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Part 248 - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
[Release No. 34-57427; File No. S7-06-08]
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| Comments have been received from individuals and entities using the following Letter Type A: 328 |
| Oct. 27, 2008 | Memorandum from the Office of Commissioner Aguilar regarding an October 27, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and J.P. Morgan Asset Management, Inc. |
| Oct. 21, 2008 | Edward Murray, RR, IAR, ChFC, Investors Capital Corp., Everett, Massachusetts |
| Aug. 12, 2008 | Memorandum from the Division of Trading and Markets regarding a July 23, 2008, meeting with representatives of the Financial Services Institute |
| Aug. 7, 2008 | Memorandum regarding a July 25, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and JPMorgan Asset Management |
| Jul. 21, 2008 | Douglas K Hollen |
| May 27, 2008 | Walter T. Bonin, CFP, CLU, Marlborough, Massachusetts |
| May 27, 2008 | Robert A. Muh, CEO, Sutter Securities Incorporated, San Francisco, California |
| May 27, 2008 | Keith Gregg, President and CEO and Donna B. Lawson, Chief Compliance Officer, First Allied Securities, Inc., San Diego, California |
| May 22, 2008 | Sarah Miller, General Counsel, ABA Securities Association |
| May 19, 2008 | Joan Hinchman, National Society of Compliance Professionals (NSCP), Cornwall Bridge, Connecticut |
| May 19, 2008 | Ben Bramer, Chief Compliance Officer, M Holdings Securities, Inc. |
| May 16, 2008 | Roger C. Ochs, President, H.D. Vest Financial Services, Irving, Texas |
| May 16, 2008 | Richard H. Baker, President and Chief Executive Officer, Managed Fund Association |
| May 15, 2008 | David Engler |
| May 15, 2008 | James J. Angel, Ph.D., CFA, Georgetown University, McDonough School of Business |
| May 13, 2008 | Faisal Danka, Esq., MBA, CISA, CISM, CISSP, PRINCE2, CPM, Post Grad in Finance - Harvard University, United Kingdom |
| May 12, 2008 | Becky Nilsen, Chief Executive Officer, Desert Schools Federal Credit Union |
| May 12, 2008 | Colon Brown, President, Brown & Brown Securities, Inc. |
| May 12, 2008 | David Oesheicher,
Chief Legal Counsel and Karen Nash-Goetz, Associate Legal Counsel, T. Rowe Price |
| May 12, 2008 | Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc. |
| May 12, 2008 | Memorandum from the Division of Investment Management regarding an April 30, 2008, meeting with representatives of the National Association for Information Destruction, Inc. |
| May 12, 2008 | James Rabenstine, Vice President, Broker Dealer Operations, Nationwide Financial, Columbus, Ohio |
| May 12, 2008 | Noah Sorkin, Esq., Senior Vice President & General Counsel, Royal Alliance, on behalf of AIG Advisor Group, Inc. |
| May 12, 2008 | Bill Lowell |
| May 12, 2008 | Scott Mecham, CEO and Kimberly (Dini) Harris, President/CCO, Sawtooth Securities, LLC |
| May 12, 2008 | Karen L. Barr, General Counsel, Investment Adviser Association |
| May 12, 2008 | Roberta Meyer, Vice President & Associate General Counsel, American Council of Life Insurers, Washington, District of Columbia |
| May 12, 2008 | Deborah M. Castiglioni, CEO, Cutter & Company, Inc. |
| May 12, 2008 | Michael Shaw, Esq., ChFC, CLU, CRCP, Managing Director, Public Policy & Legal, Certified Financial Planner Board of Standards |
