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Comments on Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV

[Release No. IA-2711, File No. S7-10-00]


Dec. 16, 2010 Steven Stone, Morgan Lewis, on behalf of certain Securities Industry and Financial Markets Association members (request for extension of compliance date)
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Jul. 13, 2010 Denise Voigt Crawford, NASAA President and Texas Securities Commissioner, Washington, District of Columbia
Jul. 13, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Jul. 6, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Feb. 20, 2009 Memorandum from the Office of the Chairman regarding a February 19, 2009, meeting with representatives of the Financial Planning Association
Dec. 31, 2008 Clifford Kirsch, Sutherland Asbill and Brennan LLP
Dec. 8, 2008 Memorandum from the Office of Commissioner Walter regarding a December 8, 2008, telephone call with representatives of Sutherland Asbill & Brennan LLP, and Metropolitan Life Insurance Company
Dec. 2, 2008 Memorandum from the Office of Commissioner Casey regarding a December 1, 2008, meeting with representatives of Sutherland Asbill & Brennan LLP, MetLife, Inc., and Prudential Insurance Company of America
Nov. 25, 2008 Memorandum from the Division of Investment Management regarding November 25, 2008, meeting with representatives of Sutherland Asbill & Brennan LLP, Great American Financial Resources, MassMutual Financial Group, Metropolitan Life Insurance Company, New York Life Insurance Companies, Northwestern Mutual Life Insurance Company, and Prudential Insurance Company of America
Oct. 27, 2008 Memorandum from the Office of Commissioner Aguilar regarding an October 27, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and J.P. Morgan Asset Management, Inc.
Aug. 26, 2008 David G. Tittsworth, Executive Director, Investment Adviser Association
Aug. 8, 2008 Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina
Aug. 7, 2008 Memorandum regarding a July 25, 2008 meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc. and J.P. Morgan Asset Management, Inc
Jul. 17, 2008 Memorandum from the Division of Investment Management regarding a July 9, 2008 meeting with representatives of the Investment Adviser Association
Jul. 2, 2008 Barbara L. Roper, Consumer Federation of America, Pueblo, Colorado
Jun. 18, 2008 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities and Ellen Lieberman, Chair, Committee on State Regulation of Securities, American Bar Association
May 29, 2008 Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
May 26, 2008 Julie Jason, JD, LLM, President, Jackson, Grant Investment Advisers, Inc., Stamford, Connecticut
May 23, 2008 Sidley Austin LLP
May 22, 2008 Kurt N. Schacht, Executive Director, and Linda L. Rittenhouse, Senior Policy Analyst, CFA Institute Centre for Financial Market Integrity
May 21, 2008 Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc.
May 20, 2008 Teighlor S. March, J.D., Senior Technical Manager, Personal Financial Planning, AICPA, Durham, North Carolina
May 20, 2008 James E. Wernli
May 18, 2008 Nancy Lininger, Founder/Consultant, The Consortium, Camarillo, California
May 16, 2008 William Cavell, Vice President, NRS Compliance Institute
May 16, 2008 Thaddeus Borek, Jr., Borek Financial Management
May 16, 2008 Tom Orecchio, Chair, Ellen Turf, CEO, and Diahann Lassus, Chair, Industry Issues Committee, National Association of Personal Financial Advisors
May 16, 2008 Krista S. Zipfel, CFA, President & CEO, Advisor Solutions Group, Inc.
May 16, 2008 Justine Kirby, Legal and Compliance Division, Morgan Stanley & Co. Incorporated
May 16, 2008 Clifford E. Kirsch, Michael B. Koffler, Bibb L. Strench, Sutherland, Asbill & Brennan LLP
May 16, 2008 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
May 16, 2008 Heidi Hardin, Senior Vice President, General Counsel, Janus Capital Management LLC
May 16, 2008 Ashland Compliance Group LLC
May 16, 2008 Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities LLC
May 16, 2008 Luanne Borowski, RIA Chief Compliance Officer, First Allied Securities, Inc.
May 16, 2008 Karen L. Barr, General Counsel and Valerie Baruch, Assistant General Counsel, Investment Adviser Association
May 16, 2008 Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers
May 16, 2008 Daniel J. Barry, Director of Government Relations, Financial Planning Association
