Safeguarding Advisory Client Assets

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
A: 2
B: 2
C: 2

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Date Received
Date Letter Type Commenter Name
Public Comment Kyunghoon Lee, Ph. D., Independent Policy Researcher (Digital Asset Governance Research)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester Peirce regarding an April 17, 2025 meeting with representatives of JP Morgan
Meeting with SEC Officials Memorandum from the Crypto Task Force Staff regarding a February 4, 2025 meeting with representatives of the Blockchain Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 12, 2024 videoconference with representatives of the Investment Adviser Association ("IAA")
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 18, 2024, meeting and videoconference with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Division of Office Management regarding an August 22, 2024 videoconference with representatives and members of INREV
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")
Public Comment Marisa Coppel, Head of Legal and Laura Sanders, Policy Counsel, Blockchain Association
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a May 23, 2024 meeting with State Street Global Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 23, 2024 meeting with representatives of the State Street Global Advisors (SSGA)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 22, 2024 meeting with representatives of State Street Global Advisors (SSGA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 22, 2024 meeting with State Street Global Advisors (SSGA)
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a May 8, 2024 meeting with Bank Policy Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 16, 2024 meeting with representatives of the European Banking Federation (EBF)
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 16, 2024 meeting with European Banking Federation (EBF)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 14, 2024 meeting with representatives of LSTA
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 2, 2024 meeting with the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an April 18, 2024 meeting with BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 17, 2024 meeting with SIFMA AMG
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 5, 2024 videoconference with representatives of JPM
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2024 meeting with Dalton State College Students
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 21, 2024 meeting with representatives of BNY Mellon
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 21, 2024 meeting with representatives of the Real Estate Roundtable
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a March 21, 2024 meeting with Alternative Credit Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 11, 2024 meeting with representatives SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2024 meeting with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 28, 2024 videoconference with representatives of the Real Estate Roundtable
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 27, 2024 meeting with representatives of Paradigm Operations LP ("Paradigm")
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 28, 2024 meeting with representatives and members of the Real Estate Roundtable

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-04-23
Release Number
IA-6240
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