| May 12, 2008 | Randy O'Connor, Chief Executive Officer, M Holdings Securities, Inc. |
| May 12, 2008 | Mari J. Buechner, President & CEO, CCS |
| May 12, 2008 | James E. Nelson, Redwood Falls, Minnesota |
| May 12, 2008 | Tim Phillips, CEO, Phillips & Company |
| May 12, 2008 | Chet B. Helck, President, Raymond James Financial, Inc. |
| May 12, 2008 | Mark E. Czuchry, JD, Chief Compliance Officer, Askar Corp./Securities Broker Dealer; Member FINRA/SIPC, Askar Advisors Group, Inc./Registered Investment Adviser |
| May 12, 2008 | Bruce Moldovan, General Counsel, NEXT Financial Group, Inc. |
| May 12, 2008 | Donald M. Rembert,
President and Knut A. Rostad, Chief Compliance Officer, Rembert Pendleton Jackson |
| May 12, 2008 | Daniel J. Barry, Director of Government Relations, Financial Planning Association |
| May 12, 2008 | Dale E. Brown, President & CEO, Financial Services Institute |
| May 12, 2008 | John E. Gebauer, Jr., President, National Regulatory Services |
| May 12, 2008 | Christopher P. Gilkerson, Senior Vice President, Deputy General Counsel, Charles Schwab & Co., Inc. |
| May 12, 2008 | Brendan Daly, Compliance Manager, Commonwealth Financial Network |
| May 12, 2008 | Leigh Williams,
President, BITS and Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable |
| May 12, 2008 | Frank M. Moore, ARMA International |
| May 12, 2008 | Michael Isaac, CChief Compliance Officer, J. P. Turner & Company, L.L.C |
| May 12, 2008 | Leslie D. Smith, General Counsel, Berthel Fisher & Company Financial Services |
| May 12, 2008 | Daniel W. Roberts, FINRA Small Firms Advisory Board |
| May 12, 2008 | Krista S. Zipfel, CFA, President & CEO, Advisor Solutions Group, Inc. |
| May 12, 2008 | James A. Tricarico, Jr., General Counsel, Edward Jones |
| May 12, 2008 | Douglas W. Schriner, President, Harrison Douglas, Inc. |
| May 12, 2008 | Peter L. McCorkell, Senior Company Counsel, Wells Fargo & Company |
| May 12, 2008 | Alan E. Sorcher, Managing Director and Associate General Counsel, SIFMA |
| May 12, 2008 | Marcia E. Asquith, Senior Vice President and Corporate Secretary, FINRA |
| May 12, 2008 | Wachtell, Lipton, Rosen & Katz on behalf of UBS Financial Services Inc., Citigroup
Global Markets Inc. (Smith Barney), Merrill Lynch, Pierce, Fenner & Smith Incorporated,
Wachovia Securities LLC, Wachovia Securities Financial Network, LLC and Morgan Stanley &
Co. Incorporated |
| May 12, 2008 | William C. Mulligan, Chair and Member of the Board of Managers, Altemative Investments Compliance Association |
| May 12, 2008 | Campbell Tucker, Director of the Privacy Office, Wachovia Corporation |
| May 12, 2008 | Patrice R. DeGray, Registered Representative, Accountant and Tax Preparer, Grasston, Minnesota |
| May 12, 2008 | Pamela S. Fritz, CSCP, CCO, MWA Financial Services, Inc. |
| May 12, 2008 | James Livingston, President/CEO, National Planning Holdings, Inc. |
| May 12, 2008 | Martin (Jay) J. McHale Jr., President, US Equity Services, Computershare |
| May 12, 2008 | Patrick J. Cloutier, AAMS CRPC |
| May 12, 2008 | Bill F. Sims, CPA, President and Executive Representative, Brazos Securities, Inc. |
| May 12, 2008 | Tom Davis, President, National Association of Credit Union Services
Organizations and Guy A. Messick, General Counsel, National Association of Credit Union Services
Organizations |
| May 12, 2008 | Lisa Roth, National Association of Independent Broker-Dealers, San Diego, California |
