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

  Litigation

  ALJ

  Information for...

  Divisions


Comments on Proposed Rule: Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

[Release No. 33-8861; File No. S7-28-07]


May 12, 2010 John J. Cona, Partner and Chief Executive Officer, TARP Capital, LLC, Scottsdale, Arizona
Nov. 19, 2008 Memorandum from the Office of Commissioner Walter regarding a November 18, 2008 telephone conversation with representatives of Broadridge Financial Solutions, Inc.
Oct. 6, 2008 Memorandum from the Division of Investment Management regarding an October 31, 2008 telephone conversation with representatives of the Investment Company Institute and T. Rowe Price
Oct. 6, 2008 Memorandum from the Division of Investment Management regarding a September 29, 2008 telephone conversation with representatives of the Investment Company Institute
Oct. 2, 2008 Memorandum from the Division of Investment Management regarding a September 26, 2008 telephone conversation with representatives of the Fund Democracy
Sep. 25, 2008 Memorandum from the Division of Investment Management regarding a September 25, 2008 telephone conversation with representatives of the Investment Company Institute
Sep. 23, 2008 Memorandum from the Division of Investment Management regarding a September 5, 2008 telephone conversation with representatives of Broadridge Financial Solutions, Inc.
Sep. 23, 2008 Memorandum from the Division of Investment Management regarding a September 5, 2008 telephone conversation with representatives of the Investment Company Institute
Sep. 18, 2008 Memorandum from the Division of Investment Management regarding a September 5, 2008 telephone conversation with representatives of RR Donnelly & Sons Co. and Prospectus Central, LLC
Sep. 10, 2008 Josiah Fisk, President and Creative Director, Firehouse Financial Communications LLC
Sep. 4, 2008 Memorandum from the Division of Investment Management regarding a August 28, 2008 meeting with representatives of Addison
Sep. 3, 2008 Mortimer J. Buckley, Managing Director Retail Investor Group, The Vanguard Group, Inc., Malvern, Pennsylvania
Sep. 2, 2008 Memorandum from the Division of Investment Management regarding August 25, 2008 meeting with representatives of RR Donnelly & Sons Co. and Prospectus Central, LLC
Aug. 29, 2008 Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Aug. 29, 2008 Russell Planitzer, Chairman and Chief Executive Officer, NewRiver, Inc., Andover, Massachusetts
Aug. 29, 2008 Josiah Fisk, President and Creative Director, Firehouse Financial Communication LLC
Aug. 29, 2008 Timothy W. McHale, Counsel and Katherine H. Newhall, Counsel, Capital Research and Management Company
Aug. 29, 2008 Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities, LLC
Aug. 29, 2008 Karrie McMillan, General Counsel and Brian Reid, Chief Economist, Investment Company Institute
Aug. 29, 2008 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Aug. 28, 2008 Stephen R. Rimes, Assistant General Counsel, Invesco Aim Advisors, Inc.
Aug. 19, 2008 Andrew C. Bambeck III, Branch Manager, Raymond James Financial Services, Inc., Eaton, Ohio
Aug. 2, 2008 Daryle L. Owen
Jul. 31, 2008 Investor Testing of Mutual Fund Summary Prospectus and Related Disclosures
Jun. 26, 2008 Memorandum from the Division of Investment Management regarding June 19, 2008 meeting with representatives of Broadridge Financial Solutions, Inc.
Jun. 16, 2008 David Certner, Legislative Counsel and Director of Legislative Policy, Govemment Relations and Advocacy, AARP
May 1, 2008 Elizabeth Howlett, Professor of Marketing, University of Arkansas, John Kozup, Director, Center for Marketing and Public Policy Research, Villanova University, and Michael Pagano, Associate Professor of Finance, Villanova University
