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 Division of Trading and Markets regarding an October 10, 2018, meeting with representatives of the American Retirement Association
Public Comment Robert E. Frankel, General Counsel, lnvestments & Wealth lnstitute, f/k/a the lnvestment Management Consultants Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 4, 2018, meeting with representatives of LPL Financial
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 20, 2018, meeting with representatives of Investments & Wealth Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 26, 2018, meeting with representatives of the American Retirement Association
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 13, 2018, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 17, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of Betterment
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 14, 2018, meeting with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a September 17, 2018, meeting with representatives of Betterment
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Public Comment Michael Corley
Public Comment C. Frederick Reish
Public Comment Maxine Waters, Ranking Member, Committee on Financial Services, U.S. House of Representatives, et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 10, 2018, meeting with representatives of Institute for Portfolio Alternatives, et al.
Public Comment AARP, Consumer Federation of America, and Financial Planning Coalition
Public Comment Cyril Anouar Streit
Public Comment Diana Shore Joslin
Public Comment Michelle Keating
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO
Public Comment Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 30, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Public Comment Joseph P. Borg, President, North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute
Public Comment Robert Mennella

Last Reviewed or Updated: Dec. 18, 2025

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