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

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Date Received
Date Letter Type Commenter Name
Public Comment Anonymous, Private Investor
Public Comment Deborah Prutzman, CEO, The Regulatory Fundamentals Group LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 2, 2022 meeting with representatives from Goldman Sachs Asset Management
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 2, 2022 meeting with representatives from TIAA-CREF and Nuveen
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 29, 2022 videoconference with representatives of the Regulatory Fundamentals Group, LLC
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 Office of Commissioner Mark T. Uyeda regarding a November 21, 2022 Meeting with Representatives of Small Business Investor Alliance
Public Comment Cameron
Meeting with SEC Officials Memorandum from the Office Commissioner Jaime Lizárraga regarding a Nov. 8, 2022 meeting with Managed Funds Association
Public Comment U.S. Senator Thom Tillis
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 1, 2022 videoconference with representatives of the CFA Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 1, 2022 meeting with representatives of the American Investment Council
Public Comment New York City Bar Association's Compliance Committee
Public Comment Steven Scott, Retired
Public Comment Crypto_Lucy
Public Comment crypto_lucy
Public Comment Eric Marsh, business owner
Public Comment James
Public Comment Joe Hernandez
Public Comment Joseph Krugel
Public Comment Silence Dogood
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 28, 2022 meeting with representatives of the Managed Fund Association
Public Comment NRS, a ComplySci Company, National Regulatory Services
Public Comment Taj Reilly
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an August 18, 2022 meeting with William Clayton
Public Comment Attorneys General of the states of Montana, Louisiana, Alabama, Mississippi, Alaska, Ohio, Arizona, Oklahoma, Arkansas, South Carolina, Georgia, South Dakota, Indiana, Texas, Kansas, Utah, Kentucky, and West Virginia
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 19, 2022 videoconference with representatives of PricewaterhouseCoopers
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 19, 2022 meeting with representatives of the Investment Advisers Association
Public Comment Alex Hanson-Michelson
Public Comment Hal S. Scott, President, Committee on Capital Markets Regulation

Last Reviewed or Updated: Dec. 18, 2025

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