| May 11, 2008 | Steven French, CFP, President, MemberMap LLC, Cincinnati, Ohio |
| May 9, 2008 | Douglas K. Knisely, Certified Protection Professional (CPP), Woolrich, Pennsylvania |
| May 9, 2008 | Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey |
| May 9, 2008 | Julius L. Loeser, Chief Regulatory and Compliance Counsel, Comerica Tower at Detroit Center, Corporate Legal Department |
| May 8, 2008 | Melisa D. Lindsay,
Financial Advisor, OSJ Supervising Principal, CFS, SFS Division Manager |
| May 8, 2008 | Stephen A. Batman, President and CEO, 1st Global |
| May 8, 2008 | Douglas Wicks,
Vice President, Investments |
| May 8, 2008 | Robert J. Stracks, Counsel, Griffin, Kubik, Stephens Thompson, Inc., Chicago, Illinois |
| May 7, 2008 | Alfred Rashid |
| May 7, 2008 | Thomas L. Mangan, Senior Vice President/ Chief Compliance Officer, James Investment Research, Inc. |
| May 7, 2008 | Alfred Rashid |
| May 7, 2008 | Michael T. Prior, President/CEO, Credit Union Financial Network |
| May 7, 2008 | Z. Jane Riley, CCO, The Leaders Group, Inc., Littleton, Colorado |
| May 7, 2008 | Carolyn R. May, Chief Compliance Officer, Simmons First Investment Group, Inc., Little Rock, Arkansas |
| May 7, 2008 | Tommy Padgett, Dasher & Padgett Financial Advisors, Inc. |
| May 6, 2008 | Nancy Kay, Chief Compliance Officer, Wall Street Financial Group, Inc. |
| May 6, 2008 | Daniel A. Murphy, VP, Chief Compliance Officer, PlanMember Securities Corporation |
| May 2, 2008 | Tamara K. Salmon,
Senior Associate Counsel, Investment Company Institute |
| May 1, 2008 | Frank C. Dealy,
Executive Advisors, Inc. |
| May 1, 2008 | James W. Millegan, CEO, Lake Oswego, Oregon |
| Apr. 30, 2008 | Joan Hinchman,
Executive Director, President and CEO, National Society of Compliance Professionals |
| Apr. 23, 2008 | Alyssa Hinshaw, Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. |
| Apr. 18, 2008 | Robert Johnson, Executive Director, National Assn. for Information Destruction, Inc., Phoenix, Arizona |
| Apr. 17, 2008 | Julian L. Afonso, Compliance Supervisor, Miami, Louisiana |
| Apr. 16, 2008 | John S. Miller, CEO, Colonnade Securities LLC, Chicago, Illinois |
| Apr. 16, 2008 | David D. McNally, McNally Financial Services Corporation, San Antonio, Texas |
| Apr. 14, 2008 | Memorandum from the Division of Trading and Markets regarding an April 10, 2008, meeting with representatives of Financial Services Institute |
| Apr. 11, 2008 | John R. Austin, CFP, Registered Principal and Registered Investment Adviser Representative |
| Apr. 9, 2008 | Al Lopez, CFP, CLU, Metairie, Louisiana |
| Apr. 9, 2008 | Siri Atma S. Khalsa, MBA, CFP, Financial Network Investment Corporation |
| Apr. 9, 2008 | Shawn Brickler, Brickler Wealth Management, Inc., Centerville, Ohio |
| Apr. 9, 2008 | Mark Wiegenstein, Registered Principal, Raymond James Financial Services, Mesa, Arizona |
| Apr. 9, 2008 | T. Robert Talbot, Talbot Wright LLC, Pocatello, Idaho |
| Apr. 8, 2008 | Joseph Russo, CEO, Advantage Financial Group |
| Apr. 8, 2008 | Donald J. Clarke, CFP®, Arlen Corporation |
| Mar. 19, 2008 | Lawrence A. Pingree, Pleasanton, California |
| Mar. 13, 2008 | Richard J. Carlesco, Jr, CEO, IBN Financial Services, Inc., Liverpool, New York |
| Mar. 6, 2008 |
Stephen W. Richman |
http://www.sec.gov/comments/s7-06-08/s70608.shtml
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