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; Click here for transcripts from Investor Roundtables)
Comments have been received from individuals and entities using the following Letter Type
A: 9
B: 101
C: 10
 
Sep. 13, 2018 Michael Corley
Sep. 11, 2018 AARP, Consumer Federation of America, and Financial Planning Coalition
Sep. 10, 2018 Diana Shore Joslin
Sep. 9, 2018 Michelle Keating
Sep. 5, 2018 Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Aug. 23, 2018 Joseph P. Borg, President, North American Securities Administrators Association (NASAA)
Aug. 22, 2018 Robert Mennella
Aug. 14, 2018 Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Aug. 10, 2018 Bob Growhowski, Senior Legal Counsel, and Jon Siegal, Senior Legal Counsel, T. Rowe Price
Aug. 8, 2018 Ann Wagner, Member of Congress, et al.
Aug. 7, 2018 Ronald J. Kruszewski, Chairman and Chief Executive Officer, Stifel Financial
Aug. 7, 2018 Thomas Roberts, Groom Law Group
Aug. 7, 2018 Donald W. Nicholson, President, Donald W. Nicholson & Associates, Ltd.
Aug. 7, 2018 Marc Cadin, Chief Operating Officer, Association of Advanced Life Underwriting
Aug. 7, 2018 David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company
Aug. 7, 2018 Chris Lewis, General Counsel, Edward D. Jones and Co., L.P.
Aug. 7, 2018 Arthur B. Laby, Professor of Law, Rutgers University Law School
Aug. 7, 2018 Seth A. Miller, General Counsel, Senior Vice President, Chief Risk Officer, Cambridge Investment Research, Inc.
Aug. 7, 2018 Robert J. Moore, Chief Executive Officer, Cetera Financial Group
Aug. 7, 2018 Julie Jason, Jackson, Grant Investment Advisers, Inc.
Aug. 7, 2018 Rob Foregger, Co-Founder, NextCapital
Aug. 7, 2018 Brian Hamburger, MarketCounsel
Aug. 7, 2018 John E. Deitelbaum, Senior Vice President and Deputy General Counsel, Massachusetts Mutual Life Insurance Company
Aug. 7, 2018 Bret C. Duffy, Senior Managing Director, Teachers Insurance and Annuity Association of America (TIAA)
Aug. 7, 2018 Monique Morrissey, Economist, and Heidi Shierholz, Senior Economist and Director of Policy, Economic Policy Institute
Aug. 7, 2018 Ram Subramaniam, Head of Brokerage and Investment Solutions, Fidelity Investments, and David Forman, Chief Legal Officer, Fidelity Brokerage Services LLC
Aug. 7, 2018 Sheila Kearney Davidson, Executive Vice President, Chief Legal Officer & General Counsel, New York Life Insurance Company
Aug. 7, 2018 Dave Paulsen, Executive Vice President, Transamerica
Aug. 7, 2018 Jason Bortz, Senior Counsel, Capital Research and Management Company
Aug. 7, 2018 Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Aug. 7, 2018 Jason Mulvihill, General Counsel, American Investment Council
Aug. 7, 2018 Kevin Keller, Chief Executive Officer, CFP Board, Financial Planning Coalition
Aug. 7, 2018 Clifford Kirsch and Susan Krawczyk, Eversheds Sutherland (US) LLP, on behalf of Committee of Annuity Insurers
Aug. 7, 2018 Cynthia Lo Bessette, EVP and General Counsel, OppenheimerFunds
Aug. 7, 2018 George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section
Aug. 7, 2018 Lexie Pankratz, Owner, Trailhead Consulting, LLC
Aug. 7, 2018 Catherine J. Weatherford, President & CEO, Insured Retirement Institute
Aug. 7, 2018 Michelle Bryan Oroschakoff, Chief Legal Officer, LPL Financial LLC
Aug. 7, 2018 Craig D. Pfeiffer, President and CEO, Money Management Institute
Aug. 7, 2018 Raymond J. Manista, Executive Vice President, Northwestern Mutual Life Insurance Company
Aug. 7, 2018 Justin Smith, SVP and Deputy General Counsel, Retirement and In, Voya Financial, Inc.
