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)
Jun. 28, 2018 Benjamin Prybutok
Jun. 26, 2018 Amy McCloud
Jun. 26, 2018 Frank J. Nasta, Chair, Committee on Investment Management Regulation, New York City Bar Association
Jun. 8, 2018 Peter E. Bulger, Front Street Consulting
May. 30, 2018 David S. Addington, Senior Vice President, General Counsel, National Federation of Independent Business (NFIB)
May 25, 2018 Gail C. Bernstein, General Counsel, Investment Adviser Association
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)
Jul. 16, 2018 Memorandum from the Division of Trading and Markets regarding a July 12, 2018, meeting with representatives of Eversheds Sutherland (US) LLP on behalf of the Committee of Annuity Insurers
Jul. 16, 2018 Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2018, meeting with representatives of Morningstar, Inc.
Jul. 16, 2018 Memorandum from the Division of Trading and Markets regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Jul. 16, 2018 Memorandum from the Office of the Chairman regarding a July 13, 2018, meeting with representatives of New York Life Insurance Company
Jul. 12, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Jul. 12, 2018 Memorandum from the Office of Chairman Jay Clayton regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Jul. 6, 2018 Memorandum from the Division of Investment Management regarding a June 22, 2018, meeting with representatives of the Investment Adviser Association
Jun. 28, 2018 Memorandum from the Division of Investment Management regarding a June 27, 2018, meeting with representatives of the Investment Company Institute
Jun. 28, 2018 Memorandum from the Office of the Investor Advocate regarding a June 27, 2018, telephone meeting with representatives of the North American Securities Administrators Association
Jun. 22, 2018 Memorandum from the Office of the Investor Advocate regarding a June 21, 2018, meeting with representatives of the Investment Adviser Association
Jun. 20, 2018 Memorandum from the Division of Investment Management regarding a June 20, 2018, meeting with representatives of Financial Engines
Jun. 20, 2018 Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the Boston Asset Management Association
Jun. 20, 2018 Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the CFA Institute
Jun. 20, 2018 Memorandum from the Office of the Investor Advocate regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard
Jun. 15, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab
Jun. 12, 2018 Memorandum from the Division of Investment Management regarding a June 4, 2018, meeting with representatives of the North American Securities Administrators Association
Jun. 11, 2018 Memorandum from the Office of the Chairman regarding a June 11, 2018, meeting with representatives of the Investment Company Institute
Jun. 7, 2018 Memorandum from the Office of the Investor Advocate regarding a June 6, 2018, meeting with representatives of the Investment Company Institute
Jun. 6, 2018 Memorandum from the Office of the Chairman regarding a June 6, 2018, meeting with representatives of the Financial Planning Association and the Certified Financial Planner Board of Standards, Inc.
May 24, 2018 Memorandum from the Office of the Chairman regarding a May 24, 2018, meeting with representatives of the National Association of Insurance Commissioners
May 22, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab
May 21, 2018 Memorandum from the Division of Investment Management regarding a May 16, 2018, meeting with representatives of Dechert LLP
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