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

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Comment
A: 9
B: 101
C: 11
D: 90

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph M. Torsella, Pennsylvania State Treasurer
Public Comment Julie Jason, Jackson, Grant Investment Advisers, Inc.
Public Comment Justin Smith, SVP and Deputy General Counsel, Retirement and In, Voya Financial, Inc.
Public Comment Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc.
Public Comment Kayla Martin, Legal Intern, and Christine Lazaro, Director and Professor of Clinical Legal Education; Securities Arbitration Clinic, St. John's University School of Law
Public Comment Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Public Comment Kevin Keller, Chief Executive Officer, CFP Board, Financial Planning Coalition
Public Comment Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy
Public Comment Lexie Pankratz, Owner, Trailhead Consulting, LLC
Public Comment Lisa D. Crossley, Executive Director, The National Society of Compliance Professionals
Public Comment Marc Cadin, Chief Operating Officer, Association of Advanced Life Underwriting
Public Comment Mark Heckert, Vice President, Pricing and Analytics, ICE Data Services
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of The Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 5, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Industry Regulatory Authority
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Services Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 26, 2018, meeting with representatives of the Consumer Federation of America
Public Comment Michael F. Anderson, Senior Vice President, Chief Legal Officer, CUNA Mutual Group
Public Comment Michael Palumbo
Public Comment Michelle Bryan Oroschakoff, Chief Legal Officer, LPL Financial LLC
Public Comment Michelle Gass, Paradigm Advisors LLC
Public Comment Monique Morrissey, Economist, and Heidi Shierholz, Senior Economist and Director of Policy, Economic Policy Institute
Public Comment Mortimer J. Buckley, President and Chief Executive Officer, The Vanguard Group, Inc.
Public Comment Nora M. Everett, President, Retirement and Income Solutions, Principal Financial Group
Public Comment Paul C. Reilly, Chairman and CEO, Raymond James Financial
Public Comment Paul Schott Stevens, President and CEO, Investment Company Institute
Public Comment Phoebe A. Papageorgiou, Vice President, Trust Policy, American Bankers Association

Last Reviewed or Updated: Dec. 18, 2025

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