Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers

Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type
A: 1,377
B: 2,867
 
Nov. 20, 2017 Dave Paulsen, Executive Vice President, Chief Distribution Officer, Transamerica
Nov. 8, 2017 Patricia P. Houlihan, Chair, Steering Group of the Committee for the Fiduciary Standard
Nov. 7, 2017 Kevin R. Keller, Chief Executive Officer, CFP Board, et al., Financial Planning Coalition
Nov. 6, 2017 The Open Architecture 2020 Group
Nov. 2, 2017 Kirt A. Walker, President and Chief Operating Officer, Nationwide Financial
Nov. 1, 2017 David Trainer, CEO, New Constructs, LLC
Nov. 1, 2017 Andrew J. Bowden, Senior Vice President, General Counsel, Jackson National Life Insurance Company
Oct. 31, 2017 David Trainer, CEO, New Constructs, LLC
Oct. 30, 2017 David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Oct. 27, 2017 Jean-Luc Bourdon, Chair, Personal Financial Planning Legislative and Regulatory Task Force, AICPA
Oct. 25, 2017 Bryan Daniel, Financial Planner, Financial Advisor, Creative Wealth Management Group
Oct. 20, 2017 Christine Owens, Executive Director, National Employment Law Project
Oct. 19, 2017 Clifford Kirsch, et al., Eversheds Sutherland (US) LLP, on behalf of the Committee of Annuity Insurers
Oct. 17, 2017 Richard Foster, Senior Vice President, Financial Services Roundtable
Oct. 16, 2017 Sharon A. Cheever, Senior Vice President and General Counsel, Pacific Life
Oct. 13, 2017 Gretchen Cepek, Senior Vice President and General Counsel, and Stewart D. Gregg, Senior Counsel, Allianz Life Insurance Company of North America
Oct. 12, 2017 Robert Grohowski, Vice President, Senior Legal Counsel, Legislative, T. Rowe Price
Oct. 11, 2017 Christopher Jones, Executive Vice President of Investment Management and Chief Investment Officer, Financial Engines
Oct. 5, 2017 Monique Morrissey, Ph.D., Economist, and Heidi Shierholz, Economist and Director of Policy; Economic Policy Institute
Oct. 4, 2017 James E. Ballowe, Senior Vice President and Senior Counsel, E*TRADE Financial Corporation
Oct. 3, 2017 Carl Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Sep. 29, 2017 F. William McNabb, Chairman and CEO, The Vanguard Group, Inc.
Sep. 26, 2017 Derek B. Dorn, Managing Director, Regulatory Engagement & Policy, TIAA
Sep. 22, 2017 Americans for Financial Reform
Sep. 20, 2017 David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company
Sep. 15, 2017 Senator Elizabeth Warren, United States Senate
Sep. 14, 2017 Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Sep. 14, 2017 D.M. Safian
Sep. 13, 2017 Catherine A. Flax, CEO, Pefin
Sep. 11, 2017 Ronald P. Bernardi, President & CEO, Bernardi Securities, Inc.
Sep. 11, 2017 Chrisopher A. Iacovella, Chief Executive Officer, Equity Dealers of America
Sep. 7, 2017 Aron Szapiro, Director of Policy Research, Morningstar, Inc.
Sep. 6, 2017 David Certner, Legislative Counsel & Legislative Policy Director, Government Affairs, AARP
Sep. 5, 2017 Senator Elizabeth Warren, United States Senate
Sep. 1, 2017 Timothy E. Keehan, Vice President, Senior Counsel, American Bankers Association
Aug. 31, 2017 Gail C. Bernstein, General Counsel, Investment Adviser Association
Aug. 31, 2017 Deneen L. Donnley, Executive Vice President, Chief Legal Officer Corp, USAA
Aug. 31, 2017 Craig M. Lewis, Madison S. Wigginton Professor of Finance, Vanderbilt University, and Senior Advisor, Patomak Global Partners, LLC
Aug. 25, 2017 James D. Gallagher, Executive Vice President and General Counsel, John Hancock Life Insurance Company (U.S.A.)
