Comments on Proposed Rule: Investment Adviser Advertisements; Compensation for Solicitations

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Date Received
Date Letter Type Commenter Name
Public Comment David Blue
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 28, 2020 meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Chairman regarding a September 29, 2020, meeting with representatives of the Board of Governors of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a June 15, 2020 meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 30, 2020 meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 29, 2020 meeting with representatives of the Investment Adviser Association Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 25, 2020 meeting with representatives of the Institutional Limited Partners Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 14, 2020 meeting with representatives of the Managed Funds Association
Public Comment Mark D. Epley, Chief Legal Officer, Managed Funds Association and Jiøí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 11, 2020 meeting with representatives of Proskauer
Public Comment Michael Davis
Public Comment Lindsey Kemsley, VP, Marketing & HR, oxford wealth advisors, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a August 17, 2020 meeting with representatives of the Managed Funds Association
Public Comment Phon Vongdara
Public Comment David Harbin
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 30, 2020 call with representatives of the Managed Funds Association and the Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 22, 2020 teleconference with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 28, 2020 call with representatives of the American Investment Council
Public Comment Gail Bernstein, General Counsel, Investment Adviser Association
Public Comment David Fortunato, President, Wealthfront Corporation
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 8, 2020 meeting with representativs of the American Investment Council
Public Comment S. Michael Tannenbaum
Public Comment Earl Hamilton
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 29, 2020 call with representatives of the Institutional Limited Partners Association
Meeting with SEC Officials Memorandum from the office of Commissioner Elad L. Roisman regarding a June 19, 2020 meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 19, 2020 call with with representatives of Wealthfront Advisers LLC
Meeting with SEC Officials Memorandum from the Office of Chairman Clayton regarding a June 19, 2020 telephone conference with representatives of the American Investment Council
Public Comment Mark Berman, Founder and CEO, CompliGlobe Ltd.
Public Comment Cao Huynh, Sr., Huynhgia
Public Comment Jason Mulvihill, Chief Operating Officer & General Counsel, American Investment Council

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-21-19
Release Number
IA-5407
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