Apr. 29, 2008 Memorandum from the Division of Investment Management regarding an April 18, 2008, meeting with representatives of the NewRiver, Inc. and Kirkpatrick & Lockhart Preston Gates Ellis LLP
Apr. 21, 2008 Memorandum from the Division of Investment Management regarding an April 8, 2008, meeting with representatives of the Investment Company Institute
Apr. 17, 2008 Mercer Bullard, President and Founder, Fund Democracy and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Apr. 16, 2008 Leslie Teicholz, Special Features Writer, Berkshire Eagle, Pittsfield, Ma., Richmond, Massachusetts
Apr. 14, 2008 Ed Waldock
Apr. 3, 2008 Paul Schott Stevens, President, Investment Company Institute
Mar. 31, 2008 Dominic Jones, President, IRWebReport.com, Toronto, Canada
Mar. 18, 2008 Elizabeth H. Kross, Senior Portfolio Specialist, Tilton Sturman Financial, Manchester-by-the-Sea, Massachussetts
Mar. 17, 2008 Keith F. Higgins, Chair, Federal Regulation of Securities Committee, Section of Business Law, American Bar Association
Mar. 14, 2008 Michael P. Zimmer, President, Fluent Technologies
Mar. 14, 2008 Karrie McMillan, General Counsel and Brian Reid, Chief Economist, Investment Company Institute
Mar. 13, 2008 George Miller, Chairman, House Committee on Education and Labor; Edward M. Kennedy, Chairman, Senate Committee on Health, Education, Labor, and Pensions; Robert E. Andrews, Chairman, House Subcommittee on Health, Employment, Labor, and Pensions; Tom Harkin, Senator, Senate Committee on Health, Education, Labor, and Pensions; and Herb Kohl, Chairman, Senate Special Committee on Aging
Mar. 10, 2008 Kyle N. Orlowski, Ohio
Mar. 4, 2008 Alan Palmiter, Professor of Law, and Ahmed Taha, Associate Professor of Law, Wake Forest University, Winston-Salem, North Carolina
Mar. 4, 2008 Kathleen K. Clarke, Esquire, Seward & Kissel LLP, Washington , District of Columbia
Mar. 3, 2008 Robert G. Zack, Executive Vice President and General Counsel, OppenheimerFunds, Inc., New York, New York
Mar. 3, 2008 Dechert LLP
Mar. 1, 2008 Michael Zetwo
Feb. 29, 2008 John Beshears, James J. Choi, David Laibson, and Brigitte C. Madrian
Feb 29, 2008 Josiah Fisk, Co-Founder and Director, Firehouse Financial Communications LLC, Malden, Massachusetts
Feb. 29, 2008 Charles Sikorovsky, Northbrook, Illinois
Feb. 28, 2008 Beverly Byrne, Great-West Retirement Services®, Greenwood Village, Colorado
Feb. 28, 2008 Darrell N. Braman, Associate Legal Counsel, Forrest R. Foss, Associate Legal Counsel, Henry H. Hopkins, Chief Legal Counsel, David Oestreicher, Chief Legal Counsel Elect and Brian R. Poole, Attorney, T. Rowe Price
Feb. 28, 2008 Bruce R. Bent, Chairman/CEO, The Reserve
Feb. 28, 2008 David Certner, Legislative Counsel and Director of Legislative Policy, Government Relations and Advocacy, AARP
Feb. 28, 2008 Joseph A. Franco, Professor, Suffolk University Law School
Feb. 28, 2008 Karen R. Kay, Managing Director, Putnam Investments
Feb. 28, 2008 David J. Lekich, VP and Associate General Counsel, Charles Schwab Co. and Catherine M. MacGregor, VP and Chief Counsel of the Laudus Funds, Charles Schwab Investment Management, Inc.
Feb. 28, 2008 Brian L. Brogan, Associate General Counsel, American Century Investments
Feb. 28, 2008 Richard McCormick, McCormick Capital Management
Feb. 28, 2008 Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Feb. 28, 2008 Steven M. Joenk, Chair, Chief Executive Officer and President, EQ Advisors Trust and AXA Premier VIP Trust
Feb. 28, 2008 Jonathan M. Kopcsik, Stradley Ronon Stevens & Young, LLP
Feb. 28, 2008 Peter R. Guarino, Managing Director, Foreside Compliance Services, LLC
Feb. 28, 2008 Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Feb. 28, 2008 Stephen A. Keen
Feb. 28, 2008 Russell Planitzer, Chairman and Chief Executive Officer, NewRiver Inc.
