Enhancing Investment Adviser Examinations: Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 17, 2013, meeting with representatives of the Investment Adviser Association (IAA)
Public Comment Edward W. Murray, Family Investment Advisory, LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 17, 2011, meeting with representatives of Wells Fargo Advisors
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 16, 2011 meeting with representatives of the Association of Institutional Investors
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 23, 2011 meeting with representatives of the Financial Services Roundtable
Meeting with SEC Officials Memorandum from the Office of Commissioner Casey regarding a January 13, 2011, meeting with representatives of the Investment Company Institute and FINRA
Meeting with SEC Officials Memorandum from the Office of Commissioner Casey regarding a January 18, 2011, meeting with representatives of LPL Financial
Public Comment Investment Company Institute
Public Comment Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Public Comment Mari-Anne Pisarri, Pickard and Djinis LLP
Public Comment Mary Richardson, Director of Regulatory & Tax Department, Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Casey regarding a January 12, 2011, meeting with representatives of the North American Securities Administrators Association
Public Comment William F. Galvin, Secretary of the Commonwealth of Massachusetts
Public Comment Susan O. Seltzer, President, The Derivative Project, Minneapolis, Minnesota
Public Comment John Gidman, Institutional Investors
Public Comment David J. Stertzer, Chief Executive Officer, Association for Advanced Life Underwriting, Reston, Virginia
Public Comment Curt R. Stauffer, Chief Investment Officer, EHD Advisory Services, Inc., Lancaster, Pennsylvania
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a November 1, 2010 meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a November 2, 2010 meeting with representatives of the Investment Advisers Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a November 23, 2010 meeting with representatives of Wells Fargo Advisors
Public Comment Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Public Comment Ron A. Rhoades, JD, CFP, Lecanto, Florida
Public Comment Ralph J. Sorrentino
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a December 17, 2010 meeting with representatives of the Financial Planning Coalition
Public Comment Kevin R. Keller, CFP Board; Marvin W. Tuttle, Jr., FPA, and Ellen Turf, NAPFA; Financial Planning Coalition
Public Comment Richard H. Baker, President and CEO, Managed Funds Association
Public Comment David Massey, President, NASAA
Public Comment Eric E. Haas, Chief Investing Officer, Altruist Financial Advisors LLC, Holland, Michigan
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 6, 2010, meeting with representatives of the Financial Services Institute, Inc.

Last Reviewed or Updated: Dec. 18, 2025

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