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; Click here for transcripts from Investor Roundtables)
Sep. 10, 2018 Diana Shore Joslin
Sep. 9, 2018 Michelle Keating
Sep. 5, 2018 Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Aug. 24, 2018 Paul N. Roth, Chair, and Barry P. Barbash, Vice Chair, Hedge Funds Subcommittee, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Aug. 23, 2018 Joseph P. Borg, President, North American Securities Administrators Association (NASAA)
Aug. 13, 2018 Nancy A. LeaMond, Executive Vice President, AARP
Aug. 10, 2018 Bob Growhowski, Senior Legal Counsel, and Jon Siegel, T. Rowe Price, Senior Legal Counsel, T. Rowe Price
Aug. 8, 2018 Ann Wagner, Member of Congress, et al.
Aug. 8, 2018 Schulte Roth Zabel & LLP
Aug. 7, 2018 Michelle Gass, Paradigm Advisors LLC
Aug. 7, 2018 Donald W. Nicholson, President, Donald W. Nicholson & Associates, Ltd.
Aug. 7, 2018 Marc Cadin, Chief Operating Officer, Association of Advanced Life Underwriting
Aug. 7, 2018 David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company
Aug. 7, 2018 Chris Lewis, General Counsel, Edward D. Jones and Co., L.P.
Aug. 7, 2018 Seth A. Miller, General Counsel, Senior Vice President, Chief Risk Officer, Cambridge Investment Research, Inc.
Aug. 7, 2018 Robert J. Moore, Chief Executive Officer, Cetera Financial Group
Aug. 7, 2018 Brian Hamburger, President and CEO, MarketCounsel
Aug. 7, 2018 James J. Angel, Associate Professor of Finance, Georgetown University
Aug. 7, 2018 Dechert LLP
Aug. 7, 2018 Anne Tennant, Managing Director and General Counsel, Morgan Stanley Smith Barney LLC
Aug. 7, 2018 Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds
Aug. 7, 2018 Doug Eu, CEO, Allianz Global Investors
Aug. 7, 2018 Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Aug. 7, 2018 Michelle Bryan Oroschakoff, Chief Legal Officer, LPL Financial LLC
Aug. 7, 2018 Catherine J. Weatherford, President & CEO, Insured Retirement Institute
Aug. 7, 2018 Gregory J. Karis, Inflection Advisors
Aug. 7, 2018 Jason Mulvihill, General Counsel, American Investment Council
Aug. 7, 2018 Kevin R. Keller, Chief Executive Officer, CFP Board, et al., Finnancial Planning Coalition
Aug. 7, 2018 Neal J. Solomon, Managing Member, WealthPro, LLC
Aug. 7, 2018 Patrick T. Morris, President & CEO, Association for Corporate Growth
Aug. 7, 2018 George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section
Aug. 7, 2018 Bret C. Duffy, Senior Managing Director, Teachers Insurance and Annuity Association of America (TIAA)
Aug. 7, 2018 Monique Morrissey, Economist, and Heidi Shierholz, Senior Economist and Director of Policy, Economic Policy Institute
Aug. 7, 2018 Ram Subramaniam, Head of Brokerage and Investment Solutions, Fidelity Investments, and David Forman, Chief Legal Officer, Fidelity Brokerage Services LLC
Aug. 7, 2018 Jason Bortz, Senior Counsel, Capital Research and Management Company
Aug. 7, 2018 Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Aug. 7, 2018 Craig D. Pfeiffer, President and CEO, Money Management Institute
Aug. 7, 2018 Raymond J. Manista, Executive Vice President, Northwestern Mutual Life Insurance Company
Aug. 7, 2018 Justin Smith, SVP and Deputy General Counsel, Retirement and In, Voya Financial, Inc.
