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 Jack Ehnes, Chief Executive Officer, California State Teachers' Retirement System
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 4, 2018, meeting with representatives of LPL Financial
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 3, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 20, 2018, meeting with representatives of Investments & Wealth Institute
Public Comment Tan Liu
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a September 12, 2018, meeting with members of the Investor Advisory Committee
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 13, 2018, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 17, 2018, meeting with representatives of AARP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of Betterment
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Public Comment Maxine Waters, Ranking Member, Committee on Financial Services, U.S. House of Representatives, et al.
Public Comment Diana Shore Joslin
Public Comment Michelle Keating
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO
Public Comment Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 30, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA)
Public Comment Paul N. Roth, Chair, and Barry P. Barbash, Vice Chair, Hedge Funds Subcommittee, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Joseph P. Borg, President, North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 15, 2018, meeting with representatives of Morningstar
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 16, 2018, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an August 16, 2018, meeting with representatives of Institutional Limited Partners Association (ILPA)
Public Comment Nancy A. LeaMond, Executive Vice President, AARP
Public Comment Bob Growhowski, Senior Legal Counsel, and Jon Siegel, T. Rowe Price, Senior Legal Counsel, T. Rowe Price
Investor Roundtable Roundtable on July 25, 2018 Regarding Standards of Conduct for Investment Professionals

Last Reviewed or Updated: Dec. 18, 2025

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