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 the Chairman regarding a June 6, 2018, meeting with representatives of the Financial Planning Association and the Certified Financial Planner Board of Standards, Inc.
Public Comment M.T. Bowling
Public Comment George Macke
Public Comment M.T. Bowling
Public Comment David S. Addington, Senior Vice President, General Counsel, National Federation of Independent Business (NFIB)
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Public Comment Robert N. Veres, Publisher, Inside Information
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 24, 2018, meeting with representatives of the National Association of Insurance Commissioners
Public Comment AARP, et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 16, 2018, meeting with representatives of Empower Retirement
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a May 18, 2018, telephone meeting with representatives of Donnelley Financial Solutions
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 9, 2018, meeting with representatives of AIG
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of Primerica
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a May 10, 2018, meeting with a representative of the Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a May 9, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 7, 2018, meeting with representatives of AARP
Public Comment Julian Heron
Public Comment Craig Martin, President, Family Wealth Consultants, Inc.
Public Comment Jennifer Lee
Public Comment David John Marotta, Columnist and Registered Investment Advisor
Public Comment Brandon Grundy
Public Comment John Wahh
Public Comment Matthew G. Ely
Public Comment Renee Hall, President, Registered Advisor Services
Public Comment Jay R.
Public Comment Sheri J. Mushel, Compliance Consultant

Last Reviewed or Updated: Dec. 18, 2025

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