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
Public Comment RAND Corporation
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an October 31, 2018, meeting with representatives of the North American Securities Administrators Association
Public Comment Brian H. Graff, Chief Executive Officer, American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 31, 2018, meeting with with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 31, 2018, meeting with with representatives of the CFA Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an October 30, 2018, meeting with representatives of North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 30, 2018, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 30, 2018, meeting with representatives of the Investments & Wealth Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU)
Investor Roundtable Roundtable on September 20, 2018 Regarding Standards of Conduct for Investment Professionals
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 29, 2018, meeting with representatives of AIG and others
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 26, 2018, meeting with representatives of the Public Investors Arbitration Bar Association (PIABA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of New York Life Insurance Company
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of the Institutional Limited Partners Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 25, 2018, meeting with representatives of the Public Investors Arbitration Bar Association
Public Comment Dennis Kelleher, President and CEO, et al., Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 24, 2018, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of Primerica
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 17, 2018, meeting with Representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 12, 2018, meeting with representatives of the from Institutional Limited Partners Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 19, 2018, 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 September 28, 2018, meeting with representatives of The Institute for a Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 14, 2018, conference call with representatives of AFL-CIO
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an August 16, 2018, meeting with representatives of Charles Schwab
Public Comment RAND Corporation and the SEC's Office of the Investor Advocate

Last Reviewed or Updated: Dec. 18, 2025

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