Aug. 7, 2018 Kayla Martin, Legal Intern, and Christine Lazaro, Director and Professor of Clinical Legal Education; Securities Arbitration Clinic, St. John's University School of Law
Aug. 7, 2018 Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jiří Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Aug. 7, 2018 Jon Stein, Founder and CEO, et al., Betterment LLC
Aug. 7, 2018 Gregory J. Karis, Inflection Advisors
Aug. 7, 2018 Jean-Luc Bourdon, CPA/PFS, Chair, Personal Financial Planning Legislative and Regulatory Task Force, and Charles R. Kowal, Chair, Personal Financial Planning Executive Committee; AICPA
Aug. 7, 2018 Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network
Aug. 7, 2018 George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section
Aug. 7, 2018 Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management
Aug. 7, 2018 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Jiří Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Aug. 7, 2018 David Certner, Legislative Counsel and Legislative Policy Directo, AARP
Aug. 7, 2018 Nora M. Everett, President, Retirement and Income Solutions, Principal Financial Group
Aug. 7, 2018 Mortimer J. Buckley, President and Chief Executive Officer, The Vanguard Group, Inc.
Aug. 7, 2018 Ann M. Kappler, Senior Vice President, Deputy General Counsel, Prudential Financial, Inc.
Aug. 7, 2018 Robin C. Swope, Director, Global Product Governance & Support, Invesco Advisers, Inc.
Aug. 7, 2018 Eric E. Haas, Altruist Financial Advisors LLC
Aug. 7, 2018 Tom Clark, Managing Director, and Sean Murphy, Vice President, BlackRock, Inc.
Aug. 7, 2018 Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc.
Aug. 7, 2018 Royce A. Charney, J.D., President, Trust Administrators, Inc.
Aug. 7, 2018 Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy
Aug. 7, 2018 Lisa D. Crossley, Executive Director, The National Society of Compliance Professionals
Aug. 7, 2018 Bobby Franklin, President and CEO, National Venture Capital Association
Aug. 7, 2018 Tom P. Quaadman, Executive Vice President, CCMC, US Chamber of Commerce
Aug. 7, 2018 Timothy W. Cameron, Head, and Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA AMG
Aug. 7, 2018 Paul Schott Stevens, President and CEO, Investment Company Institute
Aug. 7, 2018 Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA
Aug. 7, 2018 Mark Heckert, Vice President, Pricing and Analytics, ICE Data Services
Aug. 7, 2018 Tim Rouse, Executive Director, SPARK Institute, Inc.
Aug. 7, 2018 Brian Jones, NextGen Financial Advice
Aug. 7, 2018 David Spector, Legal Advantage Investments, Inc.
Aug. 7, 2018 Jason E. Brown, et al., Ropes & Gray LLP
Aug. 7, 2018 Lexie Pankratz, Owner, Trailhead Consulting, LLC
Aug. 7, 2018 John Robinson
Aug. 7, 2018 Tyler Gellasch, Executive Director, Healthy Markets Association
Aug. 7, 2018 Douglas Eu, CEO, Allianz Global Investors U.S.
Aug. 7, 2018 Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management
Aug. 7, 2018 Gary Retelny, President and Chief Executive Officer, Institutional Shareholder Services Inc.
Aug. 7, 2018 Jon Stein, Founder and CEO, et al., Betterment LLC
Aug. 7, 2018 Robert D. Oros, Chief Executive Officer, HD Vest Financial Services
Aug. 7, 2018 R. Scott Henderson, Bank of America
Aug. 7, 2018 Gregory B. McShea, Janney Montgomery Scott LLC
Aug. 7, 2018 David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Aug. 7, 2018 Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Aug. 7, 2018 Paul C. Reilly, Chairman and CEO, Raymond James Financial
Aug. 7, 2018 Jennifer B. Harper
Aug. 6, 2018 Gordon O. Donohue
Aug. 6, 2018 Gary Bruebaker, Chief Investment Officer, Washington State Investment Board
Aug. 6, 2018 Elise Sanguinetti, President, American Association for Justice
Aug. 6, 2018 Jennipher Lommen, Owner, Wildflower Financial LLC
Aug. 6, 2018 Donna J. Grubb
Aug. 6, 2018 Sean R. Walters, Investments Wealth Institute
Aug. 6, 2018 Ronald Rhoades, Asst. Professor, Finance Department, Western Kentucky University
Aug. 6, 2018 Stacey P. Sullivan
Aug. 6, 2018 Christopher Gilkerson, SVP, General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab & Co., Inc
Aug. 6, 2018 Fiona Reynolds, Chief Executive Officer, Principles for Responsible Investment
Aug. 6, 2018 Craig S. Tyle, Executive Vice President and General Counsel, Franklin Resources, Inc.
