Comments on Proposed Rule: Regulation Best Interest

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 2,114
B: 251
C: 129
D: 1,121
E: 51
F: 11
G: 95
H: 11

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 21, 2019, meeting with Chester Spratt and Mark Flannery
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute (ICI)
Public Comment Bruce Sanders, The Investor Justice & Education Clinic, Howard University School of Law
Public Comment James Sonne, Assistant Vice President, Federal Government Relations, Mass Mutual
Public Comment Michael Pieciak, President, North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 13, 2019, phone meeting with former SEC Chief Economist, Craig Lewis
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 12, 2019, meeting with representatives of AARP
Public Comment David Schwartz, President & CEO, Florida International Bankers Association
Public Comment Charles Cox, Former SEC Chief Economist, et al.
Public Comment Eric R. Dinallo, EVP, General Counsel, Guardian Life
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a January 8, 2019, meeting with representatives of Charles Schwab
Public Comment Michelle B. Oroschakoff, Chief Legal Officer, LPL Financial LLC
Public Comment Mark F. Halloran, VP Managing Director, Business Development, Transamerica
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 12, 2018, telephone meeting with representatives of Florida International Bankers Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 14, 2018, meeting with representatives of Edward Jones
Public Comment Brian H. Graff, Executive Director/CEO, et al., American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 12, 2018, meeting with representatives of the Columbus Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a December 10, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 10, 2018, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) and SIFMA Member Firms
Public Comment AARP and the Certified Financial Planner Board of Standards, Inc.
Public Comment AFL-CIO, et al.
Public Comment Christine Lazaro, President, Public Investors Arbitration Bar Association (PIABA)
Public Comment Robin Traxler, Senior Vice President, Policy Deputy General Couns, Financial Services Institute
Public Comment Knut A. Rostad, President, Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 13, 2018, meeting with representatives of Morgan, Lewis & Bockius LLP
Public Comment Ron A. Rhoades, Assistant Professor, Finance, Western Kentucky University
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 30, 2018, meeting with representatives of Jackson National, et al.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-07-18
Release Number
34-83062
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