Comments on Amendments to Form ADV and Investment Advisers Act Rules

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 19, 2016, meeting with representatives of the Boston Asset Management Association
Public Comment Timothy W. Cameron, Esq., Asset Management Group, Head, and Elisa Nuottajarvi, Asset Management Group, The Asset Managers Forum; Securities Industry and Financial Markets Association
Public Comment John D. Ruark, Partner, Arnstein & Lehr LLP, Chicago, Illinois
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 20, 2015, meeting with representatives of the American Bar Association Business (ABA) Law Section Subcommittee on Investment Companies and Investment Advisers
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 7, 2015, meeting with representatives of Affiliated Managers Group, Franklin Templeton Investments, PIMCO, and the Investment Adviser Association
Public Comment Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Anastasia T. Rockas, Chair, Private Investment Funds Subcommittee of the New York State Bar Association, New York, New York
Public Comment Scott Cooley, Director of Policy Research, Morningstar, Inc., Chicago, Illinois
Public Comment Anne Tuttle Cappel, Financial Engines Advisors, L.L.C.
Public Comment Anonymous
Public Comment Barbara Novick, Vice Chairman, and Benjamin Archibald, Managing Director, BlackRock, Inc.
Public Comment Brett Palmer, President, Small Business Investor Alliance
Public Comment Christopher Gilkerson, SVP, General Counsel, Charles Schwab & Co., Inc.
Public Comment Craig D. Pfeiffer, President & CEO, Money Management Institute
Public Comment David Lekich, Chief Counsel, Charles Schwab Investment Management, Inc., San Francisco, California
Public Comment David Oestreicher, Chief Legal Counsel, and Jonathan D. Siegel, Senior Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Public Comment David P. Bergers, General Counsel, LPL Financial LLC
Public Comment David W. Blass, General Counsel, Investment Company Institute, Washington, District of Columbia
Public Comment Dechert LLP
Public Comment Gary A. LaBranche, FASB, CAE, President & CEO, Association for Corporate Growth
Public Comment Jason Mulvihill, General Counsel, Private Equity Growth Capital Council, Washington, District of Columbia
Public Comment John Gebauer, President, National Regulatory Services
Public Comment John M. Zerr, Senior Vice President, Invesco Advisers, Inc., Houston, Texas
Public Comment Karen B. Huey, CEO, Professional Compliance Assistance, Inc., Woodstock, Georgia
Public Comment Krista Zipfel, President & CEO, Advisor Solutions Group, Inc., Newport Beach, California
Public Comment Mortimer J. Buckley, Chief Investment Officer, Vanguard
Public Comment Paul F.Roye, Senior Vice President, and Rachel V. Nass, Counsel, Capital Research and Management Company
Public Comment Robert C. Grohowski, General Counsel, Investment Adviser Association
Public Comment Schulte Roth & Zabel LLP, New York, New York
Public Comment Shearman & Sterling LLP, New York City, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-15
Release Number
IA-4091
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