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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Houlihan Lokey, Inc.
Public Comment James Lutes, Retail Investor
Public Comment Jason E. Brown, and Joel Wattenbarger, Ropes Gray LLP
Public Comment John F. Phinney, Jr., CEO, Convergence Inc.
Public Comment John Gebauer, Chief Regulatory Officer, COMPLY
Public Comment Kathryn Fulton, Head of the U.S. Public Policy Group, BlackRock, Inc.
Public Comment Knut A Rostad, President, Institute for the Fiduciary Standard
Public Comment Kroll, LLC
Public Comment Lukas Henriksson
Public Comment Marcus Kvarsell
Public Comment Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Public Comment Nathan Lizotte
Public Comment Patrick T. Campbell, Co-Chair, Compliance Committee, and Adam B. Felsenthal, Co-Chair, Compliance Committee, New York City Bar Committee on Compliance
Public Comment Peter J. Germain, Chief Legal Officer, Federated Hermes, Inc.
Public Comment Phoebe Papageorgiou, Vice President, Trust Policy, American Bankers Association
Public Comment Schulte Roth & Zabel LLP
Public Comment Scott Pintoff, General Counsel, MarketAxess
Public Comment Sean Burke, Corporate Counsel, Flexible Plan Investments, Ltd.
Public Comment Sean Murphy and George S. Canellos, Milbank LLP
Public Comment Seth A. Miller, President, Advocacy and Administration, Cambridge Investment Research Advisors, Inc.
Public Comment Spencer Brady
Public Comment Ted Angus EVP, General Counsel, AssetMark Financial Holdings, Inc.
Public Comment Thomas T. Kim, Managing Director, Independent Directors Council
Public Comment Troy Peters, General Counsel, Lincoln International LLC
Public Comment Dana Mcwatters
Public Comment Deok Park
Public Comment Jerry Agloro, Cable construction
Public Comment Keith Paul Bishop, Former California Commissioner of Corporations
Public Comment Robert Reilly, Director of Client Services, CSC Global Financial Markets
Public Comment Dylan H. Bruce, Financial Services Counsel, Consumer Federation of America

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-22
Release Number
IA-6176
Related Materials
How to submit comments