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 Craig S. Tyle, Executive Vice President and General Counsel, Franklin Resources, Inc.
Public Comment Donna J. Grubb
Public Comment Douglas M. Ommen, Iowa Insurance Commissioner
Public Comment Elise Sanguinetti, President, American Association for Justice
Public Comment Fiona Reynolds, Chief Executive Officer, Principles for Responsible Investment
Public Comment Gary Bruebaker, Chief Investment Officer, Washington State Investment Board
Public Comment Gordon O. Donohue
Public Comment Jennipher Lommen, Owner, Wildflower Financial LLC
Public Comment Karen L. Barr, President and CEO, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 1, 2018, meeting with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an August 6, 2018, meeting with with Teresa J. Verges (Director, Investor Rights Clinic, University of Miami School of Law) and Christine Lazaro (Director, Securities Arbitration Clinic, St. John's University School of Law)
Public Comment Ronald Rhoades, Asst. Professor, Finance Department, Western Kentucky University
Investor Roundtable Roundtable on July 17, 2018 Regarding Standards of Conduct for Investment Professionals
Investor Roundtable Roundtable on July 9, 2018 Regarding Standards of Conduct for Investment Professionals
Public Comment Sean R. Walters, Investments Wealth Institute
Public Comment Stacey P. Sullivan
Public Comment Steve McManus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company
Public Comment Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA)
Public Comment Wade S. Wilkinson, President, CEO, Securities Service Network, LLC
Public Comment Mark Generales
Public Comment Emanuel Alves, Senior Vice President & General Counsel, John Hancock Life Insurance Company (U.S.A)
Public Comment Jigar Gandhi, American Council of Life Insurers
Public Comment Jim Phillips
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an August 1, 2018 meeting with representatives of Capital Group
Public Comment Karen L. Barr, President and CEO, Investment Adviser Association
Public Comment Kent A. Mason, Davis & Harman LLP
Public Comment Martha Menard
Public Comment Max L. Schatzow, Stark & Stark, PC
Public Comment Michael Kitces, Co-Founder, XY Planning Network
Public Comment Alexander B. Yeager, Founder/Owner of Everlong Financial, Certified Financial Planner

Last Reviewed or Updated: Dec. 18, 2025

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