITS and Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
May 12, 2008 Frank M. Moore, ARMA International
May 12, 2008 Michael Isaac, CChief Compliance Officer, J. P. Turner & Company, L.L.C
May 12, 2008 Leslie D. Smith, General Counsel, Berthel Fisher & Company Financial Services
May 12, 2008 Daniel W. Roberts, FINRA Small Firms Advisory Board
May 12, 2008 Krista S. Zipfel, CFA, President & CEO, Advisor Solutions Group, Inc.
May 12, 2008 James A. Tricarico, Jr., General Counsel, Edward Jones
May 12, 2008 Douglas W. Schriner, President, Harrison Douglas, Inc.
May 12, 2008 Peter L. McCorkell, Senior Company Counsel, Wells Fargo & Company
May 12, 2008 Alan E. Sorcher, Managing Director and Associate General Counsel, SIFMA
May 12, 2008 Marcia E. Asquith, Senior Vice President and Corporate Secretary, FINRA
May 12, 2008 Wachtell, Lipton, Rosen & Katz on behalf of UBS Financial Services Inc., Citigroup Global Markets Inc. (Smith Barney), Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities LLC, Wachovia Securities Financial Network, LLC and Morgan Stanley & Co. Incorporated
May 12, 2008 William C. Mulligan, Chair and Member of the Board of Managers, Altemative Investments Compliance Association
May 12, 2008 Campbell Tucker, Director of the Privacy Office, Wachovia Corporation
May 12, 2008 Patrice R. DeGray, Registered Representative, Accountant and Tax Preparer, Grasston, Minnesota
May 12, 2008 Pamela S. Fritz, CSCP, CCO, MWA Financial Services, Inc.
May 12, 2008 James Livingston, President/CEO, National Planning Holdings, Inc.
May 12, 2008 Martin (Jay) J. McHale Jr., President, US Equity Services, Computershare
May 12, 2008 Patrick J. Cloutier, AAMS CRPC
May 12, 2008 Bill F. Sims, CPA, President and Executive Representative, Brazos Securities, Inc.
May 12, 2008 Tom Davis, President, National Association of Credit Union Services Organizations and Guy A. Messick, General Counsel, National Association of Credit Union Services Organizations
May 12, 2008 Lisa Roth, National Association of Independent Broker-Dealers, San Diego, California
May 11, 2008 Steven French, CFP, President, MemberMap LLC, Cincinnati, Ohio
May 9, 2008 Douglas K. Knisely, Certified Protection Professional (CPP), Woolrich, Pennsylvania
May 9, 2008 Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey
May 9, 2008 Julius L. Loeser, Chief Regulatory and Compliance Counsel, Comerica Tower at Detroit Center, Corporate Legal Department
May 8, 2008 Melisa D. Lindsay, Financial Advisor, OSJ Supervising Principal, CFS, SFS Division Manager
May 8, 2008 Stephen A. Batman, President and CEO, 1st Global
May 8, 2008 Douglas Wicks, Vice President, Investments
May 8, 2008 Robert J. Stracks, Counsel, Griffin, Kubik, Stephens Thompson, Inc., Chicago, Illinois
May 7, 2008 Alfred Rashid
May 7, 2008 Thomas L. Mangan, Senior Vice President/ Chief Compliance Officer, James Investment Research, Inc.
May 7, 2008 Alfred Rashid
May 7, 2008 Michael T. Prior, President/CEO, Credit Union Financial Network
May 7, 2008 Z. Jane Riley, CCO, The Leaders Group, Inc., Littleton, Colorado
May 7, 2008 Carolyn R. May, Chief Compliance Officer, Simmons First Investment Group, Inc., Little Rock, Arkansas
May 7, 2008 Tommy Padgett, Dasher & Padgett Financial Advisors, Inc.
May 6, 2008 Nancy Kay, Chief Compliance Officer, Wall Street Financial Group, Inc.
May 6, 2008 Daniel A. Murphy, VP, Chief Compliance Officer, PlanMember Securities Corporation
May 2, 2008 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
May 1, 2008 Frank C. Dealy, Executive Advisors, Inc.
May 1, 2008 James W. Millegan, CEO, Lake Oswego, Oregon
Apr. 30, 2008 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Apr. 23, 2008 Alyssa Hinshaw, Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
Apr. 18, 2008 Robert Johnson, Executive Director, National Assn. for Information Destruction, Inc., Phoenix, Arizona
Apr. 17, 2008 Julian L. Afonso, Compliance Supervisor, Miami, Louisiana
Apr. 16, 2008 John S. Miller, CEO, Colonnade Securities LLC, Chicago, Illinois
Apr. 16, 2008 David D. McNally, McNally Financial Services Corporation, San Antonio, Texas
Apr. 14, 2008 Memorandum from the Division of Trading and Markets regarding an April 10, 2008, meeting with representatives of Financial Services Institute
Apr. 11, 2008 John R. Austin, CFP, Registered Principal and Registered Investment Adviser Representative
Apr. 9, 2008 Al Lopez, CFP, CLU, Metairie, Louisiana
Apr. 9, 2008 Siri Atma S. Khalsa, MBA, CFP, Financial Network Investment Corporation
Apr. 9, 2008 Shawn Brickler, Brickler Wealth Management, Inc., Centerville, Ohio
Apr. 9, 2008 Mark Wiegenstein, Registered Principal, Raymond James Financial Services, Mesa, Arizona
Apr. 9, 2008 T. Robert Talbot, Talbot Wright LLC, Pocatello, Idaho
Apr. 8, 2008 Joseph Russo, CEO, Advantage Financial Group
Apr. 8, 2008 Donald J. Clarke, CFP, Arlen Corporation
Mar. 19, 2008 Lawrence A. Pingree, Pleasanton, California
Mar. 13, 2008 Richard J. Carlesco, Jr, CEO, IBN Financial Services, Inc., Liverpool, New York
Mar. 6, 2008 Stephen W. Richman

 

http://www.sec.gov/comments/s7-06-08/s70608.shtml

Modified: 10/29/2008