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



  Information for...


Comments on Interpretive Rule Under the Advisers Act Affecting Broker-Dealers

[Release No. IA-2652; File No. S7-22-07]

Apr. 18, 2008 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Nov. 7, 2007 Merril Hirsh, Ross, Dixon & Bell, LLP
Nov. 7, 2007 William C. Jerome, CFP, Capital Financial Services, LLC, Glenville, New York
Nov. 2, 2007 Karen L. Barr, General Counsel, Investment Adviser Association
Nov. 2, 2007 Barbara Roper, Director, Investor Protection, Consumer Federation of America, and Mercer Bullard, Founder and President, Fund Democracy
Nov. 2, 2007 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Nov. 2, 2007 Tom Orecchio, Chair, and Ellen Turf, CEO, National Association of Personal Financial Advisors, Arlington Heights, Illinois
Nov. 2, 2007 Daniel J. Barry, Director of Government Relations, Financial Planning Association
Nov. 2, 2007 Ingrid R. Welch, Esquire, Principal, Associate General Counsel, CMS Investment Resources, Inc., Wynnewood, Pennsylvania
Nov. 1, 2007 Ron A. Rhoades, JD, CFP, Hernando, Florida
Oct. 30, 2007 Charles McKeown, Stanford, California
Oct. 25, 2007 Peter J. Chepucavage, The International Association of Small Broker Dealers and Advisors
Oct. 22, 2007 Jack Thomas
Oct. 4, 2007 Memorandum from the Office of Commissioner Paul S. Atkins regarding a September 30, 2007, meeting with members of the ABA Business Law Section Committee

Modified: 04/21/2008