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Comments on Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
[Release Nos. 33-9309, 34-66720, IC-30026; File No. S7-12-10]
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| Nov. 20, 2014 | Karl T. Muth |
| Oct. 22, 2014 | Glenn Dial, Managing Director, Head of Retirement Strategy, and Mark Hathaway, CFA, Director, Senior Product Specialist, Target Date Funds, Allianz Global Investors U.S. LLC |
| Aug. 20, 2014 | Jeffrey Wayne-Lynn, Boca Raton, Florida |
| Aug. 11, 2014 | Memorandum from the Division of Investment Management regarding a July 25, 2014, meeting with representatives of Allianz of America Corporation |
| Jun. 27, 2014 | Daniel R. Hayes, President, Lincoln Investment Advisors, Radnor, Pennsylvania |
| Jun. 9, 2014 | Barbara Novick, Vice Chairman, Head of Government Relations, BlackRock, Inc. and Public Policy and Chip Castille, Managing Director, Head of U.S. Retirement Group, BlackRock, Inc. |
| Jun. 9, 2014 | Russ Ivinjack, Senior Partner, and Kevin Vandolder, Partner, Hewitt EnnisKnupp, Inc., an Aon Company |
| Jun. 9, 2014 | Michael J. Hogan, President & Chief Executive Officer, FOLIOfn Investments, Inc. |
| Jun. 9, 2014 | Karin S. Feldman, Benefits and Social Insurance Policy Specialist, AFL-CIO |
| Jun. 9, 2014 | Dorothy Donohue, Acting General Counsel, Investment Company Institute |
| Jun. 9, 2014 | Fredrik Axsater, Senior Managing Director, Global Head of Defined Contribution, State Street Global Advisors |
| Jun. 9, 2014 | Micah Hauptman
Financial Services Counsel, Consumer Federation of America |
| Jun. 9, 2014 | Danielle Nichoson Smith, Legal Counsel, et al., T. Rowe Price |
| Jun. 9, 2014 | David Certner, Legislative Counsel and Legislative Policy Director, Government Affairs, AARP |
| Jun. 9, 2014 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Jun. 9, 2014 | Jeffrey S. Coons, President, Co-Director of Research, Manning & Napier |
| Jun. 9, 2014 | James Szostek, Vice President, Taxes & Retirement Security, American Council of Life Insurers |
| Jun. 9, 2014 | Michael J. Downer and James B. Lovelace, Capital Research and Management Company |
| Jun. 9, 2014 | Chris D. McIsaac, Managing Director, Institutional Investor Group, Vanguard |
| Jun. 9, 2014 | Joe Monk, Senior Vice President, State Farm Investment Management Corp. |
| Jun. 9, 2014 | Brian H. Graff, Esq., Executive Director, et al., National Association of Plan Advisors |
| Jun. 6, 2014 | Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Co. |
| Jun. 6, 2014 | Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner , Washington, District of Columbia |
| Jun. 6, 2014 | Danny Lambert, Washington, District of Columbia |
| Jun. 6, 2014 | Richard C. Dunne, President & CEO, and Dorann J. Cafaro, Director of Marketing, Bdellium, Inc., Honolulu, Hawaii |
| Jun. 5, 2014 | Louis Harvey, Presdient and CEO, DALBAR, Inc., and Joseph Nagengast, Managing Partner, Target Date Analytics LLC |
| Jun. 4, 2014 | Lisa Walsh, New Frontier Advisors, LLC |
| May 13, 2014 | Anup K. Basu, Ph.D., Senior Lecturer of Finance, Queensland University of Technology, Brisbane, Australia |
| Apr. 22, 2014 | Daniel James, Ellis Grove, Illinois |
| Apr. 15, 2014 | Jordan Olejniczak |
| Apr. 11, 2014 | Natnan Kennedy, Ithaca, New York |
| Apr. 10, 2014 | Stephen M. Batza, President & CEO, MTL Insurance Company, Oak Brook, Illinois |
| Apr. 7, 2014 | Charles Miller, Financial Services Communications Consultant, Wilmette, Illinois |
| Feb. 27, 2014 | Karrie McMillan, General Counsel, Investment Company Institute |
| Feb. 25, 2014 | Memorandum from the Division of Investment Management regarding a February 20, 2014, meeting with representatives of BlackRock, Fidelity, J.P. Morgan Asset
Management, T. Rowe Price, Vanguard, and the Investment Company Institute |
| Jan. 9, 2014 | Memorandum from the Division of Investment Management regarding a December 12, 2013, meeting with representatives of the Investment Company Institute |
| Nov. 19, 2013 | Memorandum from the Division of Investment Management regarding an August 8, 2013, meeting with representatives of the Investment Company Institute |
| Oct. 6, 2013 | Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a June 5, 2013, meeting with representatives of the Investment Company Institute |
