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

[Release No. IA-5407; File No. S7-21-19]

Submitted Comments

(Click here for meetings with SEC officials)
Feb. 3, 2021 Mooney
Sep. 11, 2020 Mark D. Epley, Chief Legal Officer, Managed Funds Association and Jiøí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Sep. 8, 2020 Michael Davis
Aug. 28, 2020 Lindsey Kemsley, VP, Marketing & HR, oxford wealth advisors, LLC
Aug. 14, 2020 Phon Vongdara
Aug. 1, 2020 David Harbin
Jul. 20, 2020 Gail Bernstein, General Counsel, Investment Adviser Association
Jul. 10, 2020 David Fortunato, President, Wealthfront Corporation
Jul. 7, 2020 S. Michael Tannenbaum
Jul. 6, 2020 Earl Hamilton
Jun. 17, 2020 Mark Berman, Founder and CEO, CompliGlobe Ltd.
Jun. 12, 2020 Cao Huynh, Sr., Huynhgia
Jun. 12, 2020 Jason Mulvihill, Chief Operating Officer & General Counsel, American Investment Council
Jun. 11, 2020 John Ray
Jun. 9, 2020 Eugene Conner
Jun. 5, 2020 Lindsey Weber Keljo, Esq., Managing Director and Associate General Counsel, Asset Management Group, SIFMA, and Timothy W. Cameron, Asset Management Group – Head, SIFMA
May 8, 2020 Carlotta King, Managed Funds Association and the Alternative Investment Management Association
May 7, 2020 Marie Petion
Apr. 6, 2020 J. L. Jackson
Mar. 31, 2020 Deborah Magish
Mar. 25, 2020 An Nguyen
Mar. 15, 2020 Harold Nielsen
Mar. 3, 2020 David Fortunato, President, Wealthfront Corporation
Feb. 28, 2020 Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Feb. 24, 2020 James Allen, CFA, Head, Capital Markets Policy, and Karyn D. Vincent, CFA, CIPM, Senior Head, Global Industry Standards; CFA Institute
Feb. 23, 2020 Thomas Dickson, Financial Experts Network
Feb. 21, 2020 Suzanne Quinn, Head of North America Compliance Department, Baillie Gifford Overseas Ltd
Feb. 20, 2020 Warren Mackensen
Feb. 19, 2020 Seward & Kissel LLP
Feb. 14, 2020 Bobby Franklin, President & CEO, National Venture Capital Association
Feb. 13, 2020 Tanguy van de Werve, European Fund and Asset Management Association
Feb. 12, 2020 Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute
Feb. 11, 2020 Russell J. Wood, Vice President, Chief Counsel - Legal and Business, Forge Global, Inc.
Feb. 11, 2020 Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors
Feb. 11, 2020 Anya Coverman, President & CEO, Institute for Portfolio Alternatives
Feb. 10, 2020 Patrick T. Campbell, Chair, Compliance Committee; Rebecca Silberstein, Chair, Private Investment Funds Committee; and Barry P. Barbash, Chair, Investment Management Regulation Committee, New York City Bar
Feb. 10, 2020 Jean-Luc Bourdon, Chair, Personal Financial Planning Legislative and, AICPA
Feb. 10, 2020 Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA)
Feb. 10, 2020 Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Feb. 10, 2020 Fried, Frank, Harris, Shriver & Jacobson LLP
Feb. 10, 2020 William Nelson, Mercer Advisors, Chief Compliance Officer
Feb. 10, 2020 Brian Hamburger, President and CEO, MarketCounsel
Feb. 10, 2020 Jason Mulvihill, Chief Operating Officer and General Counsel, American Investment Council
Feb. 10, 2020 Roger Machlis, General Counsel - International Wealth Management, Credit Suisse Securities (USA) LLC
Feb. 10, 2020 Knut A. Rostad, President, Institute for the Fiduciary Standard
Feb. 10, 2020 Kate Fulton, Managing Director, Global Public Policy Group, BlackRock, Inc.
Feb. 10, 2020 Christy E. Sears, Vice President, Compliance, Resolute Investment Managers, Inc.
Feb. 10, 2020 Tom Bohn, President and Chief Executive Officer, Association for Corporate Growth
Feb. 10, 2020 Jerry C. Wagner, President, Flexible Plan Investments, Ltd.
Feb. 10, 2020 Jerry C. Wagner, President, Flexible Plan Investments, Ltd.
