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 Investment Management regarding an October 4, 2018, meeting with representatives of LPL Financial
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 20, 2018, meeting with representatives of Investments & Wealth Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 26, 2018, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 25, 2018, meeting with representatives of Lincoln Financial Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 26, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 13, 2018, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 17, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of Betterment
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 14, 2018, meeting with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 12, 2018, meeting with Clifford Kirsch and representatives of independent broker-dealers
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Public Comment Sakshee Sunil Sarrawgi
Public Comment C. Frederick Reish
Public Comment Maxine Waters, Ranking Member, Committee on Financial Services, U.S. House of Representatives, et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 10, 2018, meeting with representatives of Institute for Portfolio Alternatives, et al.
Public Comment Diana Shore Joslin
Public Comment Michelle Keating
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO
Public Comment Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 30, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Public Comment Stephanie R. Nicolas, WilmerHale
Public Comment Aron Szapiro, Director of Policy Research, et al., Morningstar, Inc.
Public Comment D. Bruce Johnsen, Professor of Law, Scalia Law School, George Mason University
Public Comment Joseph P. Borg, President, North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity

Last Reviewed or Updated: Dec. 18, 2025

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