Comments on Proposed Rule: Custody of Funds or Securities of Clients by Investment Advisers

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 37
B: 234
C: 18
D: 14
E: 6
F: 77
G: 8

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Date Received
Date Letter Type Commenter Name
Public Comment Marvin S. Heiman, RIA, deerfield, Illinois
Public Comment Kurt N. Schacht, CFA, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute Centre for Financial Market Integrity
Public Comment Mary Eitel, Eitel Investment Management
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a September 16, 2009, meeting with representatives of Investment Advisers Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 14, 2009, meeting with representatives of Deloitte & Touche LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a September 21, 2009 Meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes Regarding a Meeting with representatives of Investment Adviser Association and Asset Management, Legg Mason
Public Comment Bobby Eubank, CFP, MSFS, Registered Investment Advisor, Certified Financial Planner, Plano, Texas
Public Comment Thomas F. Mullaney, Jr., President, Mullaney Keating & Wright
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a September 21, 2009 Meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chairman Regarding a September 10, 2009 Meeting with representatives of the Investment Adviser Association, Heritage Investment Management, and T. Rowe Price
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter Regarding a September 10, 2009 Meeting with representatives of the Investment Adviser Association, T. Rowe Price, and Heritage Investors Management Corporation
Meeting with SEC Officials Memorandum from the Office of Commissioner Casey Regarding a Meeting with representatives of the Investment Adviser Association, T. Rowe Price, and Heritage Investors Management Corporation
Meeting with SEC Officials Memorandum from the Division of Investment Management Regarding a Meeting with the Representatives of the Financial Planning Association and Cohen Fund Audit Services, Ltd.
Meeting with SEC Officials Memorandum from the Division of Investment Management Regarding a Meeting with the Representatives of the Investment Adviser Association
Public Comment William T. George, Encino, California
Public Comment David L. Weirich, Snohomish, Washington
Public Comment Conrad Kozak, Chief Executive Officer, Worldwide Securities Services
Meeting with SEC Officials Memorandum from the Division of Investment Management Regarding Meeting with Representatives of Charles Schwab
Public Comment Dominick Paoloni, Lakewood, Colorado
Public Comment M. Barry Erwin, CPA/PFS, Lifetime Strategies LLC
Public Comment Steven K. McGinnis, General Counsel, LWI Financial Inc., San Jose, California
Public Comment Mark R. Kriss, Principal, Kriss Investment Group LLC, San Francisco, California
Public Comment Rick A. Johnson, CASL, CFP, RFC, Marian Financial Services, Inc., Greenwood, Indiana
Public Comment Ryan Vermillion
Public Comment Ray Galarneault
Public Comment Simon M. Lorne, Chief Legal Officer, and Martin Z. Schwartz, CCO, Millennium Management LLC, New York, New York
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 14, 2009, meeting with a representative of Pinnacle Advisory Group, Inc.
Public Comment Daniel P. Hylard, CFP, President, Financial Wealth Management, LLC
Public Comment William McElroy, Guardian Plus

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-09
Release Number
IA-2876
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