| Apr. 11, 2013 | Recommendation of the Investor Advisory Committee: Target Date Mutual Funds |
| Dec. 13, 2012 | Memorandum from the Division of Investment Management regarding an October 24, 2012, meeting with representatives of T. Rowe Price, Vanguard, and the Investment Company Institute |
| Jul. 29, 2012 | Karl T. Muth, Lecturer in Economics, Northwestern University, Chicago, Illinois |
| Jul. 6, 2012 | Philip SL Chao, CFP®,AIFA®, Chao & Company, Ltd. |
| Jun. 1, 2012 | Financial Research Corporation, a division of Strategic Insight, New York, New York |
| May 22, 2012 | Kristi Mitchem, Senior Managing Director, Global Head of Defined Contribution, State Street Global Advisors |
| May 22, 2012 | Chris D. McIsaac, The Vanguard Group, Inc., Malvern, Pennsylvania |
| May 21, 2012 | Darrell Braman, Managing Counsel; Danielle Nicholson Smith, Managing Legal Analyst; David Oestreicher, Chief Legal Counsel; and Stephen G. Swirnow, Senior Legal Counsel, T. Rowe Price Investment Services, Inc. |
| May 21, 2012 | Scott C. Goebel, Senior Vice President, General Counsel, FMR Co., Fidelity Investments |
| May 21, 2012 | Dorothy M. Donohue, Deputy General Counsel – Securities Regulation, Investment Company Institute |
| May 21, 2012 | Jeffrey S. Coons, Ph.D., CFA, President, Manning & Napier Advisors, LLC |
| May 21, 2012 | George Miller, Senior Democratic Member and Robert
E. Andrews, Ranking Member, Subcommittee on Health, Employment, Labor and Pensions |
| May 21, 2012 | Michael J. Hogan, CEO & President, FOLIOfn Investments Inc. |
| May 21, 2012 | Andrew Owen, Executive Vice President, Wells Fargo Funds Management, LLC, San Francisco, California |
| May 21, 2012 | Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable, Washington, District of Columbia |
| May 18, 2012 | David Falkof, Josh Charlson, Laura P. Lutton, Jeremy Stempien, Thomas Idzorek, Mary Beth Glotzbach, Avery Armour, and Chris Kielion, Morningstar, Inc., Chicago, Illinois |
| May 18, 2012 | Daniel A. Notto, Senior Vice President and Senior Retirement Plan Counsel, AllianceBernstein Investments, Inc. |
| May 16, 2012 | Martha Coakley, Attorney General of Massachusetts, and Glenn Kaplan, Assistant Attorney General, Insurance & Financial Services Division |
| May 14, 2012 | William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| May 2, 2012 | Richard L. Pugh, CFP, Instructor, The American College and University of North Carolina, Wilmington, Jacksonville, North Carolina |
| Apr. 19, 2012 | Patricia M. Stolte, small business owner, administrator of company 401K plan, Nantucket, Massachusetts |
| Apr. 11, 2012 | Joseph A. Tomlinson, Fellow of Society of Actuaries (FSA), CFP(R), Greenville, Maine |
| Apr. 9, 2012 | William J. Tugaw, CEO, SST Benefits Consulting, El Dorado Hills, California |
| Apr. 8, 2012 | Chris Barnard |
| Apr. 6, 2012 | Anonymous
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| Apr. 4, 2012 | Dirk Quayle, President, Business Logic (Retirement income software), Chicago, Illinois
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[Release Nos. 33-9126, 34-62300, IC-29301; File No. S7-12-10]
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| Feb. 15, 2012 | "Investor Testing of Target Date Retirement Fund Comprehension and Communications" |
| Mar. 28, 2011 | Memorandum from the Division of Investment Management regarding a March 24, 2011, meeting with representatives of FOLIOfn, Inc. |
| Feb. 11, 2011 | Joe Nagengast, Target Date Analytics LLC |
| Jan. 24, 2011 | Michael J. Hogan, CEO & President, FOLIOfn Investments, Inc. |
| Sep. 28, 2010 | Memorandum from the Division of Investment Management regarding a September 22, 2010, meeting with representatives of the National Association of Independent Retirement Plan Advisors |
| Sep. 7, 2010 | Barry J. Dyke, Castle Asset Management LLC |
| Sep. 2, 2010 | Larry W. Beeferman and Matthew B. Becker, Pensions and Capital Stewardship Project, Harvard Law School, Cambridge, Massachusetts |
| Sep. 1, 2010 | Brian H. Graff, Executive Director/CEO, American Society of Pension Professionals & Actuaries, Arlington , Virginia |
| Aug. 31, 2010 | David P. Loftus, Financial Advisor, Patriot Financial Group, Warwick, Rhode Island |
| Aug. 30, 2010 | Richard R. Applegate, President, First Commonwealth Financial Advisors, Inc. |
| Aug. 27, 2010 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York |
