Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices

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Date Received
Date Letter Type Commenter Name
Public Comment Jameson A. Baxter, Chairman of the Contract Committee of the Trustees of the Putnam Funds and Paul L. Joskow, Chair of the Brokerage Committee of the Trustees of the Putnam Funds
Public Comment Kurt N. Schacht, CFA, Executive Director, CFA Centre for Financial Market Integrity, CFA Institute and Jonathan J. Stokes, Director, Standards of Practice, CFA Centre for Financial Market Integrity, CFA Institute
Public Comment Jill D. Eng, on behalf of the Committee on Investment Management Regulation of the New York City Bar
Public Comment Kelly C. Abernathy, General Counsel, Chief Compliance Officer, Capital Institutional Services, Inc., Dallas, Texas
Public Comment Cynthia M. Clarke, General Counsel, Wellington Management Company, LLP
Public Comment David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Public Comment David Oestreicher, Vice President and Chief Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Donald W. Glazer
Public Comment Ira D. Hammerman, Senior Managing Director, General Counsel, Securities Industry and Financial Markets Association
Public Comment Karrie McMillan, General Counsel, Investment Company Institute
Public Comment Lee A. Pickard and William D. Edick, Pickard and Djinis LLP, Counsel to the Alliance in Support of Independent Research
Public Comment Monique S. Botkin, Senior Counsel, Investment Adviser Association
Public Comment Philip L. Kirstein, Chair, Committee on Investment Management Regulation of the New York City Bar
Public Comment Richard Leggett, Chairman, Investorside Research Association, New York, New York
Public Comment Sanford Bragg, President & CEO, Integrity Research
Public Comment Steven M. Joenk, Chair, Chief Executive Officer and President, AXA Premier VIP Trust
Public Comment D. Bruce Johnsen, J.D., Ph.D. Professor of Law
Public Comment John D. Meserve, Executive Managing Director, BNY ConvergEx Group, LLC, New York, New York
Public Comment Robert W. Uek, Chair, IDC Governing Council
Public Comment William L. Armstrong, Chairman of the Board, Oppenheimer Funds, Denver, Colorado
Public Comment Jeffrey C. Keil, Principal, Keil Fiduciary Strategies LLC, Littleton, Colorado
Public Comment Wayne McAlpine, President & CEO, Commission Direct Inc.
Public Comment Bill George
Public Comment Robert M. Braun, CFA, Trumbull, Connecticut
Public Comment Bill George, Encino, California
Public Comment Bill George, Encino, California
Public Comment Bill George

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-22-08
Release Number
34-58264
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