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 regarding an August 9, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Investor Roundtable Roundtable on July 12, 2018 Regarding Standards of Conduct for Investment Professionals
Public Comment Ann Wagner, Member of Congress, et al.
Public Comment Schulte Roth Zabel & LLP
Public Comment Ann M. Kappler, Senior Vice President, Deputy General Counsel, Prudential Financial, Inc.
Public Comment Anne Tennant, Managing Director and General Counsel, Morgan Stanley Smith Barney LLC
Public Comment Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Public Comment Bobby Franklin, President and CEO, National Venture Capital Association
Public Comment Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network
Public Comment Bret C. Duffy, Senior Managing Director, Teachers Insurance and Annuity Association of America (TIAA)
Public Comment Brian Hamburger, President and CEO, MarketCounsel
Public Comment Brian Jones, NextGen Financial Advice
Public Comment Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA
Public Comment Catherine J. Weatherford, President & CEO, Insured Retirement Institute
Public Comment Chris Lewis, General Counsel, Edward D. Jones and Co., L.P.
Public Comment Craig D. Pfeiffer, President and CEO, Money Management Institute
Public Comment Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds
Public Comment David Certner, Legislative Counsel and Legislative Policy Directo, AARP
Public Comment David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company
Public Comment David Spector, Legal Advantage Investments, Inc.
Public Comment David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Public Comment Dechert LLP
Public Comment Donald W. Nicholson, President, Donald W. Nicholson & Associates, Ltd.
Public Comment Doug Eu, CEO, Allianz Global Investors
Public Comment Douglas Eu, CEO, Allianz Global Investors U.S.
Public Comment Eric E. Haas, Altruist Financial Advisors LLC
Public Comment Gary Retelny, President and Chief Executive Officer, Institutional Shareholder Services Inc.
Public Comment George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section
Public Comment George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section
Public Comment Gregory B. McShea, Janney Montgomery Scott LLC

Last Reviewed or Updated: Dec. 18, 2025

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