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
Public Comment Anonymous
Public Comment Anonymous
Public Comment Christopher Cronk
Public Comment James Robinson
Public Comment John Aucamp
Public Comment Rob Rosenblum
Public Comment Acorns
Public Comment Alexander Zedlovich, Student Intern and Christine Lazaro, Esq., Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education, St. John's University School of Law Securities Arbitration Clinic
Public Comment Anne Tennant, Managing Director and General Counsel, Morgan Stanley Wealth Management
Public Comment Aron Szapiro, Head of Retirement Studies and Public Policy, Morningstar, Inc. and Morningstar Investment Management, LLC; Jasmin Sethi, Associate Director of Policy Research, Morningstar, Inc.; and Steve Wendel, Head of Behavioral Science, Morningstar, Inc.
Public Comment Brandon Krieg, CEO, Stash Financial, Inc. and Stash Investments LLC
Public Comment Craig Pfeiffer, President and CEO, Money Management Institute
Public Comment David Dusseault, President, Robinhood Financial, LLC
Public Comment David Forman, Fidelity Investments, Chief Legal Officer
Public Comment David P. Meyer, President, Public Investors Advocate Bar Association
Public Comment Denise Quinehan
Public Comment Emily Micale, Director, Federal Regulatory Affairs, Insured Retirement Institute
Public Comment Envestnet Asset Management, Inc.
Public Comment Eversheds Sutherland (US) LLP for the Committee of Annuity Insurers
Public Comment Gail C. Bernstein, General Counsel, Investment Adviser Association
Public Comment Ivor Wolk, General Counsel, YieldStreet Inc.
Public Comment James F. Tierney, Assistant Professor of Law, University of Nebraska College of Law
Public Comment Jennifer Schulp, Director of Financial Regulation Studies, Center for Monetary and Financial Alternatives, Cato Institute
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Kurt Schacht, CFA, JD, Managing Director, CFA Institute Advocacy and Karina Karakulova, Sr. Manager, Capital Markets Policy, Americas
Public Comment Melanie Senter Lubin, NASAA President and Maryland Securities Commissioner,North American Securities Administrators Association
Public Comment Pace Investor Rights Clinic, Daiquan Frasier, Student Intern, Diego Gomez, Student Intern, Jonathan Lee, Student Intern and Elissa Germaine, Director, Pace Investor Rights Clinic
Public Comment Pamela Lewis Marlborough, Managing Director and Associate General Counsel, Teachers Insurance and Annuity Association of America
Public Comment Penny Lee, CEO, Financial Technology Association
Public Comment Renee Barnett, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute

Last Reviewed or Updated: Dec. 18, 2025

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