Comments on Proposed Rule: Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 14, 2022 meeting with the Small Business Investor Alliance
Public Comment Jason Seligman, Senior Economist, Investment Company Institute and Matthew Thornton, Associate General Counsel, Investment Company Institute
Public Comment Mo Abdullah
Staff Study SEC Office of the Investor Advocate's Research Regarding Performance Benchmarks
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an August 23, 2022 meeting with representatives of Broadridge Financial Solutions
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 17, 2022 meeting with representatives of Broadridge Financial Solutions
Public Comment Billy Dogwhistle
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 19, 2022 teleconference with representatives of the Investment Company Institute
Public Comment Ryan O'Malley
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 8, 2021 teleconference with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 12, 2021 meeting with representatives of Broadridge Financial Solutions
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline A. Crenshaw regarding an October 8 and 15, 2021 meetings with representatives of Broadridge Financial Solutions
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 15, 2021 teleconference with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline A. Crenshaw regarding a July 7, 2021, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 23, 2021, teleconference with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 28, 2021, meeting with representatives of Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 23, 2021, teleconference with representatives of Vanguard
Public Comment M. Yass
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 16, 2021, conference call with representatives from John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 15, 2021, conference call with representatives from Charles Schwab Investment Management, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 24, 2021, teleconference with representatives of the Financial Industry Regulatory Authority
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 14, 2021 meeting with representatives from the Investment Company Institute
Public Comment Tom Riker
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 1, 2021, teleconference with representatives from T. Rowe Price Associates, Inc.
Public Comment Rosanne D. Balfour
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 17, 2021, teleconference with representatives of Capital Group.
Public Comment Diamond
Public Comment Anonymous
Public Comment James McRitchie, Shareholder Advocate, CorpGov.net
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a March 3, 2021, meeting with representatives of Broadridge Financial Solutions, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-20
Release Number
33-10814
34-89478
IC-33963
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