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 Jennipher Lommen
Public Comment Joe Smith
Public Comment John Robinson
Public Comment Karen L. Barr, President and CEO, Investment Adviser Association
Public Comment Knut A. Rostad, President, Institute for the Fiduciary Standard
Public Comment Leisa Aiken
Public Comment Lois Basil, Basil Financial Group
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 1, 2018, meeting with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 6, 2018, meeting with with Teresa J. Verges (Director, Investor Rights Clinic, University of Miami School of Law) and Christine Lazaro (Director, Securities Arbitration Clinic, St. John's University School of Law)
Public Comment Paula H. Hogan
Public Comment Robert K. Shaw, President, Individual Markets, Great-West Financial
Investor Roundtable Roundtable on July 17, 2018 Regarding Standards of Conduct for Investment Professionals
Investor Roundtable Roundtable on July 9, 2018 Regarding Standards of Conduct for Investment Professionals
Public Comment Sean R. Walters, Executive Director and Chief Executive Officer, Investments Wealth Institute
Public Comment Steve McManus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company
Public Comment Sylva Baker
Public Comment Wade S. Wilkinson, President, CEO, Securities Service Network, LLC
Public Comment Deborah Meyer
Public Comment Leo Asen
Public Comment Brian H. Graff, Esq., Executive Director/CEO, et al., American Retirement Association
Public Comment David Leifer, Vice President & Associate General Counsel, American Council of Life Insurers
Public Comment Emanuel Alves, Senior Vice President & General Counsel, John Hancock Life Insurance Company (U.S.A)
Public Comment Julie Mix McPeak, President, et al., National Association of Insurance Commissioners
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an August 1, 2018 meeting with representatives of Capital Group
Public Comment Robert Lindstrom
Public Comment Scott H. Rothstein, Executive Vice President, Deputy General Counsel, Mutual of America Life Insurance Company
Public Comment Edmund F. Murphy, President, Empower Retirement
Public Comment Keith Gillies, President, National Association of Insurance and Financial Advisors
Public Comment Michael Kitces, Co-Founder, XY Planning Network
Public Comment Teresa J. Verges, Director, Investor Rights Clinic, University of Miami School of Law

Last Reviewed or Updated: Dec. 18, 2025

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