| Aug. 24, 2010 | Sharath Sury, Professor of Finance and Economics, San Jose, California |
| Aug. 23, 2010 | Ryan Alfred, President, BrightScope Inc., San Diego, California |
| Aug. 23, 2010 | Laura P. Lutton, Editorial Director, Fund Research Group, Morningstar, Inc., Chicago, Illinois |
| Aug. 23, 2010 | Tina G. Stavrou, North American Securities Administrators Association, Washington, District of Columbia |
| Aug. 23, 2010 | Lew Minsky, Executive Director, Defined Contribution Institutional Investment Association (DCIIA), Washington, District of Columbia |
| Aug. 23, 2010 | Kevin R. Keller, CAE, CEO, Certified Financial Planner Board of Standards, Inc., Washington, District of Columbia |
| Aug. 23, 2010 | David Certner, Legislative Counsel and Legislative Policy Director, AARP |
| Aug. 23, 2010 | Senators Tom Harkin, Michael Enzi, and Herb Kohl, U.S. Senate |
| Aug. 23, 2010 | Michael Isaac, CCO, Stadion Money Management, Inc., Watkinsville, Georgia |
| Aug. 23, 2010 | Scott Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Company |
| Aug. 23, 2010 | Andrew N. Owen, Executive Vice President, Wells Fargo Funds Management, LLC, San Francisco, California |
| Aug. 23, 2010 | Darrell Braman, Managing Counsel; David Oestreicher, Chief Legal Counsel; Danielle Nicholson Smith, Managing Legal Analyst; and David Abbey, Managing Counsel; T. Rowe Price |
| Aug. 23, 2010 | Karrie McMillan, General Counsel, Investment Company Institute |
| Aug. 23, 2010 | Chip Castille, Managing Director
Head, US Defined Contribution, BlackRock, Inc. |
| Aug. 23, 2010 | Kristi Mitchem, Senior Managing Director, Defined Contribution, State Street Global Advisors |
| Aug. 23, 2010 | Mary Beth Rhoden, Secretary and Associate Counsel, Russell Investments |
| Aug. 23, 2010 | Jeffrey S. Coons, Ph.D. CFA, President, Manning & Napier Advisors, Inc. |
| Aug. 23, 2010 | James Szostek, Vice President, Taxes & Retirement Security, American Council of Life Insurers |
| Aug. 23, 2010 | Edward Ferrigno, Vice President, Washington Affairs, Profit Sharing / 401k Council of America |
| Aug. 23, 2010 | Lisa J. Bleier, Vice President and Senior Counsel, Center for Securities, Trust and Investments, American Bankers Association, Washington, District of Columbia |
| Aug. 23, 2010 | David S. Schwartz, Senior Counsel, The Mutual Fund Directors Forum |
| Aug. 20, 2010 | Jane White, President, Retirement Solutions, LLC, Madison, New Jersey |
| Aug. 20, 2010 | George C.W. Gatch, Chief Executive Officer, IM Americas, J.P. Morgan Asset Management |
| Aug. 20, 2010 | Ronald Surz, President, Target Date Solutions |
| Aug. 18, 2010 | Thomas M. Jones, Investment Advisor Representative, Tucson, Arizona |
| Aug. 16, 2010 | Jodi DiCenzo, CFA, CPA, Partner, Behavioral Research Associates |
| Aug. 13, 2010 | F. William McNabb, III, Chairman and Chief Executive Officer, The Vanguard Group, Inc., Malvern, Pennsylvania |
| Aug. 10, 2010 | Memorandum from the Division of Investment Management regarding a July 21, 2010 meeting with representatives of Defined Contribution Institutional Investment Association |
| Aug. 5, 2010 | John S. Morgan, Navigator Newsletters |
| Aug. 4, 2010 | Mark S. Yamada, President and CEO, PUR Investing Inc., Toronto, Canada |
| Aug. 3, 2010 | Robert Sole |
| Jul. 20, 2010 | Richard J. Heinz, Lisle, Illinois |
| Jul. 13, 2010 | Steffanie H. Burgevin, Senior Vice President, Investment Officer, Wells Fargo Advisors, LLC, Leesburg, Virginia |
| Jul. 11, 2010 | James C. Brown, Fairfax, Virginia |
| Jul. 9, 2010 | Maurice J. Betts, Alexandria, Virginia |
| Jul. 8, 2010 | Concepcion G. Perez |
| Jul. 8, 2010 | Edward J. Spall, retired engineer, Manassas, Virginia |
| Jul. 8, 2010 | M.G. |
| Jul. 8, 2010 | Virginia Blum, Silver Spring, Maryland |
| Jul. 5, 2010 | Edward L. Stanton, Retired Engineer, Fountain Valley, California |
| Jul. 5, 2010 | Alan H. Moore, COO, Slavic401k.com, CPA, Masters in Economics, Boca Raton, Florida |
| Jul. 2, 2010 | John Daisy, Albany, New York |
| Jun. 30, 2010 | Keith L. Shadrick, President, Axia Advisory Corporation, Indianapolis, Indiana |
| Jun. 25, 2010 | Ron Surz, PPCA Inc. |
| Jun. 23, 2010 | Edward K. Watkins, Ledyard, Connecticut |
| Jun. 17, 2010 | Arthur E. Kieran, Individual Investor, Killeen, Texas |
http://www.sec.gov/comments/s7-12-10/s71210.shtml
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