Feb. 28, 2008 Mercer Bullard, Founder and President, Fund Democracy, Barbara Roper, Director of Investor Protection, Consumer Federation of America, and Ken McEldowney, Executive Director, Consumer Action
Feb. 28, 2008 Bo Li, Esq., New York, New York
Feb. 28, 2008 Timothy McHale, Counsel and Katherine H. Newhall, Counsel, Capital Research and Management
Feb. 28, 2008 Mortimer J. Buckley, Managing Director, Retail Investor Group, Vanguard
Feb. 28, 2008 Dale E. Brown, CAE, President & CEO, Financial Services Institute
Feb. 28, 2008 Karrie McMillan, General Counsel, Investment Company Institute and Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Feb. 28, 2008 Karrie McMillan, General Counsel, Investment Company Institute
Feb. 28, 2008 Mark N. Polebaum, Executive Vice President and General Counsel, MFS Investment Management and Judith R. Hogan, Senior Vice President and Associate General Counsel, MFS Investment Management
Feb. 28, 2008 Stephanie Grauerholz-Lofton, Vice President & Assistant General Counsel, Janus Capital Management LLC's
Feb. 28, 2008 Kurt N. Schacht, Executive Director, CFA Institute Centre for Financial Market and Linda L. Rittenhouse, Senior Policy Analyst, CFA Institute Centre for Financial Market Integrity
Feb. 28, 2008 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Feb. 28, 2008 Stephen E. Roth, W. Thomas Conner, and Mary Jane Wilson-Bilik, Sutherland Asbill & Brennan LLP
Feb. 28, 2008 Gary O. Cohen, Jorden Burt LLP
Feb. 28, 2008 Greg J. Stark, President and Chief Executive Officer, Russell Investments
Feb. 28, 2008 Michael H. Koonce, Senior Vice President and General Counsel, Evergreen Investments
Feb. 28, 2008 Jill Gross, Director and Jay Yamamoto, Student Intern, Pace University School of Law
Feb. 28, 2008 William A. Jacobson, Associate Clinical Professor Director, Cornell Securities Law Clinic; Jennifer Freiman, Cornell Law School; and Morgan McDevitt, Cornell Law School
Feb. 28, 2008 Thomas O. Putnam, President, Fenimore Asset Management Trust
Feb. 28, 2008 Tom Orecchio, Chair, NAPFA, Ellen Turf, CEO, NAPFA, and Diahann Lassus,Chair, Industry Issues Committee, National Association of Personal
Feb. 28, 2008 Ira P. Shapiro, Associate General Counsel, Barclays Global Fund Advisors
Feb. 28, 2008 Allan S. Mostoff, President, Mutual Fund Directors Forum
Feb. 28, 2008 Mark S. Howard, Senior Vice President, Secretary and Counsel, USAA Investment Management Company
Feb. 28, 2008 Gerald F. Scavelli, President, Information Distribution Solutions, Broadridge Financial Solutions
Feb. 27, 2008 Stephen R. Rimes, Assistant General Counsel, A I M Advisors, Inc.
Feb. 27, 2008 Ward C. Bourn, Williamsburg, Virginia
Feb. 27, 2008 Laura P. Lutton, Senior Mutual Fund Analyst, Morningstar, Inc., Chicago, Illinois
Feb. 27, 2008 Debra M. Brown, Esquire, CEO, Self Audit, Inc., Boston, Massachusetts
Feb. 27, 2008 Dominic Jones, President, IRWebReport.com, Toronto, Canada
Feb. 27, 2008 Brian C. Essman, President and CEO, Data Communique, Inc., Carlstadt, New Jersey
Feb. 27, 2008 Mary S. Gallagher, Omaha, Nebraska
Feb. 26, 2008 Michael J. Sharp, General Counsel, Citi Global Wealth Management, Citigroup Global Markets Inc.
Feb. 26, 2008 David Singh
Feb. 26, 2008 L. A. Schnase, Individual Investor and Attorney at Law
Feb. 26, 2008 Donald A. Manzullo, Member of Congress, Washington, District of Columbia
Feb. 26, 2008 Alison W. Beirlein, Manager, Internal Compliance, AIG SunAmerica Mutual Funds, Jersey City, New Jersey
Feb. 25, 2008 Philip I. Kirstein and John G. Jerow, Committee on Investment Management Regulation, New York City Bar
Feb. 25, 2008 Stephen R. Lewis, Jr., Independent Chairman, RiverSource Funds
Feb. 24, 108 David G. Hanighen, None, Chino Hills, California
Feb. 24, 2008 Jeffery E. Paynowski, Medina, Ohio
Feb. 23, 2008 Thomas Adams
Feb. 22, 2008 Nicol Herris, Indio, California
