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 March 18, 2019, meeting with representatives of the American Council of Life Insurers
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 7, 2019, call with a representative of the Investment Company Institute
Public Comment Matthew Newell, Associate General Counsel, and Benjamin Allensworth, Associate General Counsel, Managed Fund Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a February 20, 2019, meeting with representatives of Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a January 16, 2019, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a January 9, 2019, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 13, 2019, meeting with representatives of the Investment Advisers Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 5, 2019, meeting with a representative of SIFMA
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 20, 2019, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson Jr. regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 13, 2019, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 12, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2019, meeting with representatives of the SEC's Fort Worth Regional Office Risk Mitigation Forum
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 28, 2018, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 5, 2019, meeting with representatives of of the North American Securities Administrators Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 6, 2019, meeting with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a February 28, 2019, meeting with representatives of AARP
Public Comment Tom Kmak, Founder and Chief Executive Officer, Fiduciary Benchmarks, Inc.
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 21, 2019, meeting with Chester Spratt and Mark Flannery
Public Comment Jason Mulvihill, Chief Operating Officer General Counsel, American Investment Council
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 13, 2019, phone meeting with former SEC Chief Economist, Craig Lewis
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 12, 2019, meeting with representatives of AARP
Public Comment Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association, et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a December 17, 2018 discussion with representatives of Betterment
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a November 16, 2018 discussion with representatives of Fidelity

Last Reviewed or Updated: Dec. 18, 2025

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