Aug. 7, 2018 Kayla Martin, Legal Intern, and Christine Lazaro, Director and Professor of Clinical Legal Education; Securities Arbitration Clinic, St. John's University School of Law
Aug. 7, 2018 Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jiří Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Aug. 7, 2018 Lisa D. Crossley, Executive Director, The National Society of Compliance Professionals
Aug. 7, 2018 Ann M. Kappler, Senior Vice President, Deputy General Counsel, Prudential Financial, Inc.
Aug. 7, 2018 Joseph M. Torsella, Pennsylvania State Treasurer
Aug. 7, 2018 Jon Stein, Founder and CEO, et al., Betterment LLC
Aug. 7, 2018 Chris Remedios
Aug. 7, 2018 Anthony Chereso, President & CEO, Institute for Portfolio Alternatives
Aug. 7, 2018 Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA
Aug. 7, 2018 Charles Ryan
Aug. 7, 2018 George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section
Aug. 7, 2018 Nora M. Everett, President, Retirement and Income Solutions, Principal Financial Group
Aug. 7, 2018 Rob Foregger, Co-Founder, NextCapital
Aug. 7, 2018 Robin C. Swope, Director, Global Product Governance & Support, Invesco Advisers, Inc.
Aug. 7, 2018 Joseph Borg, President, North American Securities Administrators Association, Inc. (NASAA)
Aug. 7, 2018 Eric E. Haas, Member, Altruist Financial Advisors LLC
Aug. 7, 2018 Dennis Kelleher, President & CEO, et al., Better Markets, Inc.
Aug. 7, 2018 Tom Clarke, Managing Director, and Sean Murphy, Vice President, BlackRock, Inc.
Aug. 7, 2018 Anne Tennant, Managing Director and General Counsel, Morgan Stanley Smith Barney LLC
Aug. 7, 2018 David Certner, Legislative Counsel and Legislative Policy Directo, AARP
Aug. 7, 2018 Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA
Aug. 7, 2018 Janice Daunheimer
Aug. 7, 2018 John Neil Conkle, Student, Pepperdine School of Law
Aug. 7, 2018 Ashley O'Kurley, Financial Planner
Aug. 7, 2018 Mark Heckert, Vice President, Pricing and Analytics, ICE Data Services
Aug. 7, 2018 Elizabeth Warren, U.S. Senator
Aug. 7, 2018 Tim Rouse, Executive Director, SPARK Institute, Inc.
Aug. 7, 2018 Tom P. Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Aug. 7, 2018 Charles Ryan, Atlantic Financial Planning
Aug. 7, 2018 Elliot Ganz, General Counsel, The Loan Syndications and Trading Association
Aug. 7, 2018 Royce A. Charney, J.D., President, Trust Administrators, Inc.
Aug. 7, 2018 Paul Schott Stevens, President and CEO, Investment Company Institute
Aug. 7, 2018 Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network
Aug. 7, 2018 Jon Stein, Founder and CEO, et al., Betterment LLC
Aug. 7, 2018 Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy
Aug. 7, 2018 Mortimer J. Buckley, President and Chief Executive Officer, The Vanguard Group, Inc.
Aug. 7, 2018 Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc.
Aug. 7, 2018 Robert D. Oros, Chief Executive Officer, HD Vest Financial Services
Aug. 7, 2018 R. Scott Henderson, Bank of America
Aug. 7, 2018 Gregory B. McShea, Janney Montgomery Scott LLC
Aug. 7, 2018 David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Aug. 7, 2018 Michael F. Anderson, Senior Vice President, Chief Legal Officer, CUNA Mutual Group
Aug. 7, 2018 Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Aug. 7, 2018 Robert Reynolds, President and CEO, Putnam Investments
Aug. 7, 2018 Paul C. Reilly, Chairman and CEO, Raymond James Financial
Aug. 7, 2018 Phoebe A. Papageorgiou, Vice President, Trust Policy, American Bankers Association
Aug. 7, 2018 R. Keith Overly, President, National Association of Government Defined Contribution Administrators (NAGDCA)
Aug. 7, 2018 Michael Palumbo
Aug. 7, 2018 Brooke Salvini
Aug. 7, 2018 Jennifer Lazarus, Lazarus Financial Planning, LLC
Aug. 7, 2018 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Aug. 7, 2018 James Milne, Milne Financial Planning
Aug. 7, 2018 Brian Jones, NextGen Financial Advice
Aug. 7, 2018 Aron Szapiro, Director of Policy Research, Morningstar, Inc.
