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 S. Williams, Individual Investor
Public Comment Ivan Toledo
Public Comment Evan Cohen, Investor
Public Comment Robert Chester Woolfolk III

Last Reviewed or Updated: Dec. 18, 2025

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