Feb. 10, 2020 John F. Robbins, Chief Compliance Officer, ICE Data Pricing & Reference Data, LLC
Feb. 10, 2020 Lauren Schadle, Executive Director/CEO, Financial Planning Association
Feb. 10, 2020 Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA Asset Management Group
Feb. 10, 2020 Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA Asset Management Group
Feb. 10, 2020 Gary D. Anderson, General Counsel, Stanberry & Associates Investment Research, LLC
Feb. 10, 2020 Blake Lawit, Senior Vice President and General Counsel, LinkedIn Corporation
Feb. 10, 2020 Geoffrey Brown, CEO, National Association of Personal Financial Advisors
Feb. 10, 2020 Bob Grohowski, VP, Legislative Regulatory Affairs; Danielle Nicholson Smith, VP & Sr. Legal Counsel, U.S. Communications & Digits! Services; Sheila D. Simmons, VP &Head, Global Gommunicatfons Compliance, T. Rowe Price
Feb. 10, 2020 Christopher M. Wells, Partner, Proskauer Rose LLP
Feb. 10, 2020 Investment Management, and Private Funds Committees The Association of the Bar of the City of New York Compliance
Feb. 10, 2020 Craig D. Pfeiffer, President and CEO, Money Management Institute
Feb. 10, 2020 John Gebauer, President, National Regulatory Services (NRS)
Feb. 10, 2020 Ann Marie Swanson, Vice President, RIA Compliance, Commonwealth Financial Network
Feb. 10, 2020 Bonnie Patten, Laura Smith, Michael J. Springer, Truth in Advertising, Inc.
Feb. 10, 2020 Karen L. Barr, President & CEO, Investment Adviser Association
Feb. 10, 2020 Sidley Austin LLP
Feb. 10, 2020 Carlotta King, MFA and AIMA
Feb. 10, 2020 Elliot Ganz, General Counsel, Loan Syndications and Trading Association
Feb. 10, 2020 Jason E. Brown, Ropes & Gray LLP
Feb. 10, 2020 Christopher Gerold, President, North American Securities Administrators Association (NASAA)
Feb. 10, 2020 Lance C. Dial, Managing Director and Counsel, Wellington Management Company LLP
Feb. 10, 2020 Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Feb. 10, 2020 Cynthia Lo Bessette, Chief Legal Officer, Fidelity Management Research Company LLC
Feb. 10, 2020 David Guin, Withers Bergman LLP
Feb. 7, 2020 Lisa Crossley, Executive Director, National Society of Compliance Professionals
Feb. 7, 2020 Brett Palmer, President, Small Business Investor Alliance
Feb. 7, 2020 Robert Mennella
Feb. 7, 2020 Manish Mehta
Feb. 3, 2020 William A. Jacobson, Esq., Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic; Zachary Sizemore, Cornell Law School, Class of 2021
Jan. 26, 2020 Ismailiya Latif
Jan. 15, 2020 Joseph H. Nesler, Winston Strawn LLP
Jan. 13, 2020 Sandra Bitner
Jan. 9, 2020 Judith Gross, Principal, JG Advisory Services, LLC
Jan. 7, 2020 John D. Williams
Jan. 6, 2020 Bob Kargenian, CMT, President, TABR Capital Management, LLC
Jan. 6, 2020 Bryan-Dylan Weast
Jan. 6, 2020 Ahmad Moradi, NETSTAIRS
Jan. 5, 2020 Josh Wilson
Jan. 5, 2020 Darion Rushing
Dec. 31, 2020 David Blue
Dec. 27, 2019 Aladdin Z. Syed
Dec. 20, 2019 Fadhli Basyaruddin
Dec. 18, 2019 Winston Smith
Dec. 17, 2019 Gretchen E. Lee, Chief Compliance Officer, Clifford Swan Investment Counselors
Dec. 16, 2019 Tom Parsons
Dec. 15, 2019 Josh Wilson
Dec. 5, 2019 Wojtek Kozak
Dec. 4, 2019 Quincy Hall, President, Advice Only (TM)
Dec. 4, 2019 Derek Bayne
Nov. 30, 2019 Kathryn Stewart
Nov. 28, 2019 Miles Brooks
Nov. 26, 2019 Mercedes Renault
Nov. 10, 2019 Samir Kroudi, Master of Professional Accountancy student at Metropolitan State University at Denver
Nov. 5, 2019 Jane Keller

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 28, 2020 Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 28, 2020 meeting with representatives of the Managed Funds Association
Oct. 22, 2020 Memorandum from the Office of Chairman regarding a September 29, 2020, meeting with representatives of the Board of Governors of the Investment Adviser Association
Oct. 21, 2020 Memorandum from the Office of the Chairman regarding a June 15, 2020 meeting with representatives of the Investment Adviser Association
Sep. 30, 2020 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 30, 2020 meeting with representatives of the Investment Adviser Association
Sep. 29, 2020 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
Sep. 25, 2020 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 25, 2020 meeting with representatives of the Institutional Limited Partners Association
Sep. 11, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 11, 2020 meeting with representatives of Proskauer
