Comments on Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 1, 2023 meeting with representatives of Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 14, 2022 meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 21, 2022 meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a June 14, 2022 meeting with Investment Adviser Association's (“IAA”) Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a June 6, 2023 meeting with Investment Adviser Association's (“IAA”) Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 23, 2022 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an August 1, 2023 meeting with representatives of the Managed Funds Association
Public Comment Anonymous
Public Comment Lynn Turner
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 15, 2023 meeting with a representative of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding an August 4, 2023 virtual meeting with Labor Organizations
Public Comment Rebekah Goshorn Jurata, General Counsel, American Investment Council
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a July 24, 2023 virtual meeting with National Association of Insurance Commissioners
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an August 3, 2023 virtual meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 25, 2023 meeting with Better Markets
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of the Capital Group
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 21, 2023, meeting with representatives of the the California Alternative Investments Association
Public Comment Bill Huizenga, Chairman, Subcommittee on Oversight and Investigations, House Financial Services Committee and Steve Womack, Chairman, Subcommittee on Financial Services and General Government House Appropriations Committee
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 9, 2023 meeting with representatives of Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 11, 2023 meeting with Two Sigma
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 21, 2023 meeting with representatives of Houlihan Lokey
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 22, 2023 meeting with Andreesen Horowitz (a16z)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 19, 2023 conference on Emerging Trends in Asset Management
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 6, 2023 meeting with representatives from the Americans for Financial Reform
Public Comment Committee on Capital Markets Regulation
Public Comment United States Senators Sherrod Brown, Jack Reed, Tina Smith, Sheldon Whitehouse, Richard J. Durbin, Elizabeth Warren, Ron Wyden, and Tammy Baldwin
Public Comment Anonymous
Public Comment Americans for Financial Reform Education Fund, AFL-CIO, American Federation of Teachers, Center for Economic and Policy Research, Communications Workers of America, Consumer Federation of America, Interfaith Center on Corporate Responsibility, National Education Association, National Employment Law Project, Professor Laura K. Olson, Lehigh University, Public Citizen, Private Equity Stakeholder Project, and SOC Investment Group
Public Comment United States Representative Steven Horsford

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-03-22
Release Number
IA-5955
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