Comments on Interpretive Rule Under the Advisers Act Affecting Broker-Dealers

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Date Received
Date Letter Type Commenter Name
Public Comment Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Public Comment Merril Hirsh, Ross, Dixon & Bell, LLP
Public Comment William C. Jerome, CFP, Capital Financial Services, LLC, Glenville, New York
Public Comment Barbara Roper, Director, Investor Protection, Consumer Federation of America, and Mercer Bullard, Founder and President, Fund Democracy
Public Comment Daniel J. Barry, Director of Government Relations, Financial Planning Association
Public Comment Ingrid R. Welch, Esquire, Principal, Associate General Counsel, CMS Investment Resources, Inc., Wynnewood, Pennsylvania
Public Comment Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Public Comment Karen L. Barr, General Counsel, Investment Adviser Association
Public Comment Tom Orecchio, Chair, and Ellen Turf, CEO, National Association of Personal Financial Advisors, Arlington Heights, Illinois
Public Comment Ron A. Rhoades, JD, CFP, Hernando, Florida
Public Comment Charles McKeown, Stanford, California
Public Comment Peter J. Chepucavage, The International Association of Small Broker Dealers and Advisors
Public Comment Jack Thomas
Meeting with SEC Officials Memorandum from the Office of Commissioner Paul S. Atkins regarding a September 30, 2007, meeting with members of the ABA Business Law Section Committee

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-22-07
Release Number
IA-2652
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