Temporary Rule Regarding Principal Trades with Certain Advisory Clients

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment IA-3893 Rep. Ann Wagner, Member of Congress, and Rep. Scott Garrett, Chairman, Subcommittee on Capital Markets and Government Sponsored Enterprises
Public Comment IA-3893 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment IA-3893 James Eureeca, Director of Capital and Crowd Operations at DM, Washington, District of Columbia
Public Comment 34-69013;IA-3558, IA-3893 Norman B. Arnoff, Esq. and Paul A. Immerman, Esq.
Public Comment IA-3893 Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment IA-3893 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment IA-3893 Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Public Comment IA-3893 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment IA-3893 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Public Comment IA-3893 Richard Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs,Financial Services Roundtable, Washington, District of Columbia
Public Comment IA-3893 J. Wayne-Lynn, Huntington, New York
Public Comment IA-3893 Jeffrey W. Lynn, Boca Raton, Florida
Public Comment IA-3893 Chris Barnard
Public Comment IA-3893 Thomas Michael Manis, Boca Raton, Florida
Public Comment IA-3483 Anonymous
Public Comment IA-3483 Blaine Aikin, AIFA, CFA, CFP, CEO, fi360, Pittsburgh, Pennsylvania
Public Comment IA-3483 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment IA-3483 Ronald C. Long, Director of Regulatory Affairs, Wells Fargo Advisors
Public Comment IA-3483 David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Public Comment IA-3483 Chris Barnard, Germany
Public Comment IA-3118 Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment IA-3118 Blaine Aikin, CEO, Duane Thompson, Senior Policy Analyst, and Kristina A. Fausti, Director of Legal and Regulatory Affairs, Fiduciary360, Bridgeville, Pennsylvania
Public Comment 34-62577;IA-3058, IA-3118 Ellen Turf, CEO, National Association of Personal Financial Advisors, Arlington Heights, Illinois
Public Comment IA-3118 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Public Comment IA-3118 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment IA-3118 R. Scott Henderson, Esq., Deputy General Counsel, Bank of America Corporation, New York, New York
Public Comment 34-62577;IA-3058, IA-3118 Ron A. Rhoades, JD, CFP, Lecanto, Florida
Public Comment 34-62577;IA-3058, IA-3118 Tamar Frankel, Professor of Law, Boston University School of Law
Public Comment IA-3118 Mari-Anne Pisarri, Pickard and Djinis LLP
Public Comment IA-3118 Leonid Berline, Executive Vice President, Chief Compliance Officer, Winslow, Evans & Crocker, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-23-07
Release Number
IA-3893
IA-3483
IA-3118
IA-2653
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