Part 248 - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information

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Comment
A: 328

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials 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.
Public Comment Edward Murray, RR, IAR, ChFC, Investors Capital Corp., Everett, Massachusetts
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 23, 2008, meeting with representatives of the Financial Services Institute
Meeting with SEC Officials Memorandum regarding a July 25, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and JPMorgan Asset Management
Public Comment Douglas K Hollen
Public Comment Keith Gregg, President and CEO and Donna B. Lawson, Chief Compliance Officer, First Allied Securities, Inc., San Diego, California
Public Comment Robert A. Muh, CEO, Sutter Securities Incorporated, San Francisco, California
Public Comment Walter T. Bonin, CFP, CLU, Marlborough, Massachusetts
Public Comment Sarah Miller, General Counsel, ABA Securities Association
Public Comment Ben Bramer, Chief Compliance Officer, M Holdings Securities, Inc.
Public Comment Joan Hinchman, National Society of Compliance Professionals (NSCP), Cornwall Bridge, Connecticut
Public Comment Richard H. Baker, President and Chief Executive Officer, Managed Fund Association
Public Comment Roger C. Ochs, President, H.D. Vest Financial Services, Irving, Texas
Public Comment David Engler
Public Comment James J. Angel, Ph.D., CFA, Georgetown University, McDonough School of Business
Public Comment Faisal Danka, Esq., MBA, CISA, CISM, CISSP, PRINCE2, CPM, Post Grad in Finance - Harvard University, United Kingdom
Public Comment Alan E. Sorcher, Managing Director and Associate General Counsel, SIFMA
Public Comment Becky Nilsen, Chief Executive Officer, Desert Schools Federal Credit Union
Public Comment Bill F. Sims, CPA, President and Executive Representative, Brazos Securities, Inc.
Public Comment Bill Lowell
Public Comment Brendan Daly, Compliance Manager, Commonwealth Financial Network
Public Comment Bruce Moldovan, General Counsel, NEXT Financial Group, Inc.
Public Comment Campbell Tucker, Director of the Privacy Office, Wachovia Corporation
Public Comment Chet B. Helck, President, Raymond James Financial, Inc.
Public Comment Christopher P. Gilkerson, Senior Vice President, Deputy General Counsel, Charles Schwab & Co., Inc.
Public Comment Colon Brown, President, Brown & Brown Securities, Inc.
Public Comment Dale E. Brown, President & CEO, Financial Services Institute
Public Comment Daniel J. Barry, Director of Government Relations, Financial Planning Association
Public Comment Daniel W. Roberts, FINRA Small Firms Advisory Board
Public Comment David Oesheicher, Chief Legal Counsel and Karen Nash-Goetz, Associate Legal Counsel, T. Rowe Price

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-08
Release Number
34-57427
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