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 William J. Tugaw, CEO, SST Benefits Consulting, El Dorado Hills, California
Public Comment 33-9309,34-66720,IC-30026 Chris Barnard
Public Comment 33-9309,34-66720,IC-30026 Anonymous
Public Comment 33-9309,34-66720,IC-30026 Dirk Quayle, President, Business Logic (Retirement income software), Chicago, Illinois
Public Comment 33-9126,34-62300,IC-29301 "Investor Testing of Target Date Retirement Fund Comprehension and Communications"
Meeting with SEC Officials 33-9126,34-62300,IC-29301 Memorandum from the Division of Investment Management regarding a March 24, 2011, meeting with representatives of FOLIOfn, Inc.
Public Comment 33-9126,34-62300,IC-29301 Joe Nagengast, Target Date Analytics LLC
Public Comment 33-9126,34-62300,IC-29301 Michael J. Hogan, CEO & President, FOLIOfn Investments, Inc.
Meeting with SEC Officials 33-9126,34-62300,IC-29301 Memorandum from the Division of Investment Management regarding a September 22, 2010, meeting with representatives of the National Association of Independent Retirement Plan Advisors
Public Comment 33-9126,34-62300,IC-29301 Barry J. Dyke, Castle Asset Management LLC
Public Comment 33-9126,34-62300,IC-29301 Larry W. Beeferman and Matthew B. Becker, Pensions and Capital Stewardship Project, Harvard Law School, Cambridge, Massachusetts
Public Comment 33-9126,34-62300,IC-29301 Brian H. Graff, Executive Director/CEO, American Society of Pension Professionals & Actuaries, Arlington , Virginia
Public Comment 33-9126,34-62300,IC-29301 David P. Loftus, Financial Advisor, Patriot Financial Group, Warwick, Rhode Island
Public Comment 33-9126,34-62300,IC-29301 Richard R. Applegate, President, First Commonwealth Financial Advisors, Inc.
Public Comment 33-9126,34-62300,IC-29301 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York
Public Comment 33-9126,34-62300,IC-29301 Sharath Sury, Professor of Finance and Economics, San Jose, California
Public Comment 33-9126,34-62300,IC-29301 Andrew N. Owen, Executive Vice President, Wells Fargo Funds Management, LLC, San Francisco, California
Public Comment 33-9126,34-62300,IC-29301 Chip Castille, Managing Director Head, US Defined Contribution, BlackRock, Inc.
Public Comment 33-9126,34-62300,IC-29301 Darrell Braman, Managing Counsel; David Oestreicher, Chief Legal Counsel; Danielle Nicholson Smith, Managing Legal Analyst; and David Abbey, Managing Counsel; T. Rowe Price
Public Comment 33-9126,34-62300,IC-29301 David Certner, Legislative Counsel and Legislative Policy Director, AARP
Public Comment 33-9126,34-62300,IC-29301 David S. Schwartz, Senior Counsel, The Mutual Fund Directors Forum
Public Comment 33-9126,34-62300,IC-29301 Edward Ferrigno, Vice President, Washington Affairs, Profit Sharing / 401k Council of America
Public Comment 33-9126,34-62300,IC-29301 James Szostek, Vice President, Taxes & Retirement Security, American Council of Life Insurers
Public Comment 33-9126,34-62300,IC-29301 Jeffrey S. Coons, Ph.D. CFA, President, Manning & Napier Advisors, Inc.
Public Comment 33-9126,34-62300,IC-29301 Karrie McMillan, General Counsel, Investment Company Institute
Public Comment 33-9126,34-62300,IC-29301 Kevin R. Keller, CAE, CEO, Certified Financial Planner Board of Standards, Inc., Washington, District of Columbia
Public Comment 33-9126,34-62300,IC-29301 Kristi Mitchem, Senior Managing Director, Defined Contribution, State Street Global Advisors
Public Comment 33-9126,34-62300,IC-29301 Laura P. Lutton, Editorial Director, Fund Research Group, Morningstar, Inc., Chicago, Illinois
Public Comment 33-9126,34-62300,IC-29301 Lew Minsky, Executive Director, Defined Contribution Institutional Investment Association (DCIIA), Washington, District of Columbia
Public Comment 33-9126,34-62300,IC-29301 Lisa J. Bleier, Vice President and Senior Counsel, Center for Securities, Trust and Investments, American Bankers Association, Washington, District of Columbia

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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