Outsourcing by Investment Adviser

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
(4-811 form letter A; S7-04-22 form letter A; S7-04-23 form letter D; S7-05-23 form letter B; S7-25-22 form letter B): 85
A: 2

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Date Received
Date Letter Type Commenter Name
Public Comment Brian T. Daly, Akin Gump Strauss Hauer & Feld, International Law Firm
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 18, 2024, meeting and videoconference with representatives of the U.S. Chamber of Commerce
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 22, 2024 meeting with representatives of the LPL Financial (LPL)
Public Comment American Investment Council; Managed Funds Association; Alternative Investment Management Association; National Venture Capital Association; Loan Syndications and Trading Association; and National Association Private Fund Managers
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 4, 2024 meeting with representatives and members of the Investment Adviser Association ("IAA")
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 29, 2024 meeting with representatives of LPL Financial
Public Comment National Association of Private Fund Managers, Alternative Investment Management Association, American Investment Council, Loan Syndications and Trading Association, Managed Funds Association, and National Venture Capital Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 2, 2024 meeting with the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 23, 2024 meeting with Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 22, 2024 meeting with MFA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a December 1, 2023 meeting with representatives of the Investment Advisers Association (IAA)
Public Comment Investment Company Institute; ICI Southwest
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a November 3, 2023 meeting with representatives of AWS
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a November 6, 2023 meeting with Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 27, 2023 meeting with representatives of Managed Funds Association
Public Comment Gail C. Bernstein, General Counsel, and William A. Nelson, Associate General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 1, 2023 meeting with representatives of Investment Adviser Association
Public Comment Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute
Public Comment Rebekah Goshorn Jurata, General Counsel, American Investment Council
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a July 24, 2023 virtual meeting with National Association of Insurance Commissioners
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an August 3, 2023 virtual meeting with representatives of the Managed Funds Association
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a January 12, 2023, virtual meeting with representatives of the Investment Advisers Association (IAA) and Certain Investment Advisers
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of PIMCO
Public Comment Gail C. Bernstein, General Counsel, and Sanjay Lamba, Associate General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 12, 2023 meeting with representatives of Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 9, 2023 meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 6, 2023 meeting with Investment Adviser Association's Board of Governors
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a May 17, 2023 meeting with the Managed Funds Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-22
Release Number
IA-6176
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