Aug. 6, 2018 Steve McMannus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company
Aug. 6, 2018 Karen L. Barr, President and CEO, Investment Adviser Association
Aug. 6, 2018 Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA)
Aug. 6, 2018 Christopher Jones, Chief Investment Officer, Financial Engines
Aug. 6, 2018 Wade S. Wilkinson, President, CEO, Securities Service Network, LLC
Aug. 6, 2018 Ben Brown, Founder & CEO, Entelechy
Aug. 6, 2018 Douglas M. Ommen, Iowa Insurance Commissioner
Aug. 4, 2018 Mark Generales
Aug. 3, 2018 Jigar Gandhi, American Council of Life Insurers
Aug. 3, 2018 Emanuel Alves, Senior Vice President & General Counsel, John Hancock Life Insurance Company (U.S.A)
Aug. 3, 2018 Jim Phillips
Aug. 2, 2018 Martha Menard
Aug. 2, 2018 Kent A. Mason, Davis & Harman LLP
Aug. 2, 2018 Max L. Schatzow, Stark & Stark, PC
Aug. 2, 2018 Karen L. Barr, President and CEO, Investment Adviser Association
Aug. 2, 2018 Michael Kitces, Co-Founder, XY Planning Network
Aug. 1, 2018 Kenneth A. Gilpin, Sound Investments, Inc.
Aug. 1, 2018 Alexander B. Yeager, Founder/Owner of Everlong Financial, Certified Financial Planner
Jul. 31, 2018 Cory Nichols
Jul. 31, 2018 Ken Fisher, Executive Chairman, Fisher Investments
Jul. 31, 2018 Daniel Wrenne, CFP, CLU, ChFC
Jul. 31, 2018 Kyle Mast, Certified Financial Planner, Owner or Clarity Financial LLC
Jul. 31, 2018 John Cooney, Green and Gold Financial Planning, LLC
Jul. 31, 2018 Ken Fisher, Executive Chairman, Fisher Investments
Jul. 31, 2018 PJ Wallin
Jul. 31, 2018 Spencer Stephens
Jul. 31, 2018 Joe Matelich
Jul. 31, 2018 Amy Irvine, Irvine Wealth Planning Strategies, LLC
Jul. 31, 2018 Arlene Moss
Jul. 30, 2018 CFP Jeffrey Guella
Jul. 30, 2018 L. A. Schnase, Individual Investor and Attorney at Law
Jul. 30, 2018 Chip Workman
Jul. 29, 2018 Lawrence H. Luebbert
Jul. 27, 2018 Eric S. Westberg, Chairman & CEO, KMS Financial Services, Inc.
Jul. 27, 2018 Kevin J. Miller, Executive Vice President & General Counsel, Securities America, Inc.
Jul. 27, 2018 Jeffrey Esker, Private Wealth Advisor, Certified Financial Planner with Ameriprise Financial
Jul. 26, 2018 Doug Baxley, Vice President, Fiduciary and Retirement Services, Ladenburg Thalmann Financial Services Inc.
Jul. 26, 2018 Patrick Farrell, President and Chief Executive Officer, Investacorp, Inc.
Jul. 26, 2018 Jeffrey L. Rosenthal, President and CEO, Triad Advisors, LLC
Jul. 25, 2018 James Reim, The Investment Center of Erie
Jul. 24, 2018 Lawrence E. Maddox, Horizon Advisors
Jul. 24, 2018 Jeffrey W. McClure, CFP® , President, The Personal Wealth Coach®
Jul. 23, 2018 Paul Marascalco
Jul. 23, 2018 Steven Sivak, CFP
Jul. 23, 2018 Susan Shigenaga
Jul. 21, 2018 Gary W. Hobbs, Ph.D
Jul. 21, 2018 Juanita Fontaine
Jul. 21, 2018 Scott D. Horsburgh, CFA, President, Provident Investment Management, Inc.
