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 the Chairman regarding a May 30, 2018, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 26, 2018, meeting with representatives of the Consumer Federation of America
Public Comment Michelle Bryan Oroschakoff, Chief Legal Officer, LPL Financial LLC
Public Comment Michelle Gass, Paradigm Advisors LLC
Public Comment Monique Morrissey, Economist, and Heidi Shierholz, Senior Economist and Director of Policy, Economic Policy Institute
Public Comment Mortimer J. Buckley, President and Chief Executive Officer, The Vanguard Group, Inc.
Public Comment Neal J. Solomon, Managing Member, WealthPro, LLC
Public Comment Nora M. Everett, President, Retirement and Income Solutions, Principal Financial Group
Public Comment Patrick T. Morris, President & CEO, Association for Corporate Growth
Public Comment Paul C. Reilly, Chairman and CEO, Raymond James Financial
Public Comment Paul Schott Stevens, President and CEO, Investment Company Institute
Public Comment R. Scott Henderson, Bank of America
Public Comment Ram Subramaniam, Head of Brokerage and Investment Solutions, Fidelity Investments, and David Forman, Chief Legal Officer, Fidelity Brokerage Services LLC
Public Comment Raymond J. Manista, Executive Vice President, Northwestern Mutual Life Insurance Company
Public Comment Robert D. Oros, Chief Executive Officer, HD Vest Financial Services
Public Comment Robert J. Moore, Chief Executive Officer, Cetera Financial Group
Public Comment Robin C. Swope, Director, Global Product Governance & Support, Invesco Advisers, Inc.
Public Comment Royce A. Charney, J.D., President, Trust Administrators, Inc.
Public Comment Seth A. Miller, General Counsel, Senior Vice President, Chief Risk Officer, Cambridge Investment Research, Inc.
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Public Comment Tim Rouse, Executive Director, SPARK Institute, Inc.
Public Comment Timothy W. Cameron, Head, and Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA AMG
Public Comment Tom Clark, Managing Director, and Sean Murphy, Vice President, BlackRock, Inc.
Public Comment Tom P. Quaadman, Executive Vice President, CCMC, US Chamber of Commerce
Public Comment Tyler Gellasch, Executive Director, Healthy Markets Association
Public Comment William F. Galvin, Secretary of the Commonwealth of Massachusetts
Public Comment Ben Brown, Founder & CEO, Entelechy
Public Comment Christopher Gilkerson, SVP, General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab & Co., Inc
Public Comment Christopher Jones, Chief Investment Officer, Financial Engines

Last Reviewed or Updated: Dec. 18, 2025

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