Comments on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding an October 19, 2023 meeting with Vanguard
Meeting with SEC Officials Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a July 13, 2023 meeting with representatives of Wells Fargo
Public Comment Kody Dale
Public Comment Scooter Oehlerking
Public Comment Robert Neal
Public Comment Jerod Breland
Public Comment Ivan Romero
Public Comment Matt Lawrence
Public Comment Stuart M.
Public Comment Garrett Grzybowski
Public Comment Jeremy Lewis
Public Comment Howard Meyers
Public Comment Robert Albino
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 15, 2022 meeting with Professor James Tierney, University of Nebraska College of Law
Public Comment lisa ellen richards
Public Comment Joey Gong
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 1, 2022 meeting with Betterment
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 9, 2022 meeting with Friends of Fiduciary Group
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a November 17, 2021 virtual meeting with representatives of Robinhood
Public Comment Kristen Malinconico, Director, U.S. Chamber of Commerce, Center for Capital Markets Competitiveness
Public Comment Craig Tucker
Public Comment Ronnie Lee Sherfey, CEO, Sherfey Investment Firm LLC
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 8, 2021, meeting with Teresa Verges
Public Comment Simon Kogan
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 4, 2021 meeting with representatives of Robinhood Financial, LLC
Public Comment Joshua
Public Comment Julius Leiman-Carbia, Chief Legal Officer, Wealthfront Corporation
Public Comment Luke Burnett

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-10-21
Release Number
34-92766
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