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Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940

[Release No. IA-3110; File No. S7-36-10]

See also: Comments for Dodd Frank Act Title IV, New Threshold for Federal Registration


Submitted Comments

(Click here for meetings with SEC officials)
Jan. 12, 2012 Gary A. LaBranche, FASAE, CAE, President & CEO, Association for Corporate Growth
Jun. 17, 2011 Sidney Wigfall, Managing Partner/Consultant, SC Advisors Group, Chicago, Illinois
Jun. 14, 2011 Pierre Bollon, AFG
Apr. 18, 2011 Memorandum from the Division of Investment Management regarding an April 12, 2011, meeting with representatives of the Managed Funds Association
Apr. 1, 2011 Howard Dicker, Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association
Mar. 21, 2011 Shearman & Sterling LLP
Mar. 18, 2011 Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers
Mar. 8, 2011 Ki P. Hong and Patricia M. Zweibel, Skadden, Arps, Slate, Meagher & Flom LLP
Feb. 22, 2011 Debevoise & Plimpton LLP
Feb. 10, 2011 David Massey, Administrator, North Carolina Deputy Securities and President, North American Securities Administrators Association, Inc.
Feb. 8, 2011 Scott Reckamp, Capital Markets ComplianceŽ, LLC
Feb. 1, 2011 Ken Taymor, Executive Director, and Eric Finseth, Lecturer and Research Fellow, Berkeley Center for Law, Business and the Economy, Berkeley, California
Jan. 31, 2011 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York
Jan. 31, 2011 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, NY
Jan. 31, 2011 Seward & Kissel LLP
Jan. 28, 2011 James Chanos, Chairman, Coalition of Private Investment Companies, New York, New York
Jan. 26, 2011 Addison Braendel, Baker & McKenzie LLP, Chicago, Illinois
Jan. 25, 2011 Georg Merkl, Binz, Switzerland
Jan. 25, 2011 Georg Merkl, Binz, Switzerland
Jan. 25, 2011 Christopher M. Salter, O'Melveny & Myers LLP, on behalf of the China Venture Capital and Private Equity Association, Hong Kong Venture Capital and Private Equity Association and the Singapore Venture Capital and Private Equity Association
Jan. 25, 2011 Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, United States Senate
Jan. 24, 2011 Bart A. Shirley, CFA, Managing Partner, Cuyahoga Capital Partners, Cleveland, Ohio
Jan. 24, 2011 Peter De Proft, Director General, European Fund and Asset Management Association (EFAMA), Bruxells, Belgium
Jan. 24, 2011 Gilbert G. Menna, Goodwin Proctor LLP
Jan. 24, 2011 Americans for Financial Reform
Jan. 24, 2011 John Gebauer, Managing Director, National Regulatory Services
Jan. 24, 2011 Vincent Rossi, CFP, President, ICW Investment Advisors LLC, Scottsdale, Arizona
Jan. 24, 2011 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
Jan. 24, 2011 Karrie McMillan, General Counsel, Investment Company Institute
Jan. 24, 2011 Dechert LLP, Washington, District of Columbia
Jan. 24, 2011 Sarah McCafferty, Vice President and Senior Legal Counsel, T. Rowe Price Associates, Inc.
Jan. 24, 2011 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Jan. 24, 2011 John M. Mino, Partner, and Gerald A. Monroe, Partner; Calfee, Halter and Griswold LLP, Cleveland, Ohio
Jan. 24, 2011 Ira D. Hammerman, Senior Managing Director and General Counsel, The Securities Industry and Financial Markets Association (SIFMA), Washington, District of Columbia
Jan. 24, 2011 Robert D. Kraus, SVP and General Counsel, Village Ventures, Inc., Williamstown, Massachusetts
Jan. 24, 2011 Mark G. Heesen, President, National Venture Capital Association
Jan. 24, 2011 Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers
Jan. 24, 2011 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Jan. 24, 2011 Valerie M. Baruch, Associate General Counsel, Investment Adviser Association
Jan. 24, 2011 Monique S. Botkin, Assistant General Counsel, Investment Adviser Association
Jan. 24, 2011 Damon Silvers, Director of Policy and Special Counsel, AFL-CIO, Washington, District of Columbia
Jan. 24, 2011 Ari Gabinet, General Counsel, OppenheimerFunds, Inc
Jan. 24, 2011 Joanne De Laurentiis, President and CEO, The Investment Funds Institute of Canada
Jan. 24, 2011 Dechert LLP, on behalf of Foreign Adviser, Washington, District of Columbia
Jan. 24, 2011 Mark Berman and Philip Thomas, CompliGlobe Ltd.
Jan. 24, 2011 DLA Piper LLP (US)
Jan. 24, 2011 Debevoise & Plimpton LLP, Washington, District of Columbia
Jan. 24, 2011 Shearman & Sterling LLP
Jan. 24, 2011 J. Stephen Zielezienski, Senior Vice President & General Counsel, and Phillip L. Carson, Assistant General Counsel, American Insurance Association
Jan. 24, 2011 Katten Muchin Rosenman LLP on behalf of Certain Non-U.S Advisers
Jan. 24, 2011 Katten Muchin Rosenman LLP on behalf of Certain Non-U.S. Insurance Companies
Jan. 24, 2011 John H. Heuberger, Hal M. Brown, DLA Piper LLP
Jan. 24, 2011 Robert V. Gunderson, Jr., Founding Partner, Gunderson Dettmer Stough Villeneuve Franklin Hachigian, LLP, Redwood City, California
Jan. 24, 2011 Pierre Bollon, submitted on behalf of AFG (French Asset Management Association), France
Jan. 24, 2011 Mary Richardson, Director of Regulatory and Tax Department, The Alternative Investment Management Association Limited, London, United Kingdom
Jan. 21, 2011 Deena B. Seelenfreund, Chief Financial Officer, and Steven J. Taubman, Managing Director, VCFA Group, San Francisco, California
Jan. 21, 2011 John Dirvin, Chief Operating Officer, Austin Ventures, Austin, Texas
Jan. 21, 2011 Daniel Viola, Partner, Sadis & Goldberg LLP, New York, New York
Jan. 21, 2011 Lisa M. Sotir, Esq., General Counsel, NEA Member Benefits Corporation
Jan. 21, 2011 Mari-Anne Pisarri, Pickard and Djinis LLP
Jan. 21, 2011 Katten Muchin Rosenman LLP, on behalf of APG Asset Management US Inc.
Jan. 20, 2011 Richard H. Dinel, President, R. H. Dinel Investment Counsel, Inc.
Jan. 20, 2011 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Jan. 18, 2011 Beckwith B. Miller, CEO, Ethics Metrics LLC
Jan. 14, 2011 David L. Schnadig, Managing Partner, Cortec Group
Jan. 13, 2011 Robert S. Morris, Managing Partner, Olympus Partners, Stamford, Connecticut
Jan. 13, 2011 Gerald R. VanderLugt, Owner & Chief Compliance Officer, JVL Associates, LLC
Jan. 4, 2011 Jean Fullerton, WJM Financial, LLC, Bedford, New Hampshire
Jan. 4, 2011 Bill Dezellem, CFA, Tieton Capital Management, Yakima, Washington
Dec. 31, 2010 Jeffrey W. McClure, CFP, President, The Wealth Coach, LLC., Salado, Texas
Dec. 23, 2010 L. A. Schnase
Dec. 21, 2010 Curt R. Stauffer, Chief Investment Officer, EHD Advisory Services, Inc., Lancaster, Pennsylvania
Dec. 21, 2010 Michael Gilleran, Chief Financial Officer, Avoca Capital Holdings
Dec. 12, 2010 Eric E. Haas, Chief Investing Officer, Altruist Financial Advisors LLC
Nov. 30, 2010 Philip Tuttle, Student, South Bend, Indiana
Nov. 30, 2010 Amy Klein, Menlo Park, California
Nov. 29, 2010 Cindi Showalter, CSA Wealth Management, LLC, Axton, Virginia

