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 Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 15, 2018, meeting with representatives of Morningstar
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 16, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 15, 2018, meeting with representatives of Morningstar
Public Comment Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 26, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 26, 2018, meeting with representatives of the Insured Retirement Institute
Public Comment Bob Growhowski, Senior Legal Counsel, and Jon Siegal, Senior Legal Counsel, T. Rowe Price
Investor Roundtable Roundtable on July 25, 2018 Regarding Standards of Conduct for Investment Professionals
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 1, 2018, meeting with representatives of the Capital Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 9, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Investor Roundtable Roundtable on July 12, 2018 Regarding Standards of Conduct for Investment Professionals
Public Comment Ann Wagner, Member of Congress, et al.
Public Comment Ann M. Kappler, Senior Vice President, Deputy General Counsel, Prudential Financial, Inc.
Public Comment Anne Tennant, Managing Director and General Counsel, Morgan Stanley Smith Barney LLC
Public Comment Anthony Chereso, President & CEO, Institute for Portfolio Alternatives
Public Comment Aron Szapiro, Director of Policy Research, Morningstar, Inc.
Public Comment Arthur B. Laby, Professor of Law, Rutgers University Law School
Public Comment Ashley O'Kurley, Financial Planner
Public Comment Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Public Comment Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network
Public Comment Bret C. Duffy, Senior Managing Director, Teachers Insurance and Annuity Association of America (TIAA)
Public Comment Brian Hamburger, MarketCounsel
Public Comment Brian Jones, NextGen Financial Advice
Public Comment Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA
Public Comment Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA
Public Comment Brooke Salvini
Public Comment Catherine J. Weatherford, President & CEO, Insured Retirement Institute
Public Comment Charles Ryan
Public Comment Charles Ryan, Atlantic Financial Planning

Last Reviewed or Updated: Dec. 18, 2025

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