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 Gregory J. Karis, Inflection Advisors
Public Comment Gregory J. Karis, Inflection Advisors
Public Comment Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management
Public Comment Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management
Public Comment James J. Angel, Associate Professor of Finance, Georgetown University
Public Comment Jason Bortz, Senior Counsel, Capital Research and Management Company
Public Comment Jason E. Brown, et al., Ropes & Gray LLP
Public Comment Jason Mulvihill, General Counsel, American Investment Council
Public Comment Jean-Luc Bourdon, CPA/PFS, Chair, Personal Financial Planning Legislative and Regulatory Task Force, and Charles R. Kowal, Chair, Personal Financial Planning Executive Committee; AICPA
Public Comment Jennifer B. Harper
Public Comment John Robinson
Public Comment Jon Stein, Founder and CEO, et al., Betterment LLC
Public Comment Jon Stein, Founder and CEO, et al., Betterment LLC
Public Comment Justin Smith, SVP and Deputy General Counsel, Retirement and In, Voya Financial, Inc.
Public Comment Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc.
Public Comment Kayla Martin, Legal Intern, and Christine Lazaro, Director and Professor of Clinical Legal Education; Securities Arbitration Clinic, St. John's University School of Law
Public Comment Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Public Comment Kevin R. Keller, Chief Executive Officer, CFP Board, et al., Finnancial Planning Coalition
Public Comment Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy
Public Comment Lexie Pankratz, Owner, Trailhead Consulting, LLC
Public Comment Lisa D. Crossley, Executive Director, The National Society of Compliance Professionals
Public Comment Marc Cadin, Chief Operating Officer, Association of Advanced Life Underwriting
Public Comment Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Public Comment Mark Heckert, Vice President, Pricing and Analytics, ICE Data Services
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of The Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 5, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Industry Regulatory Authority
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Services Institute

Last Reviewed or Updated: Dec. 18, 2025

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