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New Threshold for Federal Registration:
Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See also: Comments on Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940; File No. S7-36-10
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| Mar. 28, 2012 | Anonymous Attorney |
| Apr. 11, 2011 | Anonymous |
| Nov. 4, 2010 | Cindi Showalter, Investment Manager, Axton, Virginia |
| Oct. 30, 2010 | Krista Zipfel, Advisor Solutions Group, Inc., NEWPORT BEACH, California |
| Sep. 18, 2010 | Anonymous |
| Sep. 17, 2010 | Judith Gross, Principal, JG Advisory Services |
| Aug. 27, 2010 | Robert Schwenneker |
| Aug. 16, 2010 | Robert a Mchardy, Mr, Engineer, Lapeer, Michigan |
| Aug. 10, 2010 | Molly E. Pengra, President, Pengra Capital Management, Inc. |
| Jul. 29, 2010 | Raiford Garrabrant, CFA |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia
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Meetings with SEC Officials
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| Oct. 7, 2010 | 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 |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
http://www.sec.gov/comments/df-title-iv/new-threshold/new-threshold.shtml
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