Aug. 7, 2018 Jennifer B. Harper
Aug. 7, 2018 William F. Galvin, Secretary of the Commonwealth of Massachusetts
Aug. 7, 2018 Jason Chandler, Group Managing Director, Co-head Investment Platforms and Solutions, UBS Global Wealth Management, and Michael Crowl, Group Managing Director, General Counsel, UBS Group Americas
Aug. 6, 2018 Anonymous
Aug. 6, 2018 Lois Basil, Basil Financial Group
Aug. 6, 2018 Hannah Basil Bryant, Basil Financial Group
Aug. 6, 2018 Elise Sanguinetti, President, American Association for Justice
Aug. 6, 2018 Christopher Jones, Chief Investment Officer, Financial Engines
Aug. 6, 2018 Jennipher Lommen
Aug. 6, 2018 Joe Smith
Aug. 6, 2018 Leisa Aiken
Aug. 6, 2018 Craig S. Tyle, Executive Vice President and General Counsel, Franklin Resources, Inc.
Aug. 6, 2018 Wade S. Wilkinson, President, CEO, Securities Service Network, LLC
Aug. 6, 2018 Karen L. Barr, President and CEO, Investment Adviser Association
Aug. 6, 2018 Sylva Baker
Aug. 6, 2018 John Robinson
Aug. 6, 2018 Knut A. Rostad, President, Institute for the Fiduciary Standard
Aug. 6, 2018 Paula H. Hogan
Aug. 6, 2018 Dan Moisand
Aug. 6, 2018 Anonymous
Aug. 6, 2018 Sean R. Walters, Executive Director and Chief Executive Officer, Investments Wealth Institute
Aug. 6, 2018 Christopher Gilkerson, Senior Vice President and General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab Co. Inc
Aug. 6, 2018 Robert K. Shaw, President, Individual Markets, Great-West Financial
Aug. 6, 2018 Ben Brown, Founder & CEO, Entelechy
Aug. 6, 2018 Douglas M. Ommen, Iowa Insurance Commissioner
Aug. 5, 2018 Deborah Meyer
Aug. 4, 2018 Leo Asen
Aug. 3, 2018 Scott H. Rothstein, Executive Vice President, Deputy General Counsel, Mutual of America Life Insurance Company
Aug. 3, 2018 Julie Mix McPeak, President, et al., National Association of Insurance Commissioners
Aug. 3, 2018 Emanuel Alves, Senior Vice President & General Counsel, John Hancock Life Insurance Company (U.S.A)
Aug. 3, 2018 Brian H. Graff, Esq., Executive Director/CEO, et al., American Retirement Association
Aug. 3, 2018 Robert Lindstrom
Aug. 3, 2018 David Leifer, Vice President & Associate General Counsel, American Council of Life Insurers
Aug. 2, 2018 Keith Gillies, President, National Association of Insurance and Financial Advisors
Aug. 2, 2018 Michael Kitces, Co-Founder, XY Planning Network
Aug. 2, 2018 Teresa J. Verges, Director, Investor Rights Clinic, University of Miami School of Law
Aug. 2, 2018 Edmund F. Murphy, President, Empower Retirement
Aug. 1, 2018 Chester Hawkins
Aug. 1, 2018 Kevin Mahoney, Founder and CEO, Illumint
Aug. 1, 2018 Anandi Krishnamurthy
Aug. 1, 2018 Alexander B. Yeager, Certified Financial Planner
Aug. 1, 2018 Kevin Mahoney, Founder and CEO, Illumint
Aug. 1, 2018 Michael Pace
Jul. 31, 2018 Daniel Wrenne
Jul. 31, 2018 Scott Ela
Jul. 31, 2018 Marge Schiller
Jul. 31, 2018 Ken Fisher, Executive Chairman, Fisher Investments
Jul. 31, 2018 Paul Hynes
Jul. 31, 2018 Marge Schiller
Jul. 31, 2018 Lou Day
Jul. 31, 2018 Spencer Stephens
Jul. 31, 2018 Joe Matelich
Jul. 31, 2018 PJ Wallin
Jul. 31, 2018 Amy Irvine, Irvine Wealth Planning Strategies, LLC
Jul. 31, 2018 Arlene Moss
Jul. 31, 2018 Kyle Mast, Certified Financial Planner, Owner or Clarity Financial LLC
Jul. 31, 2018 Drew Tignanelli
Jul. 31, 2018 Cory Nichols
Jul. 30, 2018 Anonymous
Jul. 30, 2018 Anonymous
Jul. 30, 2018 Anonymous
Jul. 30, 2018 Anonymous
Jul. 30, 2018 Anonymous
Jul. 30, 2018 Anonymous
Jul. 30, 2018 Katherine Philipp
Jul. 30, 2018 John Cooney, Green and Gold Financial Planning, LLC
Jul. 30, 2018 L. A. Schnase, Individual Investor and Attorney at Law
Jul. 30, 2018 Roger Bair
Jul. 30, 2018 Paul Calderon
Jul. 30, 2018 Gerald Lopatin, CFP, EA, CA licensed Investment Advisor, CFP Professional
Jul. 29, 2018 Bob Rall
Jul. 29, 2018 Linda Baumbusch
Jul. 28, 2018 Derieck Hodges
Jul. 27, 2018 Jeffrey Heard
Jul. 27, 2018 Kevin J. Miller, Executive Vice President & General Counsel, Securities America, Inc.
