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 Jeffrey L. Rosenthal, President and CEO, Triad Advisors, LLC
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 24, 2018, meeting with representatives of Insured Retirement Institute
Public Comment Patrick Farrell, President and Chief Executive Officer, Investacorp, Inc.
Public Comment James Reim, The Investment Center of Erie
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 23, 2018, meeting with representatives of AALU
Public Comment Jeffrey W. McClure, CFP® , President, The Personal Wealth Coach®
Public Comment Lawrence E. Maddox, Horizon Advisors
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 24, 2018, meeting with representatives of Charles Schwab & Co.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 23, 2018, telephone meeting with representatives of Iowa Insurance Division
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 24, 2018, meeting with the Insured Retirement Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 23, 2018, meeting with representatives of AALU
Meeting with SEC Officials Memorandum from the Office Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of the Association for Advanced Life Underwriting
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 17, 2018, meeting with representatives the American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of SIFMA
Public Comment Paul Marascalco
Public Comment Steven Sivak, CFP
Public Comment Susan Shigenaga
Public Comment Gary W. Hobbs, Ph.D
Public Comment Juanita Fontaine
Public Comment Scott D. Horsburgh, CFA, President, Provident Investment Management, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of Jane Street
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 17, 2018, meeting with representatives of American Securities Association
Public Comment Elyette M. Weinstein
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2018, meeting with representatives of Morningstar, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 13, 2018, meeting with representatives of New York Life Insurance Company
Public Comment Paul Jacobs
Meeting with SEC Officials Memorandum from the Office of Chairman Jay Clayton regarding a July 11, 2018, meeting with representatives of Fidelity Investments

Last Reviewed or Updated: Dec. 18, 2025

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