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
Public Comment Fors Anderson
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 5, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson Jr. regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 13, 2019, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 12, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2019, meeting with representatives of the SEC's Fort Worth Regional Office Risk Mitigation Forum
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 28, 2018, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 5, 2019, meeting with representatives of of the North American Securities Administrators Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 6, 2019, meeting with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 4, 2019, meeting with representatives of SIFMA and members
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a February 28, 2019, meeting with representatives of AARP
Public Comment Christopher Gilkerson, Senior Vice President and General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab & Co. Inc.
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 21, 2019, meeting with Chester Spratt and Mark Flannery
Public Comment Gilberto Velazquez
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute (ICI)
Public Comment Pamela Banks, Senior Policy Counsel, Consumer Reports
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 13, 2019, phone meeting with former SEC Chief Economist, Craig Lewis
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 12, 2019, meeting with representatives of AARP
Public Comment Michelle B. Oroschakoff, Chief Legal Officer, LPL Financial LLC
Public Comment Mark F. Halloran, VP Managing Director, Business Development, Transamerica
Public Comment Ken Fisher, Executive Chairman, Fisher Investments
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a December 10, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 10, 2018, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) and SIFMA Member Firms
Public Comment AARP and the Certified Financial Planner Board of Standards, Inc.
Public Comment AFL-CIO, et al.
Public Comment Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Public Comment Christine Lazaro, President, Public Investors Arbitration Bar Association (PIABA)

Last Reviewed or Updated: Dec. 18, 2025

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