Jul. 27, 2018 Glen Strong
Jul. 27, 2018 Eric S. Westberg, Chairman & CEO, KMS Financial Services, Inc.
Jul. 26, 2018 Rep. David N. Cicilline, Member of Congress, et al.
Jul. 26, 2018 Doug Baxley, Vice President, Fiduciary and Retirement Services, Ladenburg Thalmann Financial Services Inc.
Jul. 26, 2018 Patrick Farrell, President and Chief Executive Officer, Investacorp, Inc.
Jul. 26, 2018 Jeffrey L. Rosenthal, President and CEO, Triad Advisors, LLC
Jul. 26, 2018 Michael Harris, Blue Rock Financial Services, Inc.
Jul. 26, 2018 Laura Mattia
Jul. 26, 2018 Tom Rogers, Portland Financial Planning Group, LLC
Jul. 25, 2018 Lauren Zangardi Haynes
Jul. 25, 2018 Jim McMahon
Jul. 25, 2018 Bob Murphy
Jul. 25, 2018 Abby Kovach
Jul. 24, 2018 Donna Skeels Cygan
Jul. 24, 2018 Mel Lagomasino
Jul. 24, 2018 Adam Leavitt
Jul. 24, 2018 Danielle Seurkamp
Jul. 24, 2018 Mitchell Hockenbury
Jul. 24, 2018 William Cuthbertson
Jul. 24, 2018 Pat Smith
Jul. 23, 2018 Jon Panitzke
Jul. 23, 2018 Kathy Sachs
Jul. 23, 2018 Hugh Caddess
Jul. 22, 2018 Jennifer Mellgren
Jul. 22, 2018 Alan Stamm
Jul. 21, 2018 Juanita Fontaine
Jul. 21, 2018 Mark Winsor
Jul. 20, 2018 Kent A. Mason, Davis & Harman LLP
Jul. 20, 2018 Anthony Hicks
Jul. 20, 2018 Daniel Schuman
Jul. 20, 2018 John Liechty, Integrated Financial Planning Solutions, LLC
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 Anonymous
Jul. 17, 2018 Anonymous
Jul. 17, 2018 Anonymous
Jul. 17, 2018 Anonymous
Jul. 17, 2018 Anonymous
Jul. 17, 2018 Anonymous
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. 12, 2018 Barbara Greenwald
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 21, 2018 AARP, et al.
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

Transcripts from Investor Roundtables

(Click here for submitted comments from the public)
Aug. 10, 2018 Roundtable on July 25, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 9, 2018 Roundtable on July 12, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 6, 2018 Roundtable on July 17, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 6, 2018 Roundtable on July 9, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 3, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding an August 1, 2018 meeting with representatives of Capital Group
Jul. 31, 2018 Roundtable on June 13, 2018 Regarding Standards of Conduct for Investment Professionals
Jul. 31, 2018 Roundtable on June 4, 2018 Regarding Standards of Conduct for Investment Professionals

Meetings with SEC Officials

(Click here for submitted comments from the public)
Sep. 14, 2018 Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the the Institute for Portfolio Alternatives
Sep. 14, 2018 Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness
Sep. 13, 2018 Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Sep. 13, 2018 Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Sep. 12, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 10, 2018, meeting with representatives of Institute for Portfolio Alternatives, et al.
