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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 18, 2023 meeting with Alternative Investment Management Association
Public Comment Michael S. Hong, Chair, Private Investment Funds Committee, Patrick Campbell, Chair and Adam Felsentahl, Chair, Compliance Committee, New York City Bar Association Committee on Private Investment Funds and Committee on Compliance
Public Comment Steve Larsen, CPA, CDAA, Columbia Advisory Partners
Public Comment Ashley King
Public Comment Charli Gregory
Public Comment Andrew Vollmer, Senior Affiliated Scholar, Mercatus Center at George Mason University
Public Comment Lucy Crandell
Public Comment Michael Weirich
Meeting with SEC Officials Memorandum from the Office of the Division of Corporation Finance, the Office of the Chief Accountant, and the Division of Economic and Risk Analysis regarding a March 27, 2023 videoconference with representatives of the State Street Bank and Trust Company
Public Comment Curtis
Meeting with SEC Officials Memorandum from the Office of Commissioner Peirce regarding a March 23, 2023 meeting with representatives of Loan Syndications and Trading Association
Public Comment Ken's Bane
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a March 17, 2023 meeting with BNY Mellon
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 15, 2023 meeting with representatives from BNY Mellon
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 14, 2023 meeting with members of the ICI Executive Committee and ICI staff representatives
Public Comment Anonymous
Public Comment Curtis A. McLane, CEO
Public Comment Denis, HR Manager
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 10, 2023 meeting with Turnqey Labs.
Public Comment Jamahri Johnson
Public Comment Dennis L. Markway, CEO
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 8, 2023 meeting with representatives of BitGo
Public Comment Elliot Ganz, Head of Advocacy, Co-Head of Public Policy, LSTA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 7, 2023 meeting with representatives of the City of London Corporation
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a March 6, 2023 meeting with Independent Community Bankers of America
Public Comment Curtis Higgins, Household Investor
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 2, 2023 videoconference with representatives of the Bank of New York Mellon
Public Comment Tony
Public Comment Chris Carrington

Last Reviewed or Updated: Dec. 18, 2025

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