Comments on Broker-Dealer Reports

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Date Received
Date Letter Type Commenter Name
Public Comment Sutherland Asbill & Brennan LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 25, 2012, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 10, 2012, meeting with representatives of the Committee of Annuity Insurers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 6, 2011, telephone call with representatives of the AICPA Stockbrokerage and Investment Banking Expert Panel
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 21, 2011, telephonic meeting with the AICPA Stockbrokerage and Investment Banking Expert Panel
Public Comment Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York
Public Comment N.M. Hamlet, Seattle, Washington
Public Comment Suzanne H. Shatto, Seattle
Public Comment Annette Lege, Chief Financial Officer, and Mark Gregson, Financial and Operations Principal, Van Kampen Funds Inc. and Invesco Distributors, Inc.
Public Comment Ernst & Young LLP
Public Comment Grant Thornton LLP
Public Comment Holly H. Smith and Michael B. Koffler, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Public Comment Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
Public Comment McGladrey & Pullen, LLP
Public Comment Susan S. Coffey, CPA, Senior Vice President, Public Practice and Global Alliances, American Institute of CPAs
Public Comment Cynthia M. Fornelli, Executive Director, Center for Audit Quality
Public Comment Deloitte & Touche LLP
Public Comment Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Public Comment KPMG LLP
Public Comment PricewaterhouseCoopers, LLP
Public Comment Robert Kaufmann and David Grumer, Partners, Citrin Cooperman & Co., LLP, New York, New York
Public Comment Suzanne Shatto
Public Comment Todd Genger, New York, New York
Public Comment Suzanne H. Shatto, Washington
Public Comment Suzanne Shatto

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-23-11
Release Number
33-9222
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