Comments on Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation

Filter comments

Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 22, 2018, meeting with representatives of the Investment Adviser Association
Public Comment Benjamin Prybutok
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 27, 2018, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a June 27, 2018, telephone meeting with representatives of the North American Securities Administrators Association
Public Comment Amy McCloud
Public Comment Frank J. Nasta, Chair, Committee on Investment Management Regulation, New York City Bar Association
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a June 21, 2018, meeting with representatives of the Investment Adviser Association
Public Comment Tamar Frankel, Robert B. Kent Professor of Law, Boston University School of Law
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 20, 2018, meeting with representatives of Financial Engines
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the Boston Asset Management Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the CFA Institute
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 4, 2018, meeting with representatives of the North American Securities Administrators Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 11, 2018, meeting with representatives of the Investment Company Institute
Public Comment Peter E. Bulger, Front Street Consulting
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a June 6, 2018, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 6, 2018, meeting with representatives of the Financial Planning Association and the Certified Financial Planner Board of Standards, Inc.
Public Comment David S. Addington, Senior Vice President, General Counsel, National Federation of Independent Business (NFIB)
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 24, 2018, meeting with representatives of the National Association of Insurance Commissioners
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 16, 2018, meeting with representatives of Dechert LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 16, 2018, meeting with representatives of Empower Retirement
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a May 18, 2018, telephone meeting with representatives of Donnelley Financial Solutions
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 9, 2018, meeting with representatives of AIG
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of Primerica
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a May 10, 2018, meeting with representatives of Americans for Financial Reform, Public Citizen, the American Federation of State, County and Municipal Employees and the AFL-CIO
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-18
Release Number
IA-4889
Related Materials
How to submit comments