Comments on Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

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

Comment
(4-811 form letter A; S7-04-22 form letter A; S7-04-23 form letter D; S7-05-23 form letter B; S7-25-22 form letter B): 85

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Date Received
Date Letter Type Commenter Name
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Public Comment American Investment Council; Managed Funds Association; Alternative Investment Management Association; National Venture Capital Association; Loan Syndications and Trading Association; and National Association Private Fund Managers
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 4, 2024 meeting with representatives and members of the Investment Adviser Association ("IAA")
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors
Public Comment Drew Bagley CIPP/E, VP & Counsel, Privacy and Cyber Policy, and Elizabeth Guillot, Manager, Public Policy, CrowdStrike
Public Comment Jennifer Wood, Managing Director, Global Head of Asset Management Regulation & Sound Practices, Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2024 meeting with representatives of Cole-Frieman & Mallon
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 22, 2024 meeting with MFA
Public Comment Howie
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 1, 2023 meeting with representatives of Investment Adviser Association
Public Comment Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute
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
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 January 12, 2023, virtual meeting with representatives of the Investment Advisers Association (IAA) and Certain Investment Advisers
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of the Capital Group
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Public Comment Gail C. Bernstein, General Counsel, and Sanjay Lamba, Associate General Counsel, Investment Adviser Association
Public Comment Julie Newman
Public Comment Susan M. Olson, General Counsel, Investment Company Institute
Public Comment Denyette DePierro, US Financial Services Lead, AWS Public Policy
Public Comment Seth A. Miller, President Advocacy & Administration, General Counsel, Cambridge Investment Research Advisors, Inc.
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a May 17, 2023 meeting with the Managed Funds Association
Public Comment Michael Cocanower, CEO, AdviserCyber
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association
Public Comment Chanda Brady, Associate Director and Cybersecurity Working Group Lead, ACLI
Public Comment Christopher Feeney, EVP and President, BITS, Bank Policy Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-04-22
Release Number
33-11028
34-94197
IA-5956
IC-34497
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