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
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a May 12, 2023 meeting with the Managed Funds Association
Public Comment Michael Koffler, Eversheds Sutherland (US) LLP
Public Comment Gail C. Bernstein, General Counsel, and Dianne M. Descoteaux, Associate General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 18, 2023 meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 5, 2023 meeting with representatives of the Index Industry Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 22, 2023 meeting with representatives of SIFMA AMG
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 14, 2023 meeting with members of the ICI Executive Committee and ICI staff representatives
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 7, 2023 meeting with representatives of Morningstar, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 28, 2023 meeting with representatives of SIFMA AMG
Public Comment Alreisbrah, Enagic Affiliate
Public Comment Ian Asvakovith, Piedmont Fund Services, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 13, 2023 meeting with representatives of Morningstar, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 8, 2023 meeting with representatives of the Index Industry Association
Public Comment Josey Moore, Retail Finance Director
Public Comment Amanda Hindlian, President, ICE Fixed Income and Data Services
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 18, 2023 meeting with representatives of the Institute for the Fiduciary Standard
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a January 11, 2023 meeting with representatives of the Investment Advisers Association
Public Comment Aaron Morris
Public Comment Aaron Morris, Partner, Morris Kandinov
Public Comment Amber Allen, General Counsel & Executive Vice President of Fairview, LLC, President of Fairview Cyber, LLC, and Ellen Harvin, CEO of Fairview Investment Services, LLC
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division
Public Comment Angelo Evangelou, Chief Policy Officer, Cboe Global Markets, Inc.
Public Comment Brian Daly, Akin Gump Strauss Hauer & Feld LLP
Public Comment Calvin Satterfield
Public Comment Chris Iacovella, CEO, American Securities Association
Public Comment Craig Pfeiffer, President and CEO, Money Management Institute
Public Comment Denyette DePierro, US Financial Services Lead, AWS Public Policy, Amazon Web Services
Public Comment Dirk Peterson, McIntyre & Lemon, PLLC
Public Comment FundGuard
Public Comment Grant Duncan

Last Reviewed or Updated: Dec. 18, 2025

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