Aug. 24, 2017 Anne Sheehan, Chair, SEC Investor Advisory Committee
Aug. 21, 2017 AFL-CIO, AFSCME, Alliance for Retired Americans, et al.
Aug. 21, 2017 Stephen McManus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company
Aug. 19, 2017 Philp Mitzkavich
Aug. 11, 2017 Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments
Aug. 11, 2017 Marnie C. Lambert, President, Public Investors Arbitration Bar Association
Aug. 10, 2017 Theodore K. Nickel, President, et al., National Association of Insurance Commissioners
Aug. 8, 2017 Carol Levenson, Director of Research, Gimme Credit
Aug. 7, 2017 Barbara Novick, Vice Chairman, and Nicole Rosser, Vice President, BlackRock, Inc.
Aug. 7, 2017 Dorothy M. Donohue, Acting General Counsel, Investment Company Institute
Aug. 7, 2017 Craig S. Tyle, Executive Vice President and General Counsel, Franklin Templeton Investments
Aug. 7, 2017 Cody Siebert
Jul. 27, 2017 Mark J. Flannery, BankAmerican Professor of Finance, University of Florida
Jul. 27, 2017 Howard Leicht
Jul. 26, 2017 Joseph D. Crupi
Jul. 26, 2017 John Carr
Jul. 25, 2017 Ronald J. Kruszewski, Chairman & CEO, Stifel, Nicolaus & Co.
Jul. 25, 2017 Paul Gallagher
Jul. 25, 2017 Cara Melbye
Jul. 24, 2017 Lynn Solte
Jul. 24, 2017 Robert Garland
Jul. 23, 2017 Mark Katz
Jul. 23, 2017 Martha Rowe
Jul. 23, 2017 F. Buckley
Jul. 23, 2017 Richard K. LaRiviere
Jul. 23, 2017 Christine Fu
Jul. 22, 2017 Stanley Morytko
Jul. 22, 2017 Michael Fasulo
Jul. 22, 2017 Tamara Lewis
Jul. 22, 2017 Eileen Coffee
Jul. 22, 2017 Naomi Zurcher
Jul. 22, 2017 Anneke Hathaway
Jul. 22, 2017 Donald W. Henderson, Ph.D.
Jul. 22, 2017 Mark Benson
Jul. 22, 2017 Margaret Lange Freud
Jul. 22, 2017 Suzanne Phillips
Jul. 22, 2017 Steve Daniels
Jul. 22, 2017 David Bjorkman
Jul. 22, 2017 Betsy Malpass
Jul. 22, 2017 Drollene Brown
Jul. 22, 2017 Susan Lee
Jul. 21, 2017 David D. Mirabito, Senior Financial Services Executive, Financial Partners of Upstate NY, a member of the MassMutual Financial Group
Jul. 21, 2017 Brian Coppola
Jul. 21, 2017 James Van Looy
Jul. 21, 2017 Edward Thornton
Jul. 21, 2017 Julia Andrzejczak
Jul. 21, 2017 William Muller
Jul. 21, 2017 Mary Pellecchia
Jul. 21, 2017 Alix Keast
Jul. 21, 2017 Michele Longino
Jul. 21, 2017 James Melloh
Jul. 21, 2017 David Cochran
Jul. 21, 2017 Jan Rowe
Jul. 21, 2017 Adele McDaniel
Jul. 21, 2017 Judy Beers
Jul. 21, 2017 Mary Mobley
Jul. 21, 2017 Lisa Williams
Jul. 21, 2017 Al Cohen
Jul. 21, 2017 Robert Chapel
Jul. 21, 2017 Charles Prescott