Feb. 19, 2008 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Feb. 18, 2008 B. W. Atkins, California
Feb. 17, 2008 Peter Matthews
Feb. 16, 2008 Leslie Bejune, Ft. Mill, South Carolina
Feb. 15, 2008 Richard K. Hopkins
Feb. 15, 2008 Rebecca Turcotte Kish
Feb. 15, 2008 Wayne E. Wilkerson, Justin, Texas
Feb. 15, 2008 Robert W. Uek, Chair, Governing Council, Independent Directors Council
Feb. 15, 2008 Stuart A. Rodriguez, MBA
Feb. 14, 2008 Roy J. Biegel, Highlands Ranch, Colorado
Feb. 14, 2008 Jonathan Lee
Feb. 14, 2008 Gary M. keenan, Albuquerque, New Mexico
Feb. 13, 2008 David P. Dubois, Sanford, Maine
Feb. 13, 2008 Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Feb. 13, 2008 Michael E. Kendrick, Lexington, Michigan
Feb. 13, 2008 Richard L. Foley, Beaverton, Oregon
Feb. 13, 2008 D. G. Birmingham, Systems Engineer, El Segundo, California
Feb. 12, 2008 Christine A. Nelson
Feb. 12, 2008 Dan Meador
Feb. 11, 2008 Richard McCormick
Feb. 11, 2008 Jeff L. Beaudoin, CEO, Portland, Oregon
Feb. 11, 2008 Scott Hastings, Laurence Harbor, New Jersey
Feb. 10, 2008 Sean McCarthy, Project Analyst EDS, Boston, Massachusetts
Feb. 10, 2008 Walter B. Virginski, Westerly, Rhode Island
Feb. 10, 2008 Lamont Matt E. Mathews, Lodi, Wisconsin
Feb. 10, 2008 William Mahavier
Feb. 10, 2008 David Wyatt, Milwaukee, Wisconsin
Feb. 9, 2008 Darrell Wehmeier, Topeka, Kansas
Feb. 9, 2008 John P. McCarty, Pittsburgh, Pennsylvania
Feb. 8, 2008 Roger J. Galket, Individual Investor
Feb. 8, 2008 Robert F. Cardell, Boulder, Colorado
Feb. 8, 2008 Kinggod Elhussi-Bey, Individual Investor, Wheatley Heights, New York
Feb. 7, 2008 Manuela A. De Leon, retired, New York City, New York
Feb. 7, 2008 Robert M. Blanck, Jr., Annapolis, Maryland
Feb. 7, 2008 Kevin Possin, Department of Philosophy Chair, Critical Thinking Lab Director, Winona State University
Feb. 6, 2008 Thomas R. Thedford, D.V.M., Stillwater, Oklahoma
Feb. 6, 2008 Art Ticknor, Moundsville, West Virginia
Feb. 5, 2008 Kenneth L. Kesler
Feb. 4, 2008 Ric Edelman, Chairman & CEO
Feb. 3, 2008 Gary Tyrrell, President, QuestNet Corp., Princeton, New Jersey
Feb. 1, 2008 Leslie L. Ogg, Esquire, Eden Prairie, Minnesota
Jan. 24, 2008 Joanne DeLaurentiis, President & Chief Executive Officer, Investment Funds Institute of Canada
Jan. 24, 2008 Jennifer Smiljanich, CFP, VP Operations, Hylant Financial Services, Toledo, Ohio
Jan. 15, 2008 Memorandum from the Division of Investment Management regarding a meeting with representatives of Investment Company Institute
Jan. 15, 2008 Memorandum from the Office of Commissioner Kathleen Casey regarding a January 14, 2008, meeting with representatives of Janus Capital Group and Williams & Jensen
Jan. 14, 2008 James D. Winship, General Counsel, Saturna Capital Corporation
Jan. 9, 2008 Jeffrey C. Keil, Principal, Keil Fiduciary Strategies LLC, Littleton, Colorado
Jan. 8, 2008 Brock Hastie, MBA, Independent Investment Advisor, Michigan
Jan. 8, 2008 Ronald S. Marsh, CFP®, Portland, Oregon
Dec. 28, 2007 Sarah Dowson
Dec. 26, 2007 William E. Kent, FINRA registered compliance and operations principal, CBIZ Financial Solutions, Newbury, Ohio
Dec. 10, 2007 Jon S. Fossel, CFA, Independent Fund Director, Former ICI Chairman, Ennis, Montana
Dec. 8, 2007 Colin Dean, Esquire
Dec. 3, 2007 Peter Wollesen
Nov. 28, 2007 Memorandum from the Office of Disclosure Regulation regarding a October 25, 2007, meeting with representatives of Broadridge Financial Solutions, Inc.
Nov. 30, 2007 Vernon L. Dransfeldt, Registered Investment Advisor, Camarillo, California
Nov. 29, 2007 R. N. G., Esquire
Nov. 27, 2007 William D. McAllister, Private individual and voter, Lanham, Maryland
Nov. 26, 2007 Michael Horowitz, Senior Fellow, Hudson Institute

 

 

 

 

http://www.sec.gov/comments/s7-28-07/s72807.shtml

Modified: 10/16/2014