Sep. 6, 2018 Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO
Aug. 23, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute
Aug. 21, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity
Aug. 17, 2018 Memorandum from the Office of the Chairman regarding an August 16, 2018, meeting with representatives of Charles Schwab
Aug. 17, 2018 Memorandum from the Office of the Chairman regarding an August 15, 2018, meeting with representatives of Morningstar
Aug. 16, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 15, 2018, meeting with representatives of Morningstar
Aug. 14, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 26, 2018, meeting with representatives of AARP
Aug. 14, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 26, 2018, meeting with representatives of the Insured Retirement Institute
Aug. 9, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 9, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Aug. 9, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 1, 2018, meeting with representatives of the Capital Group
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Services Institute
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of The Institute for the Fiduciary Standard
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a June 5, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Industry Regulatory Authority
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of the U.S. Chamber of Commerce
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Investment Adviser Association
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding an April 26, 2018, meeting with representatives of the Consumer Federation of America
Aug. 6, 2018 Memorandum from the Office of the Chairman regarding an August 6, 2018, meeting with with Teresa J. Verges (Director, Investor Rights Clinic, University of Miami School of Law) and Christine Lazaro (Director, Securities Arbitration Clinic, St. John's University School of Law)
Aug. 6, 2018 Memorandum from the Office of the Chairman regarding an August 1, 2018, meeting with representatives of Capital Group
Aug. 1, 2018 Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of Capital Group
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with SIFMA
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 1, 2018, meeting with representatives of Capital Group
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of FINRA Board of Governors
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 5, 2018, meeting with representatives of the Financial Services Institute Board of Directors
Jul. 31, 2018 Memorandum from the Office of the Investor Advocate regarding a July 31, 2018, telephone meeting with a representative of the Investment Adviser Association
Jul. 31, 2018 Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of Edward Jones
Jul. 31, 2018 Memorandum from the Office of the Commissioner Hester M. Peirce regarding a July 30, 2018, meeting with representatives of Edward Jones
Jul. 30, 2018 Memorandum from the Division of Trading and Markets regarding a July 30, 2018, meeting with representatives of Edward Jones
Jul. 30, 2018 Memorandum from the Office of the Investor Advocate regarding a July 30, 2018, meeting with the Investment Adviser Association
Jul. 30, 2018 Memorandum from the Division of Investment Management Division of Investment Management regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions
Jul. 30, 2018 Memorandum from the Office of the Investor Advocate regarding a July 30, 2018, meeting with representatives of the Investment Adviser Association
Jul. 26, 2018 Memorandum from the Division of Investment Management regarding a July 25, 2018, meeting with representatives of Fidelity Investments
Jul. 26, 2018 Memorandum from the Office of the Chairman regarding a July 24, 2018, meeting with representatives of Insured Retirement Institute
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 14, 2018, meeting with the Consumer Federation of America
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an April 24, 2018, meeting with the Certified Financial Planner Board of Standards
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an April 24, 2018, meeting with the SIFMA Board of Governors
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 10, 2018, meeting with representatives of the Investment Company Institute
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 253, 2018, discussion with representatives of the Institute for the Fiduciary Standard
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 23, 2018, discussion with representatives of Consumer Federation of America
Jul. 25, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 23, 2018, discussion with representatives of the Institute for the Fiduciary Standard
Jul. 24, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 24, 2018, meeting with the Insured Retirement Institute
Jul. 24, 2018 Memorandum from the Office of the Chairman regarding a July 23, 2018, meeting with representatives of AALU
Jul. 24, 2018 Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of SIFMA
Jul. 24, 2018 Memorandum from the Division of Trading and Markets regarding a July 23, 2018, telephone meeting with representatives of Iowa Insurance Division
Jul. 24, 2018 Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a July 23, 2018, meeting with representatives of AALU
Jul. 24, 2018 Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a July 23, 2018, meeting with representatives of SIFMA
Jul. 24, 2018 Memorandum from the Division of Investment Management regarding a July 24, 2018, meeting with representatives of Charles Schwab & Co.
Jul. 23, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of SIFMA
Jul. 23, 2018 Memorandum from the Office Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of the Association for Advanced Life Underwriting
Jul. 23, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 17, 2018, meeting with representatives the American Securities Association
Jul. 18, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of Jane Street
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. 12, 2018 Memorandum from the Division of Investment Management regarding a July 12, 2018, meeting with representatives of New York Life
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