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

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Date Received
Date Letter Type Commenter Name
Public Comment Seward & Kissel LLP
Public Comment Bobby Franklin, President & CEO, National Venture Capital Association
Public Comment Tanguy van de Werve, European Fund and Asset Management Association
Public Comment Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute
Public Comment Anya Coverman, President & CEO, Institute for Portfolio Alternatives
Public Comment Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors
Public Comment Russell J. Wood, Vice President, Chief Counsel - Legal and Business, Forge Global, Inc.
Public Comment Ann Marie Swanson, Vice President, RIA Compliance, Commonwealth Financial Network
Public Comment Blake Lawit, Senior Vice President and General Counsel, LinkedIn Corporation
Public Comment 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
Public Comment Bonnie Patten, Laura Smith, Michael J. Springer, Truth in Advertising, Inc.
Public Comment Brian Hamburger, President and CEO, MarketCounsel
Public Comment Carlotta King, MFA and AIMA
Public Comment Christopher Gerold, President, North American Securities Administrators Association (NASAA)
Public Comment Christopher M. Wells, Partner, Proskauer Rose LLP
Public Comment Christy E. Sears, Vice President, Compliance, Resolute Investment Managers, Inc.
Public Comment Craig D. Pfeiffer, President and CEO, Money Management Institute
Public Comment Cynthia Lo Bessette, Chief Legal Officer, Fidelity Management Research Company LLC
Public Comment David Guin, Withers Bergman LLP
Public Comment Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Public Comment Elliot Ganz, General Counsel, Loan Syndications and Trading Association
Public Comment Fried, Frank, Harris, Shriver & Jacobson LLP
Public Comment Gary D. Anderson, General Counsel, Stanberry & Associates Investment Research, LLC
Public Comment Geoffrey Brown, CEO, National Association of Personal Financial Advisors
Public Comment Investment Management, and Private Funds Committees The Association of the Bar of the City of New York Compliance
Public Comment Jason E. Brown, Ropes & Gray LLP
Public Comment Jason Mulvihill, Chief Operating Officer and General Counsel, American Investment Council
Public Comment Jean-Luc Bourdon, Chair, Personal Financial Planning Legislative and, AICPA
Public Comment Jerry C. Wagner, President, Flexible Plan Investments, Ltd.
Public Comment Jerry C. Wagner, President, Flexible Plan Investments, Ltd.

Last Reviewed or Updated: Dec. 18, 2025

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