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jun. 2, 2011 Memorandum from the Office of the Chairman regarding a May 26, 2011, meeting with representatives of the Equity Growth Capital Council
Apr. 18, 2011 Memorandum from the Division of Investment Management regarding an April 15, 2011, meeting with representatives of the Private Equity Growth Company Council
Apr. 15, 2011 Memorandum from the Division of Investment Management regarding an April 12, 2011, meeting with representatives of the European Fund and Asset Management Association
Mar. 25, 2011 Memorandum from the Division of Investment Management regarding a March 14, 2011, meeting with various private fund investment advisers and service providers
Mar. 3, 2011 Memorandum from the Division of Investment Management regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, Private Equity Investors and Carter Ledyard & Milburn
Mar. 2, 2011 Memorandum from the Division of Investment Management regarding a February 22, 2011, meeting with representatives of Atlas Holdings LLC and Willkie Farr & Gallagher LLP
Mar. 1, 2011 Memorandum from the Office of Commissioner Casey regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, and PEI Funds
Feb. 24, 2011 Memorandum from the Office of Commissioner Casey regarding a February 22, 2011, meeting with representatives of Atlas Holdings and Willkie Farr
Feb. 14, 2011 Memorandum from the Division of Investment Management regarding a February 9, 2011, meeting with representatives of the ACA Compliance Group
Feb. 10, 2011 Memorandum from the Division of Investment Management regarding a February 9, 2011, meeting with representatives of the Investment Adviser Association
Feb. 8, 2011 Memorandum from the Division of Investment Management regarding a meeting with representatives of the Investment Adviser Association, MFS Investment Management, and The Bank of New York Mellon
Jan. 6, 2011 Memorandum from the Division of Investment Management regarding a January 5, 2011, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP
Dec. 22, 2010 Memorandum from the Division of Investment Management regarding a November 29, 2010, meeting with staff from the office of Senator Jack Reed
Dec. 16, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Dec. 8, 2010 Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Dec. 3, 2010 Memorandum from the Division of Investment Management regarding a December 2, 2010, meeting with a representative of the Subcommittee on Private Investment Entities of the American Bar Association
Nov. 23, 2010 Memorandum from the Division of Investment Management regarding a November 23, 2010, meeting with representatives of the Managed Funds Association

 

http://www.sec.gov/comments/s7-36-10/s73610.shtml

Modified: 10/16/2014