Comments on Proposed Rule: Adviser Business Continuity and Transition Plans

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Date Received
Date Letter Type Commenter Name
Public Comment Rufus Breeden
Public Comment James P. Ryan, Senior Vice President, Capital Group Companies, Inc.
Public Comment John J. Rapa, CBCP, President/Chief Executive Officer, Tellefsen and Company, L.L.C., Northborough, Massachusetts
Public Comment David W. Blass, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 10, 2016, meeting with representatives of Berkeley Research Group LLC
Public Comment Adrian V. Day, President, Adrian Day Asset Management, Annapolis, Maryland
Public Comment Herbert M. Shanzer, Principal, Shanzer Management, Westford, Massachusetts
Public Comment Charu Deodas, Consultant, Business Continuity and Risk Management, Boston, Massachusetts
Public Comment Jerry Siver, South Lancaster, Massachusetts

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-13-16
Release Number
IA-4439
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