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

[Release No. IA-4889; File No. S7-09-18]

Submitted Comments

(Click here for meetings with SEC officials)
Apr. 26, 2018 David John Marotta, Columnist and Registered Investment Advisor
Apr. 26, 2018 David Trainer, CEO, New Constructs, LLC
Apr. 25, 2018 Roy Tanga
Apr. 25, 2018 Kaitlyn Long
Apr. 22, 2018 David Rilling
Apr. 20, 2018 Don Lozier
Apr. 20, 2018 Julie Shryock
Apr. 19, 2018 Christopher E. Green
Apr. 19, 2018 Aaron Stinebrink
Apr. 19, 2018 Kenneth M. Phillips

Meetings with SEC Officials

(Click here for submitted comments from the public)
May 18, 2018 Memorandum from the Office of the Investor Advocate regarding a May 18, 2018, telephone meeting with representatives of Donnelley Financial Solutions
May 18, 2018 Memorandum from the Division of Trading and Markets regarding a May 16, 2018, meeting with representatives of Empower Retirement
May 10, 2018 Memorandum from the Office of the Investor Advocate regarding a May 10, 2018, meeting with a representative of the Institute for the Fiduciary Standard
May 10, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a May 10, 2018, meeting with representatives of Americans for Financial Reform, Public Citizen, the American Federation of State, County and Municipal Employees and the AFL-CIO
May 10, 2018 Memorandum from the Office of the Chairman regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company
May 10, 2018 Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of Primerica
May 10, 2018 Memorandum from the Division of Trading and Markets regarding a May 9, 2018, meeting with representatives of AIG
May 9, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a May 9, 2018, meeting with representatives of AARP
May 9, 2018 Memorandum from the Office of the Chairman regarding a May 7, 2018, meeting with representatives of AARP