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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]


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
 
Apr. 4, 2012 Dirk Quayle, President, Business Logic (Retirement income software), Chicago, Illinois
 

[Release Nos. 33-9126, 34-62300, IC-29301; File No. S7-12-10]


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

Modified: 04/15/2014