May 16, 2008 Karen Tyler, President and North Dakota Securities Commissioner, North American Securities Administrators
May 16, 2008 George F. Magera, Reed Smith LLP
May 16, 2008 Lee A. Pickard, William D. Edick, Pickard and Djinis LLP, Counsel to the Alliance in Support of Independent Research
May 16, 2008 Keith Newcomb, Full Life Financial LLC
May 16, 2008 Christopher L. Davis, President, The Money Management Institute
May 16, 2008 Christopher Gilkerson, Senior Vice President, Deputy General Counsel, Charles Schwab & Co., Inc.
May 16, 2008 David Oestreicher, Chief Legal Counsel and Christopher P. Hayes, Associate Legal Counsel, T. Rowe Price Associates, Inc.
May 16, 2008 Karrie McMillan, General Counsel, Investment Company Institute
May 16, 2008 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
May 16, 2008 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
May 16, 2008 Katten Muchin Rosenman LLP
May 16, 2008 Nancy Kay, Chief Compliance Officer, Wall Street Financial Group
May 16, 2008 William G. Mulligan, Chair and Member of the Board of Managers, Alternative Investments Compliance Association
May 16, 2008 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
May 16, 2008 Paul S. Gottlieb, First Vice President, Merrill Lynch, Pierce, Fenner & Smith
May 16, 2008 Michael J. Sharp, General Counsel, Citi Global Wealth Management
May 16, 2008 Kelly C. Abernathy, General Counsel, Chief Compliance Officer, Capital Institutional Services, Inc.
May 16, 2008 Geoffrey F. Foisie, Investments Manager, Shawbrook
May 16, 2008 Audrey V. Kuznetsov, Analyst, Council of Institutional Investors
May 16, 2008 Keith Marks, General Counsel, Ascendant Compliance Management
May 16, 2008 Mary Richardson, Director, Regulatory & Tax Department, Alternative Investment Management Association Limited
May 16, 2008 Michael W. Mayhew, Chairman & Global Director of Research, Integrity Research Associate, LLC
May 16, 2008 Mark S. Howard, Senior Vice President, Secretary and Counsel, USAA Investment Management Company, USAA Financial Planning Services Insurance Agency, Inc.
May 15, 2008 James M. Meyer, Chief Compliance Officer, Tower Bridge Advisors
May 15, 2008 Cynthia M. Clarke, General Counsel, Wellington Management Company, LLP
May 15, 2008 Margaret L. Leonard, CCO, Moody Aldrich Partners, LLC, Marblehead, Massachusetts
May 14, 2008 Larry L. Laws, President, Larry Laws and Associates, Inc., Center Point, Texas
May 14, 2008 Kent Knudson, Poolesville, Maryland
May 14, 2008 Therese M. Pantalione, IACCPsm, V.P., Compliance Officer, Cumberland Advisors
May 14, 2008 Mari-Anne Pisarri, Pickard and Djinis LLP
May 14, 2008 Frank C. Dealy, Chief Operating Officer, Executive Advisors, Inc.
May 13, 2008 Rita G. Dew, President, National Compliance Services, Inc., Delray Beach, Florida
May 13, 2008 Judy T. Boyles, MNM Paragon Financial Group
May 13, 2008 Russ Kyncl, CLU, ChFC, Strategic Exit LLC
May 12, 2008 Ken Thompson, Financial Advisor - Branch Manager, Raymond James Financial Services
May 12, 2008 R. Christopher Verbeck
May 12, 2008 William H. McCance, President, Trust Advisory Group, Ltd.
May 12, 2008 Laurence E. Menna, Financial Planner, RJFS, President, MCM
May 12, 2008 Gary D. Case, CFP, Cornerstone Financial Planning
May 12, 2008 Robert Chamberlain, CFP, Raymond James Financial Services, Inc.
May 9, 2008 Shaun Eddy, Strategic Wealth Management Group, LLC, Columbia, Maryland
May 9, 2008 William A Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
May 9, 2008 L. A. Schnase
May 5, 2008 Katie M. Habegger, CFP, Chief Compliance Officer, Clifford Swan Investment Counsel, Pasadena, California
May 4, 2008 Warren J. Mackensen, CFP, Mackensen Company, Inc., Hampton, New Hampshire
May 2, 2008 David H. Barton, President and General Counsel and Jennifer B. Pfleging, Compliance Officer, Mercer Advisors
May 2, 2008 Terrance O'Malley, Fried, Frank, Harris, Shriver & Jacobson LLP
Apr. 28, 2008 Michael Berlin, CCO, Private Asset Management, Inc.
Apr. 26, 2008 Eric A. Brill, Esq., Attorney, San Francisco, California
Apr. 7, 2008 Bill George, Blue Sky Research Services, Encino, California
Mar. 28, 2008 Adrian Day, Chairman & CEO, Adrian Day Asset Management
Mar. 27, 2008 Colon Brown, President, Brown & Brown Services, Inc.
Mar. 20, 2008 Stacey Kruus, San Francisco, California
Mar. 20, 2008 John H. Vineyard, CFA, President, Sunlake Investment Management
Mar. 5, 2008 David Riedel, President, Riedel Research, New York, New York
Mar. 8, 2008 William T. George, Research Consultant, Encino, California

