Comments on Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a June 3, 2019, meeting with representatives of the CFP Board
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 16, 2019, meeting with Phyllis Borzi
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 16, 2019, meeting with Professor John Coates of Harvard Law School
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 22, 2019, meeting with representatives of the Consumer Federation of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 24, 2019, meeting with representatives of Betterment
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 28, 2019, meeting with representatives of AARP, AFR, CFA, NASAA, and Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 30, 2019, meeting with representatives of the Investment Advisers Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 31, 2019, meeting with a representative of the Institutional Limited Partners Association (ILPA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 21, 2019 meeting with representatives of the Healthy Market Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 9, 2019, meeting with representatives of the American Council of Life Insurers
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of AFL-CIO, et al.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 28, 2019, telephone meeting with representatives of Edelman Financial Engines
Public Comment Sharon Cheever, Senior Vice President and General Counsel, Pacific Life Insurance Company
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 8, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 10, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 15, 2019, meeting with representatives of the National Association of Insurance and Financial Advisors (NAIFA)
Public Comment Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 15, 2019, meeting with representatives of Betterment
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 21, 2019, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 3, 2019, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 9, 2019, meeting with representatives of the American Council of Life Insurers
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 1, 2019, meeting with representatives of the Investment Advisers Association (IAA)
Meeting with SEC Officials Memorandum from the Divisions of Trading and Markets and Investment Management regarding the April 4, 2019, SEC Investor Advocacy Clinic Summit
Public Comment Michael Pieciak, President, North American Securities Administrators Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 22, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 16, 2019, meeting with representatives of Janney Montgomery Scott
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an April 3, 2019, phone meeting with Department of Labor economists
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 8, 2019, meeting with representatives of the Institute for the Fiduciary Standard

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-18
Release Number
IA-4889
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