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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 22, 2022 meeting with representatives of Alpha Wealth Strategies, et al.
Public Comment Susan M. Olson, General Counsel, Investment Company Institute
Public Comment Jennifer Szaro, Chief Compliance Officer, XML Financial Group
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 24, 2022, videoconference with representatives of the Investment Company Institute
Public Comment Pickard Djinis and Pisarri LLP
Public Comment United States Senators Jack Reed, Mark R. Warner, Catherine Cortez Masto, Kevin Cramer, Susan M. Collins, Angus S. King, Jr., and Ron Wyden
Public Comment Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors LP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 20, 2022 videoconference with representatives of Axio and Venn Strategies
Public Comment Sigal Lewkowicz, Interim Chief Compliance Officer, ICE Data Pricing & Reference Data, LLC
Public Comment Howard Poston
Public Comment Schulte Roth Zabel LLP
Public Comment American Investment Council
Public Comment Brian Barnier
Public Comment Campbell Pryde, President and CEO, XRBL US
Public Comment Christopher Feeney, EVP and President, BITS, Bank Policy Institute
Public Comment David B. Smith, Jr., General Counsel, Mutual Fund Directors Forum
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Emily C. Micale, Director, Federal Regulatory Affairs and John B. Jennings Assistant Director, Government Affairs, Insured Retirement Institute, IRI
Public Comment Eversheds Sutherland LLP on behalf of Committee of Annuity Insurers
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Public Comment James H. Freis, Jr., Co-Founder & Chairman, and Mark Stetler, Co-Founder & CEO, Crindata LLC
Public Comment Jason Elmer, Chief Executive Officer, and Simon Eyre, Chief Information Security Officer, Drawbridge Partners, LLC
Public Comment Jennifer W. Han, Managed Funds Association
Public Comment Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Public Comment Melanie Senter Lubin, NASAA President, North American Securities Administrators Association
Public Comment Melissa MacGregor, Managing Director & Associate General Counsel and Lindsey Keljo, Head & Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment NRS, a ComplySci Company
Public Comment Patrick C. Reeder, Deputy General Counsel and David Leifer, Senior Associate General Counsel, American Council of Life Insurers (ACLI)
Public Comment Patrick T. Campbell, Chair, New York City Bar Association Committee on Compliance, and Michael S. Hong, Chair, Committee on Private Investment Funds, and John Fitzgerald, Chair, Committee on Investment Management Regulation
Public Comment Peter J. Germain, Chief Legal Officer, Federated Hermes, Inc.

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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