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 Kenneth A. Gilpin, Sound Investments, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of FINRA Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 5, 2018, meeting with representatives of the Financial Services Institute Board of Directors
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 1, 2018, meeting with representatives of Capital Group
Public Comment Amy Irvine, Irvine Wealth Planning Strategies, LLC
Public Comment Arlene Moss
Public Comment Cory Nichols
Public Comment Daniel Wrenne, CFP, CLU, ChFC
Public Comment Joe Matelich
Public Comment John Cooney, Green and Gold Financial Planning, LLC
Public Comment Ken Fisher, Executive Chairman, Fisher Investments
Public Comment Ken Fisher, Executive Chairman, Fisher Investments
Public Comment Kyle Mast, Certified Financial Planner, Owner or Clarity Financial LLC
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of Edward Jones
Meeting with SEC Officials Memorandum from the Office of the Commissioner Hester M. Peirce regarding a July 30, 2018, meeting with representatives of Edward Jones
Public Comment PJ Wallin
Investor Roundtable Roundtable on June 13, 2018 Regarding Standards of Conduct for Investment Professionals
Investor Roundtable Roundtable on June 4, 2018 Regarding Standards of Conduct for Investment Professionals
Public Comment Spencer Stephens
Public Comment CFP Jeffrey Guella
Public Comment Chip Workman
Public Comment L. A. Schnase, Individual Investor and Attorney at Law
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 30, 2018, meeting with representatives of Edward Jones
Public Comment Lawrence H. Luebbert
Public Comment Eric S. Westberg, Chairman & CEO, KMS Financial Services, Inc.
Public Comment Jeffrey Esker, Private Wealth Advisor, Certified Financial Planner with Ameriprise Financial
Public Comment Kevin J. Miller, Executive Vice President & General Counsel, Securities America, Inc.
Public Comment Doug Baxley, Vice President, Fiduciary and Retirement Services, Ladenburg Thalmann Financial Services Inc.

Last Reviewed or Updated: Dec. 18, 2025

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