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Comments on Amendments to Form ADV and Investment Advisers Act Rules
[Release Nos. IA-4091; File No. S7-09-15]
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(Click here for meetings with SEC officials)
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| Jan. 13, 2016 | Timothy W. Cameron, Esq., Asset Management Group, Head, and Elisa Nuottajarvi, Asset Management Group, The Asset Managers Forum; Securities Industry and Financial Markets Association |
| Dec. 3, 2015 | John D. Ruark, Partner, Arnstein & Lehr LLP, Chicago, Illinois |
| Sep. 3, 2015 | Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association |
| Aug. 12, 2015 | Anastasia T. Rockas, Chair, Private Investment Funds Subcommittee of the New York State Bar Association, New York, New York |
| Aug. 12, 2015 | Scott Cooley, Director of Policy Research, Morningstar, Inc., Chicago, Illinois |
| Aug. 11, 2015 | Brett Palmer, President, Small Business Investor Alliance |
| Aug. 11, 2015 | Anonymous |
| Aug. 11, 2015 | John Gebauer, President, National Regulatory Services |
| Aug. 11, 2015 | Anne Tuttle Cappel, Financial Engines Advisors, L.L.C. |
| Aug. 11, 2015 | Krista Zipfel, President & CEO, Advisor Solutions Group, Inc., Newport Beach, California |
| Aug. 11, 2015 | Dechert LLP |
| Aug. 11, 2015 | Christopher Gilkerson, SVP, General Counsel, Charles Schwab & Co., Inc. |
| Aug. 11, 2015 | David P. Bergers, General Counsel, LPL Financial LLC |
| Aug. 11, 2015 | Karen B. Huey, CEO, Professional Compliance Assistance, Inc., Woodstock, Georgia |
| Aug. 11, 2015 | Barbara Novick, Vice Chairman, and Benjamin Archibald, Managing Director, BlackRock, Inc. |
| Aug. 11, 2015 | William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Administrator |
| Aug. 11, 2015 | David W. Blass, General Counsel, Investment Company Institute, Washington, District of Columbia |
| Aug. 11, 2015 | David Lekich, Chief Counsel, Charles Schwab Investment Management, Inc., San Francisco, California |
| Aug. 11, 2015 | Jason Mulvihill, General Counsel, Private Equity Growth Capital Council, Washington, District of Columbia |
| Aug. 11, 2015 | John M. Zerr, Senior Vice President, Invesco Advisers, Inc., Houston, Texas |
| Aug. 11, 2015 | Craig D. Pfeiffer, President & CEO, Money Management Institute |
| Aug. 11, 2015 | Robert C. Grohowski, General Counsel, Investment Adviser Association |
| Aug. 11, 2015 | Timothy W. Cameron, Esq., Head, and Lindsey Weber Keljo, Esq., Vice President and Assistant General Counsel, Asset Management Group, Securities Industry and Financial Markets Association, Washington, District of Columbia |
| Aug. 11, 2015 | David Oestreicher, Chief Legal Counsel, and Jonathan D. Siegel, Senior Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland |
| Aug. 11, 2015 | Schulte Roth & Zabel LLP, New York, New York |
| Aug. 11, 2015 | Mortimer J. Buckley, Chief Investment Officer, Vanguard |
| Aug. 11, 2015 | Stefan M. Gavell, Executive Vice President and Head of Regulatory, Industry and Government Affairs, State Street Corporation |
| Aug. 11, 2015 | Paul F.Roye, Senior Vice President, and Rachel V. Nass, Counsel, Capital Research and Management Company |
| Aug. 11, 2015 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Aug. 11, 2015 | Gary A. LaBranche, FASB, CAE, President & CEO, Association for Corporate Growth |
| Aug. 11, 2015 | Shearman & Sterling LLP, New York City, New York |
| Aug. 10, 2015 | Ari Gabinet, EVP Gen Counsel, OFI Global (OppenheimerFunds), New York, New York |
| Aug. 10, 2015 | Debra Brown, Esquire, Brown Associates LLC, Boston, Massachusetts |
| Aug. 10, 2015 | Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute |
| Aug. 7, 2015 | Sheila Bair, Chair, on behalf of the Systemic Risk Council |
| Aug. 6, 2015 | Jiří Król, Deputy Chief Executive Officer, Global Head of Government Affairs, Alternative Investment Management Association Limited, London, UK |
| Aug. 5, 2015 | Tannenbaum Helpern Syracuse & Hirschtritt LLP |
| Aug. 4, 2015 | Russ Wermers, Ph.D., University of Maryland, Rockville, Maryland |
| Jul. 22, 2015 | Judith Gross, Principal, JG Advisory Services LLC, New York, New York |
| Jul. 2, 2015 | L. A. Schnase |
| Jun. 28, 2015 | Thomas K. Morgan, Esq., South Orange, New Jersey |
| Jun. 24, 2015 | Charles E. Dodson, Chief Compliance Officer, JAG Capital Management LLC, St.Louis, Missouri |
| Jun. 11, 2015 | Pat Hyman |
| Jun. 8, 2015 | Michael D. Berlin, San Diego |
| Jun. 8, 2015 | Carrie Devorah, The Center For Copyright Integrity, Washington, District of Columbia |
| May 22, 2015 | Jeff J. Diercks, Tampa, Florida |
| May 21, 2015 | Adrian Day, President, Adrian Day Asset Management |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Apr. 21, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 19, 2016, meeting with representatives of the Boston Asset Management Association |
| Nov. 20, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 20, 2015, meeting with representatives of the American Bar Association Business (ABA) Law Section Subcommittee on Investment Companies and Investment Advisers |
| Oct. 7, 2015 | Memorandum from the Division of Investment Management regarding an October 7, 2015, meeting with representatives of Affiliated Managers Group, Franklin Templeton Investments, PIMCO, and the Investment Adviser Association |
| Jul. 29, 2015 | Memorandum from the Division of Investment Management regarding a July 28, 2015, meeting with representatives of the Securities Industry and Financial Markets Association |
| Jul. 27, 2015 | Memorandum from the Division of Investment Management regarding a July 23, 2015, meeting with representatives of the Managed Funds Association |
| Jul. 24, 2015 | Memorandum from the Division of Investment Management regarding a July 23, 2015, meeting with representatives of the Investment Adviser Association |
| Jul. 24, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a July 24, 2105 meeting with representatives of the Managed Funds Association |
| Jul. 23, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a July 23, 2015, meeting with representatives of the Managed Funds Association |
| Jul. 21, 2015 | Memorandum from the Division of Investment Management regarding a July 13, 2015, meeting with representatives of BlackRock |
http://www.sec.gov/comments/s7-09-15/s70915.shtml
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