Comments on Investment Company Reporting Modernization

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

Comment
A: 7
B: 234
C: 57
D: 93
E: 43

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding a June 4, 2018, discussion with representatives of Broadridge
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 29, 2018, discussion with representatives of the CFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a June 4, 2018, meeting with a representative of the Consumer Federation of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester Pierce regarding a May 21, 2018, meeting with representatives of Consumer Action, et al.
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 8, 2018, meeting with representatives of Fidelity Investments, et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester Peirce regarding a May 8, 2018, meeting with representatives of the Investment Company Institute, et al.
Public Comment Paul F. Roye, Senior Vice President, and Timothy W. McHale, Vice President and Senior Counsel; Capital Research and Management Company
Meeting with SEC Officials Memorandum from the Office of Chairman Clayton regarding a March 26, 2018, meeting with representatives of Broadridge Financial Solutions, Inc. ("Broadridge")
Public Comment Edward C. Bernard, Vice Chairman, T. Rowe Price Group, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 4, 2018, meeting with representatives of Broadridge Financial Solutions, Inc. and Hughes Hubbard & Reed LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a February 27, 2018, meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an October 26, 2017, meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 26, 2018, meeting with representatives of the Investment Company Institute
Public Comment Ned C. Lautenbach, Chairman, Independent Trustees, Fidelity Equity and High Income Funds
Public Comment Linda Sherry, Director, National Priorities, Consumer Action, and Sally Greenberg, Executive Director, National Consumers League
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a November 8, 2017, meeting with representatives of Fidelity Investments
Public Comment Charles F. Pohl, Chairman and Chief Investment Officer, Dodge and Cox
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 25, 2017, meeting with representatives of U.S. Investor Communication Solutions, Broadridge Financial Solutions, Inc., Hubbard & Reed LLP, and Davis Polk & Wardwell LLP
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a July 6, 2017, meeting with representatives of Broadridge Financial Solutions, Inc.
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a June 12, 2017, meeting with representatives of Broadridge Financial Solutions, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 8, 2017, meeting with representatives of the Investment Company Institute
Public Comment Ned C. Lautenbach, Chairman, Independent Trustees, Fidelity Equity and High Income Funds
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an April 3, 2017, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a February 22, 2017, meeting with representatives of Broadridge Financial Solutions, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 8, 2016, meeting with Congressman Bruce Poliquin
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a December 7, 2016, meeting with representatives of Broadridge
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 16, 2016, meeting with representatives of Stone Ridge Asset Management LLC
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 9, 2016, meeting with representatives of the Financial Services Roundtable

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-08-15
Release Number
33-9776
34-75002
IC-31610
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