Sep. 14, 2020 Memorandum from the Office of the Chairman regarding a September 14, 2020 meeting with representatives of the Managed Funds Association
Sep. 14, 2020 Memorandum from the Office of the Chairman regarding a September 14, 2020 meeting with representatives of the Managed Funds Association
Aug. 17, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a August 17, 2020 meeting with representatives of the Managed Funds Association
Jul. 30, 2020 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
Jul. 29, 2020 Memorandum from the Office of the Chairman regarding a July 22, 2020 teleconference with representatives of the Managed Funds Association
Jul. 28, 2020 Memorandum from the Division of Investment Management regarding a July 28, 2020 call with representatives of the American Investment Council
Jul. 8, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 8, 2020 meeting with representativs of the American Investment Council
Jun. 29, 2020 Memorandum from the Division of Investment Management regarding a June 29, 2020 call with representatives of the Institutional Limited Partners Association
Jun. 24, 2020 Memorandum from the office of Commissioner Elad L. Roisman regarding a June 19, 2020 meeting with representatives of the Investment Adviser Association
Jun. 22, 2020 Memorandum from the Division of Investment Management regarding a June 19, 2020 call with with representatives of Wealthfront Advisers LLC
Jun. 19, 2020 Memorandum from the Office of Chairman Clayton regarding a June 19, 2020 telephone conference with representatives of the American Investment Council
Jun. 12, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 12, 2020 meeting with representativs of the SIFMA AMG Subcommittee
Jun. 11, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2020 meeting with representativs of the Investment Advisers Association
Jun. 10, 2020 Memorandum from the Office of Chairman Clayton regarding a June 10, 2020 meeting with representatives of Managed Funds Association
Jun. 8, 2020 Memorandum from the Division of Investment Management regarding a June 8, 2020 call with representatives of the Investment Adviser Association
May 27, 2020 Memorandum from the Division of Investment Management regarding a May 27, 2020 call with representatives of American Investment Council
May 22, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 22, 2020 meeting with representativs of Managed Funds Association
May 13, 2020 Memorandum from the Division of Investment Management regarding a May 13, 2020 call with representatives of the Securities Industry and Financial Markets Association
May 8, 2020 Memorandum from the Division of Investment Management regarding a May 8, 2020 call with representatives of Investment Adviser Association
May 6, 2020 Memorandum from the Division of Investment Management regarding a May 6, 2020 call with representatives of the Securities Industry and Financial Markets Association
May 4, 2020 Memorandum from the Division of Investment Management regarding a May 4, 2020 call with representatives of Investment Adviser Association
Mar. 30, 2020 Memorandum from the Office of Chairman Jay Clayton regarding a March 26, 2020, meeting with representatives of Managed Funds Association
Mar. 26, 2020 Memorandum from the Division of Investment Management regarding a March 26, 2020 call with representatives of the Managed Funds Association
Mar. 26, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 26, 2020 meeting with representativs of MFA
Mar. 26, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 26, 2020 meeting with representativs of MFA
Feb. 27, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 24, 2020, meeting with representatives of T. Rowe Price
Feb. 6, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 5, 2020, meeting with representatives of the Alternative Investment Management Association (AIMA)
Feb. 2, 2020 Memorandum from the Division of Investment Management regarding a February 2, 2020 call with representatives of Wellington Management Company LLP
Dec. 18, 2019 Memorandum from the Division of Investment Management regarding a December 4, 2019, meeting with representatives of FINRA
Dec. 18, 2019 Memorandum from the Division of Investment Management regarding a November 26, 2019, meeting with representatives of the Investment Adviser Association
Dec. 9, 2019 Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2019, meeting with representatives of the Securities Industry and Financial Markets Association Swap Dealer & Derivatives Government Representatives Committees