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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	Ken Pesnell
Oct. 31, 2023	Public Comment	Levi Schneider
Oct. 31, 2023	Public Comment	Liam Fuller
Oct. 31, 2023	Public Comment	Luis Monroy
Oct. 31, 2023	Public Comment	Luis Naveda
Oct. 31, 2023	Public Comment	Matthew Jenkins
Oct. 31, 2023	Public Comment	Matthew Smith
Oct. 31, 2023	Public Comment	Nathan Daniel Espinosa
Oct. 31, 2023	Public Comment	Paul Crowe
Oct. 31, 2023	Public Comment	Peppi La Montagna
Oct. 31, 2023	Public Comment	Rauf Damarguc
Oct. 31, 2023	Public Comment	RB
Oct. 31, 2023	Public Comment	Robert Leonard
Oct. 31, 2023	Public Comment	Sheela Gustafson
Oct. 31, 2023	Public Comment	Suzanne DeCann
Oct. 31, 2023	Public Comment	Tatto Hosking
Oct. 31, 2023	Public Comment	Thomas Joseph
Oct. 31, 2023	Public Comment	Thomas Joseph
Oct. 31, 2023	Public Comment	Timothy Mullins
Oct. 31, 2023	Public Comment	Trevor Yates
Oct. 31, 2023	Public Comment	Vincent Dermatoian
Oct. 31, 2023	Public Comment	Yana Volk
Oct. 30, 2023	Public Comment	A. H.
Oct. 30, 2023	Public Comment	Alexander Andersson
Oct. 30, 2023	Public Comment	Alexandre
Oct. 30, 2023	Public Comment	Amin Nazarian
Oct. 30, 2023	Public Comment	Andy
Oct. 30, 2023	Public Comment	Angel Maria
Oct. 30, 2023	Public Comment	Anke
Oct. 30, 2023	Public Comment	Anna C.

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-04-23

Release Number

IA-6240

How to submit comments