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

Comments have been received from individuals and entities using a variety of Letter Types:


Comment
A: 1,381
B: 2,884

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Date Sort descending	Letter Type	Commenter Name
July 19, 2018	Public Comment	Karen Telleen-Lawton, CFP, Principal, Decisive Path Fee-only Financial Advisory
July 15, 2018	Public Comment	Anita Schnee, Attorney
April 23, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 12, 2018, meeting with representatives of Massachusetts Mutual Life Insurance Company
April 23, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 5, 2018, meeting with representatives of the Institute for the Fiduciary Standard
April 23, 2018	Public Comment	Robert Botkin, 2018 JD Candidate, Wake Forest University School of Law
April 10, 2018	Public Comment	Matthew Bodziak, Law Student, Georgetown University
April 6, 2018	Public Comment	James Allen, Head, Capital Markets Policy, CFA Institute Advocacy
April 5, 2018	Meeting with SEC Officials	Memorandum from the Office of the Investor Advocate regarding an April 5, 2018, meeting with representatives of the Institute for the Fiduciary Standard
March 31, 2018	Public Comment	Jared Lytton
March 28, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a October 25, 2017, meeting with representatives of Charles Schwab
March 19, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 16, 2018, meeting with a representative of the CFA Institute
March 14, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a December 13, 2017, meeting with representatives of the North American Securities Administrators Association (NASAA)
March 14, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a December 5, 2017, meeting with representatives of the CFP Board
March 14, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a February 12, 2018, meeting with representatives of the CFA Institute
March 14, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a February 28, 2018, meeting with representatives of the Institute for the Fiduciary Standard
March 14, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a March 1, 2018, meeting with representatives of the Investment Adviser Association (IAA)
March 14, 2018	Meeting with SEC Officials	Memorandum from the Office of Commissioner Kara M. Stein regarding a November 2, 2017, meeting with representatives of the Consumer Federation of America (CFA)
March 13, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 13, 2018, meeting with representatives of Fidelity Investments
March 12, 2018	Public Comment	Timothy D. Armour, Chairman and CEO, The Capital Group Companies, Inc., and Paul F. Roye, Senior Vice President, Capital Research and Management Company
March 8, 2018	Public Comment	Joseph M. Torsella, Pennsylvania State Treasurer, et al.
March 8, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a February 13, 2018, meeting with representatives of Financial Services Institute
March 8, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a February 8, 2018, meeting with representatives of the Securities Industry and Financial Markets Association
Feb. 22, 2018	Public Comment	Michelle B. Oroschakoff, Managing Director, Chief Legal and Risk Officer, LPL Financial LLC
Feb. 21, 2018	Public Comment	Knut A. Rostad, President, Institute for the Fiduciary Standard
Feb. 15, 2018	Public Comment	Anthony Cheroso, President & CEO, Investment Program Association
Feb. 12, 2018	Public Comment	Melanie L. Fein, Esquire, Fein Law Offices
Feb. 5, 2018	Public Comment	Paul C. Reilly, Chairman and CEO, Raymond James Financial
Feb. 5, 2018	Public Comment	Paul Schott Stevens, President and CEO, Investment Company Institute
Feb. 5, 2018	Public Comment	William Michael Cunningham, Creative Investment Research
Jan. 30, 2018	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a January 25, 2018, meeting with representatives of Edward Jones

Last Reviewed or Updated: Dec. 18, 2025

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