Jul. 21, 2017 Cheryl Snyder
Jul. 21, 2017 Sonya Baehr
Jul. 21, 2017 Marcia Bailey
Jul. 21, 2017 Josephine Foote
Jul. 21, 2017 Dianne Rocheleau-Malaret
Jul. 21, 2017 Diane Cassidy
Jul. 21, 2017 A. Arias
Jul. 21, 2017 Janice Cragnolin
Jul. 21, 2017 Cleta Booth
Jul. 21, 2017 James Hadstate
Jul. 21, 2017 Constantine Kostianis
Jul. 21, 2017 Nicholas Hogan
Jul. 21, 2017 Kevin O'Neil
Jul. 21, 2017 Barbara Miller
Jul. 21, 2017 Donna Webb
Jul. 21, 2017 Franklin E. Rutledge
Jul. 21, 2017 Judith Fetters
Jul. 21, 2017 Alana Gazetski
Jul. 21, 2017 Susannah Rose
Jul. 21, 2017 Charles Rapport
Jul. 21, 2017 Bonita Knapp
Jul. 21, 2017 Wayne Pipke
Jul. 21, 2017 Vincent Lipert
Jul. 21, 2017 Nancy Tew
Jul. 21, 2017 Christine Maciel
Jul. 21, 2017 Cornelia McMurtrie
Jul. 21, 2017 Peter Poggi
Jul. 21, 2017 Thomas Blazier
Jul. 21, 2017 Mildred Harris
Jul. 21, 2017 John Dalton
Jul. 21, 2017 Loretta Holscher
Jul. 21, 2017 Marilyn Lafreniere
Jul. 21, 2017 Russell Potter
Jul. 21, 2017 Jo Sippie-Gora
Jul. 21, 2017 Stewart Dean
Jul. 21, 2017 Tilo ShimadaBrand
Jul. 21, 2017 Ken Riemer
Jul. 21, 2017 Dan Neal
Jul. 21, 2017 Kimberly Christensen, Professor of Economics, Sarah Lawrence Colleg
Jul. 21, 2017 Ellis Woodward
Jul. 21, 2017 Michael Feinberg
Jul. 21, 2017 Magnus Sjoquist
Jul. 21, 2017 Jean Levaux
Jul. 21, 2017 Larry Imhoff
Jul. 21, 2017 Janet Teresko
Jul. 21, 2017 Spencer Gould
Jul. 21, 2017 Gail Foster
Jul. 21, 2017 Maev Hewitt
Jul. 21, 2017 Joan U. Smeltzer
Jul. 21, 2017 Mary Zins
Jul. 21, 2017 Dennis J. Shepherd
Jul. 21, 2017 Jason Chandler, Group Managing Director, Head of Investment Platforms and Solutions Wealth Management Americas, and Michael Crowl, Group Managing Director, General Counsel, UBS Group Americas and Wealth Management Americas
Jul. 21, 2017 Kevin Carroll, Managing Director and Associate General Counsel, SIFMA
Jul. 20, 2017 Gae Weber
Jul. 20, 2017 Ellen Johnson
Jul. 20, 2017 Shari Compton
Jul. 20, 2017 Nancy Lowell
Jul. 20, 2017 Jeanne Davis
Jul. 20, 2017 Patricia Steen
Jul. 20, 2017 Eileen McCorry
Jul. 20, 2017 Alan Brown
Jul. 20, 2017 Cheryl Varnum-Glenn
Jul. 20, 2017 Michael McGowan
Jul. 20, 2017 Harriet Mathis
Jul. 14, 2017 Robert T. Cassidy
Jul. 13, 2017 Gary Braden
Jul. 13, 2017 Nick Kralj, VP of Retirement Plan Services, BCI Group
Jul. 13, 2017 Stephen A. Kohn, President/CEO, Stephen A. Kohn & Associates, Ltd.
Jul. 13, 2017 James Tollefson
Jul. 12, 2017 Michelle Rand, Chartered Financial Analyst, Cascade Investment Advisors, Inc.