[Release No. IA-1862, File No. S7-10-00]


Aug. 28, 2001 Paul S. Gottlieb, Chairman, SIA Investment Adviser Committee, Securities Industry Association
Jul. 11, 2001 Memorandum from Marticha Cary regarding a meeting with Financial Planning Association on Proposed Amendments to Part II of Form ADV
May 25, 2001 Memorandum from Marticha Cary regarding a meeting with Merrill Lynch; Morgan, Lewis & Bockius; and SEC staff on Proposed Amendments to Part II of Form ADV
May 24, 2001 Additional Karen Barr, General Counsel, The Investment Counsel Association of America
Feb.1, 2001 Memorandum from Marticha Cary regarding a meeting with Investment Counsel Association of America (ICAA), T. Rowe Price Associates, Inc. and SEC staff on Proposed Amendments to Part II of Form ADV
Jul. 13, 2000 Donald M. Rembert, Chairman
Jul. 5, 2000 Benjamin A. Brown, Managing Director, Financial Management Services, Dallas, TX
Jun. 22, 2000 Gregory A. Root, President, Thomson Financial BankWatch, Michael S. Ross, Managing Director, Thomson Financial Global Markets and Bruce Babcock, President, Thomson Proxy Services (collectively, the "Thomson Advisers")
Jun. 14, 2000 Dechert Price & Rhoads, Boston, Mass.
Jun. 13, 2000 Richard T. Prins, Partner, Skadden, Arps, Slate, Meagher, and Flom, LLP and Affliates
Jun. 13, 2000 Jane Katz Crist, attorney, Los Angeles, Calif.
Jun. 13, 2000 Lee A. Pickard, Esq., Pickard and Djinis LLP, Counsel to The Alliance in Support of Independent Research, Washington, D.C.
Jun. 13, 2000 David Riggs, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Jun. 13, 2000 Marianne K. Smythe, Wilmer, Cutler & Pickering, Washington, D.C.
Jun. 13, 2000 Beverly E. Banfield, Associate Director and Director of Compliance, Standish, Ayer & Wood
Jun. 13, 2000 Nora M. Jordan, Davis Polk & Wardwell, New York, N.Y.
Jun. 13, 2000 J. David Griswold, Associate General Counsel, Frank Russell Securities, Inc.
Jun. 13, 2000 Michael F. Rosenbaum, General Counsel, Asset Management, Salomon Smith Barney Inc.
Jun. 13, 2000 Duane R. Thompson, Director of Government Relations, FPA Government Relations Office
Jun. 13, 2000 Marc A. Cohn, Assistant Compliance Director, Metropolitan Life Insurance Company
Jun. 13, 2000 Phyllis J. Bernstein, Director, Personal Financial Planning, American Institute of Certified Public Accountants
Jun. 13, 2000 Milton Kuninsky
Jun. 13, 2000 Tom Herndon, Florida State Board of Administration
Jun. 13, 2000 Robert P. Goss, CFP, President, CFP Board
Jun. 13, 2000 Deborah A. Lamb, Chair, Advocacy Advisory Committee, Association for Investment Management and Research
Jun. 13, 2000 Amanda J. Reed, Associate Corporate Counsel, Federated Investors, Inc.
Jun. 13, 2000 Jean Margo Reid, Chair, Investment Adviser Committee, Securities Industry Association
Jun. 13, 2000 Karen L. Barr, General Counsel, Investment Counsel Association of America
Jun. 13, 2000 Andrew J. Bowden, Deputy General Counsel and Vice President, Legg Mason, Inc.
Jun. 12, 2000 Norman H. Lehrer, President, Lehrer Management Co., Inc.
Jun. 12, 2000 Patrick H. Doyle, JD, Compliance Officer, Securities America Advisors, Inc.
Jun. 12, 2000 MarieElena V. Ness, Regulatory Compliance Assistance
Jun. 12, 2000 Nancy Lininger, The Consortium, Camarillo, Calif.
Jun. 12, 2000 Heather C. King, Compliance Officer, Cornerstone Capital Management, Inc.
Jun. 12, 2000 Kenneth L. Kahn, Managing Director, BNY ESI & Co.
Jun. 12, 2000 Richard S. Cortese, Vice President, Consulting Services, National Regulatory Services, Lakeville, Conn.
Jun. 7, 2000 K. Larry Hastie, MBA, PhD, President, Pattern Recognition Management, Ann Arbor, Mich.
Jun. 6, 2000 Richard Schroeder, CFP
Jun. 5, 2000 Dean R. Lycas
Jun. 3, 2000 Mark Latham, The Corporate Monitoring Project, San Francisco, Calif.
Jun. 1, 2000 Michael James Skinner, registered adviser
May 31, 2000 Donald Steinmann, Advanced Financial Management, Pasadena, Calif.
May 28, 2000 Yasmin Mansoor, investment adviser
May 12, 2000 Charles S. Cruice, Greenville Capital Management
May 11, 2000 James Jones
May 10, 2000 Professor Aaron Brown, Finance Department, Yeshiva University, New York, N.Y.
May 10, 2000 Terry W. Treiber, CFP, Financial Planning Specialist, Merrill Lynch - Raleigh Complex
May 9, 2000 Paul Nissenbaum
May 8, 2000 Paul J. Toohey, CFP
May 8, 2000 an anonymous reviewer
May 2, 2000 Judy Goldman, CFP, Walnut Creek, Calif.
Apr. 29, 2000 Richard E. Vodra, CFP, Falls Church, Va.
Apr. 24, 2000 James McRitchie, Editor, Corporate Governance, Sacramento, Calif.
Apr. 18, 2000 Debra F. Strahan, Global Securities Information
Apr. 13, 2000 Margarett Gorodess, Chicago, Ill.

 

http://www.sec.gov/rules/proposed/s71000.shtml

Modified: 10/16/2014