Comments on Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles

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

Comment
A: 9
B: 101
C: 11
D: 90

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 9, 2019, meeting with representatives of the American Council of Life Insurers
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of AFL-CIO, et al.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 28, 2019, telephone meeting with representatives of Edelman Financial Engines
Public Comment Sharon Cheever, Senior Vice President and General Counsel, Pacific Life Insurance Company
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 20, 2019, meeting with a representative of the Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 8, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 10, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 15, 2019, meeting with representatives of the National Association of Insurance and Financial Advisors (NAIFA)
Public Comment Kurt N. Schacht, CFA, Managing Director, and Linda L. Ritterhouse, Director, Capital Markets, CFA Institute Advocacy
Public Comment Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Divisions of Trading and Markets and Investment Management regarding the April 4, 2019, SEC Investor Advocacy Clinic Summit
Public Comment Michael Pieciak, President, North American Securities Administrators Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 22, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 16, 2019, meeting with representatives of Janney Montgomery Scott
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an April 3, 2019, phone meeting with Department of Labor economists
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 12, 2019, meeting with representatives of the the Investment Adviser Association (IAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 9, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 9, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 8, 2019, meeting with representatives of the Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 9, 2019, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 4, 2019 meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 18, 2019, meeting with representatives of the American Council of Life Insurers
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 5, 2019, meeting with representatives of the Financial Services Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 7, 2019, call with a representative of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 20, 2019, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 18, 2019, meeting with representatives of the American Council of Life Insurers (ACLI)

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-08-18
Release Number
34-83063
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