Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

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

Filter comments


Date Sort descending	Letter Type	Commenter Name
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Anonymous
Oct. 31, 2023	Public Comment	Barry DeLassus
Oct. 31, 2023	Public Comment	Candice Stone
Oct. 31, 2023	Public Comment	Casey Flores
Oct. 31, 2023	Public Comment	Chris Corrao
Oct. 31, 2023	Public Comment	Colin Goedegebuure
Oct. 31, 2023	Public Comment	Daniel Manko
Oct. 31, 2023	Public Comment	Daniel McHugh
Oct. 31, 2023	Public Comment	David Solaris
Oct. 31, 2023	Public Comment	Dwight Redd
Oct. 31, 2023	Public Comment	Elizabeth Miller
Oct. 31, 2023	Public Comment	Elizabeth Miller
Oct. 31, 2023	Public Comment	Fred B. Primore
Oct. 31, 2023	Public Comment	Gary Fisk
Oct. 31, 2023	Public Comment	James Smith
Oct. 31, 2023	Public Comment	Jan Michiels
Oct. 31, 2023	Public Comment	Jarek Dabrowski
Oct. 31, 2023	Public Comment	Jeremy Burrow
Oct. 31, 2023	Public Comment	Jeremy Smith
Oct. 31, 2023	Public Comment	Jibril S D
Oct. 31, 2023	Public Comment	John Jackson
Oct. 31, 2023	Public Comment	Juan Gonzalez
Oct. 31, 2023	Public Comment	Justice Alan Wilson

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-04-23

Release Number

IA-6240

How to submit comments