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

[Release No. 34-83063; File No. S7-08-18]

Submitted Comments

(Click here for meetings with SEC officials)
Jul. 18, 2018 Scott MacKillop,CEO, First Ascent Asset Management
Jul. 19, 2018 Richard Salkowitz
Jul. 19, 2018 Chelsea Matvey
Jul. 14, 2018 Craig Guinn
Jul. 18, 2018 Huelien Pham
Jul. 18, 2018 Jay Thompson
Jul. 18, 2018 Mahesh Bhupalam
Jul. 18, 2018 Loizos Prodromou
Jul. 18, 2018 Steven Miller
Jul. 17, 2018 Lloyd Coleman
Jul. 17, 2018 Kevin McGuire
Jul. 16, 2018 John L. Thornton, Co-Chair; Hal S. Scott, Director; and R. Glenn Hubbard, Co-Chair; Committee on Capital Markets Regulation
Jul. 16, 2018 Sean E. Walters, Executive Director/CEO, Investments & Wealth Institute
Jul. 16, 2018 Jim Morris
Jul. 15, 2018 Mary Malone
Jul. 14, 2018 Tony Greiner
Jul. 13, 2018 Frederick Greene
Jul. 10, 2018 Rod Carroll
Jul. 10, 2018 Anonymous
Jul. 10, 2018 Marcus Paredes
Jul. 10, 2018 Anonymous
Jul. 10, 2018 Mary Newton
Jul. 10, 2018 Anonymous
Jul. 10, 2018 Anonymous
Jul. 10, 2018 Anonymous
Jul. 10, 2018 Robert Carr
Jul. 10, 2018 Anonymous
Jul. 10, 2018 Mike Keeler
Jul. 10, 2018 Jeffrey T.
Jul. 6, 2018 Darren Markle
Jun. 30, 2018 Dr. Dwight Sanders
Jun. 30, 2018 Tom Nowak, Quantum Financial Planning LLC
Jun. 28, 2018 Gerald B. Levin
Jun. 28, 2018 Ivan M. Illan, Founder and CIO, Aligne Wealth Preservation and Insurance Services, LLC.
Jun. 28, 2018 Mary Margolis, MBR Financial
Jun. 27, 2018 Leslie Bloomer
Jun. 26, 2018 Amy McCloud
Jun. 22, 2018 Richard Rohr
Jun. 22, 2018 Charles Christine
Jun. 20, 2018 Ron Shepherd
Jun. 19, 2018 Catherine Shea
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Rob Seits
Jun. 18, 2018 Joker Jenkins
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Lee Baird
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Mark Shaffer
Jun. 18, 2018 Don Parsons, President, BBB of Houston
Jun. 18, 2018 Angela Montellano
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Brian Hobbs
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 George Durgin
Jun. 18, 2018 Malia Starmer
Jun. 18, 2018 Karean Hoggan
Jun. 18, 2018 Jason Starmer
Jun. 18, 2018 Anonymous
Jun. 18, 2018 David Schreiner
Jun. 18, 2018 James Davis
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Anonymous
Jun. 18, 2018 Mike Brantley
Jun. 18, 2018 Anonymous
Jun. 15, 2018 Anonymous
Jun. 8, 2018 Dwight Sanders
Jun. 8, 2018 Peter E. Bulger, Front Street Consulting
Jun. 6, 2018 Brenda Winslow
Jun. 4, 2018 M.T. Bowling
Jun. 2, 2018 George Macke
Jun. 1, 2018 M.T. Bowling
May 30, 2018 David S. Addington, Senior Vice President, General Counsel, National Federation of Independent Business (NFIB)
May 25, 2018 Gail C. Bernstein, General Counsel, Investment Adviser Association
May 25, 2018 Robert N. Veres, Publisher, Inside Information
May 1, 2018 Julian Heron
Apr. 28, 2018 Jennifer Lee
Apr. 28, 2018 Craig Martin, President, Family Wealth Consultants, Inc.
Apr. 26, 2018 David John Marotta, Columnist and Registered Investment Advisor
Apr. 25, 2018 Brandon Grundy
Apr. 23, 2018 John Wahh
Apr. 21, 2018 Matthew G. Ely
Apr. 20, 2018 Renee Hall, President, Registered Advisor Services
Apr. 19, 2018 Jay R.
Apr. 19, 2018 Sheri J. Mushel, Compliance Consultant

