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-2653 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Meeting with SEC Officials IA-2653 Memorandum from the Office of the Chairman regarding a February 19, 2009, meeting with representatives of the Financial Planning Association
Public Comment IA-2653 Duane R. Thompson, Managing Director, Financial Planning Association, Washington, District of Columbia
Public Comment IA-2652, IA-2653 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Public Comment IA-2653 Nora M. Jordan, Yukako Kawata, Leor Landa, Danforth Townley and John G. Crowley, Davis Polk & Wardwell, New York, New York
Public Comment IA-2653 Daniel J. Barry, Director of Government Relations, Financial Planning Association
Public Comment IA-2653 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Public Comment IA-2653 Mercer Bullard, Founder and President, Fund Democracy, Oxford, Mississippi
Public Comment IA-2653 Tom Orecchio, Chair, Ellen Turf, CEO, and Diahann W. Lassus, The National Association of Personal Financial Advisors
Public Comment IA-2653 Valerie Baruch, Assistant General Counsel, Investment Adviser Association
Public Comment IA-2653 Richard Bellmer, Chair and Ellen Turf, CEO, The National Association of Personal Financial Advisors
Public Comment IA-2653 Duane Thompson, Managing Director, Washington Office, Financial Planning Association, Washington, DC
Public Comment IA-2653 Dennis Moore, David Scott, William Lacy Clay, Melissa Bean, Lincoln Davis, Joe Donnelly, Chris Murphy, Ron Klein, Tim Mahoney, Members of Congress
Public Comment IA-2653 Samuel L. Hayes, III, Jacob Schiff Professor of Investment Banking Emeritus, Harvard Business School
Public Comment IA-2653 Robert T. McCann, Vice Chairman and President, Merrill Lynch
Public Comment IA-2653 Raymond A. "Chip" Mason, Chairman and CEO, Legg Mason, Inc.
Public Comment IA-2653 Spencer Bachus, Member of Congress
Public Comment IA-2653 Ira D. Hammerman, Senior Managing Director & General Counsel, Securities Industry and Financial Markets Association
Public Comment IA-2653 Daniel P. Tully, Chairman Emeritus, Merrill Lynch
Public Comment IA-2653 Joseph P. Borg, Esq., President, North American Securities Administrators Association, Inc.
Public Comment IA-2653 Kurt Schacht, CFA, Managing Director, CFA Institute Centre for Financial Market Integrity, New York, NY
Public Comment IA-2653 Tim Sagehorn, Sagehorn Financial Group
Public Comment IA-2653 Barbara Roper, Director of Investor Protection, Consumer Federation of America; Duane Thompson, Managing Director of Washington Office, Financial Planning Association; Mercer Bullard, President, Fund Democracy, Inc.; David B. Tittsworth, Executive Director, Investment Advisors Association; Ellen Turf, Chief Executive Officer, National Association of Personal Financial Advisors; Joseph P. Borg, President, North American Securities Administrators Association

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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