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, Jr. regarding a November 28, 2018 discussion with representatives of Wells Fargo
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 23, 2018 discussion with representatives of Fiduciary Benchmarks
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 24, 2018 discussion with representatives of Primerica
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 30, 2018 discussion with representatives of the CFA Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 30, 2018 discussion with representatives of the Investments & Wealth Institute and Potomac Strategies LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 30, 2018 discussion with representatives of the North American Securities Administrators Association and the Maryland Securities Commissioner
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a December 10, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 10, 2018, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) and SIFMA Member Firms
Public Comment AARP and the Certified Financial Planner Board of Standards, Inc.
Public Comment AFL-CIO, et al.
Public Comment Christine Lazaro, President, Public Investors Arbitration Bar Association (PIABA)
Public Comment Gordon O. Donohue
Public Comment Knut A. Rostad, President, Institute for the Fiduciary Standard
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 30, 2018, meeting with representatives of Jackson National, et al.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 28, 2018, meeting with representatives of Wells Fargo Advisors
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 20, 2018, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America
Public Comment Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 20, 2018, meeting with representatives of American Investment Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a November 20, 2018, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 30, 2018, 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 November 13, 2018, meeting with representatives of Mass Mutual Financial Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2018, meeting with representatives of the Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 13, 2018, meeting with representatives of MassMutual
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 9, 2018, telephone meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 13, 2018, meeting with representatives of MassMutual
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 13, 2018, meeting with representatives of MassMutual

Last Reviewed or Updated: Dec. 18, 2025

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