Meetings with SEC Officials

(Click here for submitted comments from the public)
Jul. 17, 2018 Memorandum from the Office of the Chairman regarding a July 17, 2018, meeting with representatives of American Securities Association
Jul. 16, 2018 Memorandum from the Division of Trading and Markets regarding a July 12, 2018, meeting with representatives of Eversheds Sutherland (US) LLP on behalf of the Committee of Annuity Insurers
Jul. 16, 2018 Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2018, meeting with representatives of Morningstar, Inc.
Jul. 16, 2018 Memorandum from the Division of Trading and Markets regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Jul. 16, 2018 Memorandum from the Office of the Chairman regarding a July 13, 2018, meeting with representatives of New York Life Insurance Company
Jul. 13, 2018 Memorandum from the Office of the Investor Advocate regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions
Jul. 13, 2018 Memorandum from the Division of Investment Management regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions
Jul. 12, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions
Jul. 12, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Jul. 12, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 12, 2018, meeting with representatives of New York Life Insurance Company
Jul. 12, 2018 Memorandum from the Office of Chairman Jay Clayton regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Jul. 6, 2018 Memorandum from the Division of Investment Management regarding a June 22, 2018, meeting with representatives of the Investment Adviser Association
Jun. 28, 2018 Memorandum from the Division of Investment Management regarding a June 27, 2018, meeting with representatives of the Investment Company Institute
Jun. 28, 2018 Memorandum from the Office of the Investor Advocate regarding a June 27, 2018, telephone meeting with representatives of the North American Securities Administrators Association
Jun. 22, 2018 Memorandum from the Office of the Investor Advocate regarding a June 21, 2018, meeting with representatives of the Investment Adviser Association
Jun. 20, 2018 Memorandum from the Division of Investment Management regarding a June 20, 2018, meeting with representatives of Financial Engines
Jun. 20, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a June 20, 2018, meeting with representatives of Financial Engines
Jun. 20, 2018 Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the Boston Asset Management Association
Jun. 20, 2018 Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the CFA Institute
Jun. 20, 2018 Memorandum from the Office of the Investor Advocate regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard
Jun. 19, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard
Jun. 19, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a June 4, 2018, meeting with a representative of the Consumer Federation of America
Jun. 12, 2018 Memorandum from the Division of Investment Management regarding a June 4, 2018, meeting with representatives of the North American Securities Administrators Association
Jun. 11, 2018 Memorandum from the Office of the Chairman regarding a June 11, 2018, meeting with representatives of the Investment Company Institute
Jun. 7, 2018 Memorandum from the Office of the Investor Advocate regarding a June 6, 2018, meeting with representatives of the Investment Company Institute
Jun. 6, 2018 Memorandum from the Office of the Chairman regarding a June 6, 2018, meeting with representatives of the Financial Planning Association and the Certified Financial Planner Board of Standards, Inc.
May 24, 2018 Memorandum from the Office of the Chairman regarding a May 24, 2018, meeting with representatives of the National Association of Insurance Commissioners
May 18, 2018 Memorandum from the Office of the Investor Advocate regarding a May 18, 2018, telephone meeting with representatives of Donnelley Financial Solutions
May 18, 2018 Memorandum from the Division of Trading and Markets regarding a May 16, 2018, meeting with representatives of Empower Retirement
May 11, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company
May 10, 2018 Memorandum from the Office of the Chairman regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company
May 10, 2018 Memorandum from the Office of the Investor Advocate regarding a May 10, 2018, meeting with a representative of the Institute for the Fiduciary Standard
May 10, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a May 10, 2018, meeting with representatives of Americans for Financial Reform, Public Citizen, the American Federation of State, County and Municipal Employees and the AFL-CIO
May 10, 2018 Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of Primerica
May 10, 2018 Memorandum from the Division of Trading and Markets regarding a May 9, 2018, meeting with representatives of AIG
May 9, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a May 9, 2018, meeting with representatives of AARP
May 9, 2018 Memorandum from the Office of the Chairman regarding a May 7, 2018, meeting with representatives of AARP