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Temporary Rule Regarding Principal Trades with Certain Advisory Clients

[Release No. IA-3483; File No. S7-23-07]


Mar. 5, 2013 Anonymous
Nov. 13, 2012 Ronald C. Long, Director of Regulatory Affairs, Wells Fargo Advisors
Nov. 13, 2012 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Nov. 13, 2012 Blaine Aikin, AIFA, CFA, CFP, CEO, fi360, Pittsburgh, Pennsylvania
Nov. 5, 2012 David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Oct. 26, 2012 Chris Barnard, Germany

[Release No. IA-3118; File No. S7-23-07]


Dec. 20, 2010 Ron A. Rhoades, JD, CFP, Lecanto, Florida
Dec. 20, 2010 R. Scott Henderson, Esq., Deputy General Counsel, Bank of America Corporation, New York, New York
Dec. 20, 2010 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Dec. 20, 2010 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Dec. 20, 2010 Blaine Aikin, CEO, Duane Thompson, Senior Policy Analyst, and Kristina A. Fausti, Director of Legal and Regulatory Affairs, Fiduciary360, Bridgeville, Pennsylvania
Dec. 20, 2010 Barbara Roper, Director of Investor Protection, Consumer Federation of America
Dec. 20, 2010 Ellen Turf, CEO, National Association of Personal Financial Advisors, Arlington Heights, Illinois
Dec. 14, 2010 Tamar Frankel, Professor of Law, Boston University School of Law
Dec. 10, 2010 Mari-Anne Pisarri, Pickard and Djinis LLP
Dec. 8, 2010 Leonid Berline, Executive Vice President, Chief Compliance Officer, Winslow, Evans & Crocker, Inc.

[Release No. IA-2653; File No. S7-23-07]


Aug. 21, 2009 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Feb. 20, 2009 Memorandum from the Office of the Chairman regarding a February 19, 2009, meeting with representatives of the Financial Planning Association
Sep. 16, 2008 Duane R. Thompson, Managing Director, Financial Planning Association, Washington, District of Columbia
Apr. 18, 2008 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Dec. 4, 2007 Nora M. Jordan, Yukako Kawata, Leor Landa, Danforth Townley and John G. Crowley, Davis Polk & Wardwell, New York, New York
Nov. 30, 2007 Mercer Bullard, Founder and President, Fund Democracy, Oxford, Mississippi
Nov. 30, 2007 Daniel J. Barry, Director of Government Relations, Financial Planning Association
Nov. 30, 2007 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Nov. 30, 2007 Valerie Baruch, Assistant General Counsel, Investment Adviser Association
Nov. 30, 2007 Tom Orecchio, Chair, Ellen Turf, CEO, and Diahann W. Lassus, The National Association of Personal Financial Advisors
Aug. 14, 2007 Richard Bellmer, Chair and Ellen Turf, CEO, The National Association of Personal Financial Advisors
Jul. 27, 2007 Duane Thompson, Managing Director, Washington Office, Financial Planning Association, Washington, DC
Jul. 13, 2007 Dennis Moore, David Scott, William Lacy Clay, Melissa Bean, Lincoln Davis, Joe Donnelly, Chris Murphy, Ron Klein, Tim Mahoney, Members of Congress
Jul. 12, 2007 Samuel L. Hayes, III, Jacob Schiff Professor of Investment Banking Emeritus, Harvard Business School
Jul. 11, 2007 Robert T. McCann, Vice Chairman and President, Merrill Lynch
Jul. 10, 2007 Spencer Bachus, Member of Congress
Jul. 10, 2007 Raymond A. "Chip" Mason, Chairman and CEO, Legg Mason, Inc.
Jun. 27, 2007 Ira D. Hammerman, Senior Managing Director & General Counsel, Securities Industry and Financial Markets Association
Jun. 21, 2007 Daniel P. Tully, Chairman Emeritus, Merrill Lynch
Jun. 18, 2007 Joseph P. Borg, Esq., President, North American Securities Administrators Association, Inc.
May 23, 2007 Tim Sagehorn, Sagehorn Financial Group
May 23, 2007 Kurt Schacht, CFA, Managing Director, CFA Institute Centre for Financial Market Integrity, New York, NY
Apr. 24, 2007 Barbara Roper, Director of Investor Protection, Consumer Federation of America; Duane Thompson, Managing Director of Washington Office, Financial Planning Association; Mercer Bullard, President, Fund Democracy, Inc.; David B. Tittsworth, Executive Director, Investment Advisors Association; Ellen Turf, Chief Executive Officer, National Association of Personal Financial Advisors; Joseph P. Borg, President, North American Securities Administrators Association

 

http://www.sec.gov/comments/s7-23-07/s72307.shtml

Modified: 03/06/2013