Exemptions for Certain Advisers: Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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Date Received
Date Letter Type Commenter Name
Public Comment Anonymous Attorney
Public Comment Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment J-P Fourie, Managing Director, Executive Officer, SAVCA
Public Comment Thaddeus I. Gray, Managing Director, Chief Investment Officer, Abbott Capital Management, LLC
Public Comment ERISA EXPERT, LA, California
Public Comment Chuck Stetson, Managing Director, Private Equity Investors, Inc. and Jerrold Newman, Founder, Willowridge Partners, Inc.
Public Comment law professor, NY, New York
Public Comment Shearman & Sterling LLP
Public Comment Mark J. Tannenbaum and Cameron S. Fairall, Ropes and Gray LLP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 1, 2010, conference call with representatives of the Pennsylvania Public School Employees' Retirement System
Public Comment Law Professor
Public Comment Nichter Paul, Paul, Hastings, Janofsky & Walker LLP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 28, 2010, meeting with representatives of the National Venture Capital Association and Proskauer Rose LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 27, 2010 meeting with members and representatives of the National Venture Capital Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 27, 2010 meeting with members and representatives of the National Venture Capital Association
Public Comment Hedge Manager, Fund Manager, NY, New York
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 19, 2010, conference call with Dechert LLP
Meeting with SEC Officials Memorandum from the Office of Investment Adviser Regulation, Division of Investment Management regarding an October 12, 2010, conference call with The Yale Endowment
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum
Meeting with SEC Officials Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 7, 2010 meeting with representatives from the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Compliance Inspections and Examinations regarding a October 6, 2010 meeting with the Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 4, 2010, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP
Public Comment David C. Fischer, Attorney, New York, New York
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an September 28, 2010, conference call with Proskauer Rose LLP
Public Comment T. A. Jones, US investor in offshore funds, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 20, 2010, meeting with representatives of Gunderson Dettmer
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the National Venture Capital Association
Public Comment Richard H. Baker, President and CEO, Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives from Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP

Last Reviewed or Updated: Dec. 18, 2025

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