Comments on Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 33-9309,34-66720,IC-30026 Natnan Kennedy, Ithaca, New York
Public Comment 33-9309,34-66720,IC-30026 Stephen M. Batza, President & CEO, MTL Insurance Company, Oak Brook, Illinois
Public Comment 33-9309,34-66720,IC-30026 Charles Miller, Financial Services Communications Consultant, Wilmette, Illinois
Public Comment 33-9309,34-66720,IC-30026 Karrie McMillan, General Counsel, Investment Company Institute
Meeting with SEC Officials 33-9309,34-66720,IC-30026 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
Meeting with SEC Officials 33-9309,34-66720,IC-30026 Memorandum from the Division of Investment Management regarding a December 12, 2013, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 33-9309,34-66720,IC-30026 Memorandum from the Division of Investment Management regarding an August 8, 2013, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 33-9309,34-66720,IC-30026 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a June 5, 2013, meeting with representatives of the Investment Company Institute
Public Comment 33-9309,34-66720,IC-30026 Recommendation of the Investor Advisory Committee: Target Date Mutual Funds
Meeting with SEC Officials 33-9309,34-66720,IC-30026 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
Public Comment 33-9309,34-66720,IC-30026 Karl T. Muth, Lecturer in Economics, Northwestern University, Chicago, Illinois
Public Comment 33-9309,34-66720,IC-30026 Philip SL Chao, CFP®,AIFA®, Chao & Company, Ltd.
Public Comment 33-9309,34-66720,IC-30026 Financial Research Corporation, a division of Strategic Insight, New York, New York
Public Comment 33-9309,34-66720,IC-30026 Chris D. McIsaac, The Vanguard Group, Inc., Malvern, Pennsylvania
Public Comment 33-9309,34-66720,IC-30026 Kristi Mitchem, Senior Managing Director, Global Head of Defined Contribution, State Street Global Advisors
Public Comment 33-9309,34-66720,IC-30026 Andrew Owen, Executive Vice President, Wells Fargo Funds Management, LLC, San Francisco, California
Public Comment 33-9309,34-66720,IC-30026 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.
Public Comment 33-9309,34-66720,IC-30026 Dorothy M. Donohue, Deputy General Counsel - Securities Regulation, Investment Company Institute
Public Comment 33-9309,34-66720,IC-30026 George Miller, Senior Democratic Member and Robert E. Andrews, Ranking Member, Subcommittee on Health, Employment, Labor and Pensions
Public Comment 33-9309,34-66720,IC-30026 Jeffrey S. Coons, Ph.D., CFA, President, Manning & Napier Advisors, LLC
Public Comment 33-9309,34-66720,IC-30026 Michael J. Hogan, CEO & President, FOLIOfn Investments Inc.
Public Comment 33-9309,34-66720,IC-30026 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable, Washington, District of Columbia
Public Comment 33-9309,34-66720,IC-30026 Scott C. Goebel, Senior Vice President, General Counsel, FMR Co., Fidelity Investments
Public Comment 33-9309,34-66720,IC-30026 Daniel A. Notto, Senior Vice President and Senior Retirement Plan Counsel, AllianceBernstein Investments, Inc.
Public Comment 33-9309,34-66720,IC-30026 David Falkof, Josh Charlson, Laura P. Lutton, Jeremy Stempien, Thomas Idzorek, Mary Beth Glotzbach, Avery Armour, and Chris Kielion, Morningstar, Inc., Chicago, Illinois
Public Comment 33-9309,34-66720,IC-30026 Martha Coakley, Attorney General of Massachusetts, and Glenn Kaplan, Assistant Attorney General, Insurance & Financial Services Division
Public Comment 33-9309,34-66720,IC-30026 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment 33-9309,34-66720,IC-30026 Richard L. Pugh, CFP, Instructor, The American College and University of North Carolina, Wilmington, Jacksonville, North Carolina
Public Comment 33-9309,34-66720,IC-30026 Patricia M. Stolte, small business owner, administrator of company 401K plan, Nantucket, Massachusetts
Public Comment 33-9309,34-66720,IC-30026 Joseph A. Tomlinson, Fellow of Society of Actuaries (FSA), CFP(R), Greenville, Maine

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-10
Release Number
33-9309
34-66720
IC-30026
33-9126
34-62300
IC-29301
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