Jul. 16, 2018 Elyette M. Weinstein
Jul. 13, 2018 Paul Jacobs
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. 22, 2018 Tamar Frankel, Robert B. Kent Professor of Law, Boston University School of Law
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

Transcripts from Investor Roundtables

(Click here for submitted comments from the public)
Aug. 10, 2018 Roundtable on July 25, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 9, 2018 Roundtable on July 12, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 6, 2018 Roundtable on July 17, 2018 Regarding Standards of Conduct for Investment Professionals
Aug. 6, 2018 Roundtable on July 9, 2018 Regarding Standards of Conduct for Investment Professionals
Jul. 31, 2018 Roundtable on June 13, 2018 Regarding Standards of Conduct for Investment Professionals
Jul. 31, 2018 Roundtable on June 4, 2018 Regarding Standards of Conduct for Investment Professionals

Meetings with SEC Officials

(Click here for submitted comments from the public)
Sep. 18, 2018 Memorandum from the Office of the Chairman regarding a September 13, 2018, meeting with representatives of Better Markets:
Sep. 18, 2018 Memorandum from the Office of the Chairman regarding a September 17, 2018, meeting with representatives of AARP
Sep. 17, 2018 Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of the Investment Adviser Association
Sep. 17, 2018 Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of Betterment
Sep. 14, 2018 Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the the Institute for Portfolio Alternatives
Sep. 14, 2018 Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness
Sep. 13, 2018 Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Sep. 13, 2018 Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Sep. 6, 2018 Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO
Aug. 23, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute
Aug. 21, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity
Aug. 17, 2018 Memorandum from the Office of the Chairman regarding an August 16, 2018, meeting with representatives of Charles Schwab
Aug. 17, 2018 Memorandum from the Office of the Chairman regarding an August 15, 2018, meeting with representatives of Morningstar
Aug. 16, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding an August 16, 2018, meeting with representatives of Institutional Limited Partners Association (ILPA)
Aug. 9, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 9, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Services Institute
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of The Institute for the Fiduciary Standard
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a June 5, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Industry Regulatory Authority
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of the U.S. Chamber of Commerce
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Investment Adviser Association
Aug. 7, 2018 Memorandum from the Office of the Chairman regarding an April 26, 2018, meeting with representatives of the Consumer Federation of America
Aug. 6, 2018 Memorandum from the Office of the Chairman regarding an August 6, 2018, meeting with with Teresa J. Verges (Director, Investor Rights Clinic, University of Miami School of Law) and Christine Lazaro (Director, Securities Arbitration Clinic, St. John's University School of Law)
Aug. 6, 2018 Memorandum from the Office of the Chairman regarding an August 1, 2018, meeting with representatives of Capital Group
Aug. 3, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding an August 1, 2018 meeting with representatives of Capital Group
Aug. 1, 2018 Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of Capital Group
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with SIFMA
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 1, 2018, meeting with representatives of Capital Group
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of FINRA Board of Governors
Aug. 1, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 5, 2018, meeting with representatives of the Financial Services Institute Board of Directors
Jul. 31, 2018 Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of Edward Jones
Jul. 31, 2018 Memorandum from the Office of the Commissioner Hester M. Peirce regarding a July 30, 2018, meeting with representatives of Edward Jones
Jul. 30, 2018 Memorandum from the Division of Trading and Markets regarding a July 30, 2018, meeting with representatives of Edward Jones
Jul. 26, 2018 Memorandum from the Office of the Chairman regarding a July 24, 2018, meeting with representatives of Insured Retirement Institute
Jul. 25, 2018 Memorandum from the Division of Investment Management regarding a July 23, 2018, meeting with representatives of AALU
Jul. 24, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 24, 2018, meeting with the Insured Retirement Institute
Jul. 24, 2018 Memorandum from the Office of the Chairman regarding a July 23, 2018, meeting with representatives of AALU
Jul. 24, 2018 Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of SIFMA
Jul. 24, 2018 Memorandum from the Division of Trading and Markets regarding a July 23, 2018, telephone meeting with representatives of Iowa Insurance Division
Jul. 24, 2018 Memorandum from the Division of Investment Management regarding a July 24, 2018, meeting with representatives of Charles Schwab & Co.
Jul. 23, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of SIFMA
Jul. 23, 2018 Memorandum from the Office Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of the Association for Advanced Life Underwriting
Jul. 23, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 17, 2018, meeting with representatives the American Securities Association
Jul. 18, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of Jane Street
Jul. 17, 2018 Memorandum from the Office of the Chairman regarding a July 17, 2018, meeting with representatives of American Securities Association
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