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
Public Comment John D. Rogers, President and Chief Executive Officer, and Linda L. Rittenhouse, Esq., Director, Capital Markets, CFA Institute, Charlottesville, Virginia
Public Comment Barry C. Melancon, President & CEO, American Institute of Certified Public Accountants
Public Comment David G. Tittsworth, Executive Director, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 23, 2010, meeting with representatives of the Managed Funds Association
Public Comment David Massey, NASAA President, North Carolina Deputy Securities Administrator
Public Comment John Norberg, VP/Counsel, Wellington Management Company, LLP, Boston, Massachusetts
Public Comment Thomas M. Selman, Executive Vice President, FINRA
Public Comment Knut A. Rostad, Chairman, The Committee for the Fiduciary Standard, Falls Church, Virginia
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 10, 2010, meeting with representatives of TD Ameritrade, Inc.
Public Comment Bill Ramsay, President, Financial Symmetry Inc., Raleigh, North Carolina
Public Comment Blaine F. Aikin, Chief Executive Officer, and Kristina A. Fausti, Director of Legal and Regulatory Affairs, Fiduciary360
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 4, 2010, meeting with representatives of the North American Securities Administrators Association, Inc.
Public Comment Reagan Sirmons, FCA Corp.
Public Comment Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA
Public Comment Aimee A Toth, Esquire, Pittsburgh, Pennsylvania
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2010 meeting with representatives of FINRA
Public Comment Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 25, 2010, meeting with representatives of the Association of Institutional Investors
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 21, 2010, meeting with representatives of the Investment Adviser Association
Public Comment David G. Tittsworth, Executive Director, Investment Adviser Association, Washington, D.C.
Public Comment Angela C. Goelzer, Vice President, FINRA
Public Comment Jonathan N. Castle, CFP, ChFC, CEO, PARAGON Wealth Strategies, LLC, Jacksonville, Florida
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 6, 2010, meeting with representatives of the Financial Industry Regulatory Authority
Public Comment Richard H. Baker, President and CEO, Managed Funds Association
Public Comment James A Stehr, AIA, CEO Fortunatus Investor Education, Alameda, California
Public Comment Robin McLeish, Virginia Beach, Virginia

Last Reviewed or Updated: Dec. 18, 2025

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