Jul. 10, 2017 B. Pat Treat, Chairman/CEO, Great Nation Investment Corporation
Jul. 10, 2017 Elizabeth Copley
Jul. 7, 2017 Steve Moerdyk, President, Moerdyk Financial, Inc.
Jul. 7, 2017 Dan Pisenti, Whitehall-Parker Securities, Inc.
Jul. 6, 2017 Alexis
Jul. 6, 2017 Michael Kiley, CEO, Kiley Partners, Inc.
Jul. 5, 2017 Nancy T. Barron, President/CEO, Nancy Barron & Associates, Inc.
Jul. 5, 2017 Walter L. Baumgardner, Esq.
Jul. 5, 2017 Fernando Fussa
Jul. 5, 2017 Paul McIntyre, Compliance Officer, MSC-BD, LLC
Jul. 5, 2017 Garry Pierce
Jul. 5, 2017 J. David Coker
Jul. 5, 2017 Kevin Dunnigan
Jul. 2, 2017 Alan Syzdek
Jun. 30, 2017 Jeffrey Anton
Jun. 29, 2017 Kent A. Mason, Davis & Harman LLP
Jun. 23, 2017 Anonymous
Jun. 22, 2017 Scott Wallschlaeger
Jun. 20, 2017 William Collins
Jun. 20, 2017 James V. Bess
Jun. 18, 2017 Robert Ramos
Jun. 17, 2017 John Prugh
Jun. 17, 2017 Richard Sherman
Jun. 17, 2017 Russell Walker
Jun. 17, 2017 Carrie Devorah
Jun. 16, 2017 William J. Hayen
Jun. 14, 2017 David A. Madsen
Jun. 13, 2017 James A. Peck
Jun. 12, 2017 Anonymous
Jun. 12, 2017 David Bach
Jun. 10, 2017 Neil Fitzgerald
Jun. 8, 2017 T. Moloney
Jun. 8, 2017 Edward H. Weyler
Jun. 7, 2017 Mik Hart
Jun. 6, 2017 Carina Plascencia
Jun. 6, 2017 Neal Shikes
Jun. 6, 2017 Joshua Lannik, Teacher
Jun. 5, 2017 Tim W. Rupp, Financial Advisor Edward Jones
Jun. 5, 2017 Robert Shaw
Jun. 5, 2017 Samuel J. Leopardo
Jun. 5, 2017 Dan Keppel, Editor, The Insiders Guides
Jun. 5, 2017 Phillip Hamilton, Stifel Investment Services
Jun. 4, 2017 Jeff
Jun. 3, 2017 Edward L. Campbell
Jun. 3, 2017 Gary Braden
Jun. 2, 2017 Maggie Hewitt
Jun. 2, 2017 Thomas Dillon
Jun. 2, 2017 Mark D. Moss, Staff Scientist – Aircraft Structures, Gulfstream Aerospace Corporation
Jun. 2, 2017 Annie McQuilken, CFP
Jun. 2, 2017 John Signorotti, Investment Adviser Representative
Jun. 2, 2017 Brad Williams, Vice President, Sr. Financial Consultant, BOK Financial Advisors
Jun. 2, 2017 Geoffrey E. Wilwerding, Senior Vice President, Wealth Management, UBS Financial Services Inc.
Jun. 2, 2017 James K. Finster, President, Cyan Insurance Solutions, Inc.
Jun. 2, 2017 J.S.
Jun. 2, 2017 Herbert W. Morgan, Sr. Managing Director, Registered Investment Advisor
Jun. 2, 2017 Warren Kennett
Jun. 2, 2017 Steve Van Scoik
Jun. 1, 2017 Anonymous

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 23, 2017 Memorandum from the Division of Trading and Markets regarding an October 13, 2017, meeting with representatives of the Securities Industry and Financial Markets Association
Jun. 13, 2017 Memorandum from the Office of the Chairman regarding a June 6, 2017, meeting with representatives of the Investment Advisers Association