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 Alison Baur, Deputy General Counsel, Franklin Resources, Inc.
Public Comment Andrew Moyad, CEO, Shared Assessments LLC
Public Comment Aron Szapiro, Head of Retirement Studies and Public Policy, Morningstar, Inc.
Public Comment Gail C. Bernstein, General Counsel, and Dianne M. Descoteaux, Associate General Counsel, Investment Adviser Association
Public Comment Joseph J. Barry, Global Head of Regulatory, Industry and Government Affairs, State Street Corporation, and Sean O'Malley, General Counsel, State Street Global Advisors
Public Comment Melissa MacGregor, Managing Director & Associate General Counsel, and Kevin Ehrlich, Managing Director, SIFMA and SIFMA Asset Management Group
Public Comment Michael Rasmussen, Founder, United Atlantic Legal Services
Public Comment Neil Acres, Managing Director and Global Head of Government and Regulatory Affairs, MSCI Inc.
Public Comment Rick Redding, Chief Executive Officer, Index Industry Association
Public Comment Susan M. Olson, General Counsel, Investment Company Institute
Public Comment Christopher McLoughlin, General Counsel, S&P Global Market Intelligence
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Gerard O'Reilly, Co-CEO and Chief Investment Officer, Dimensional Fund Advisors LP
Public Comment Rebekah Goshorn Jurata, General Counsel, American Investment Council
Public Comment Stephan Wolf, CEO, GLEIF
Public Comment Hugh Berkson, President, Public Investors Advocate Bar Association
Public Comment Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment Lisa Crossley, National Society of Compliance Professionals
Public Comment Elliot Ganz, Head of Advocacy, Co-Head Public Policy, Loan Syndications and Trading Association
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Public Comment Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a December 16, 2022 meeting with representatives of the Association of African American Financial Advisors
Public Comment Adrian Day, Investment Advisor
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 16, 2022 meeting representatives of the Investment Advisers Association
Public Comment Scott P. Gill, CEO, Synergy RIA Compliance Solutions
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 12, 2022 meeting with representatives of the Alternative Investment Management Association
Public Comment Lisa Crossley, Executive Director, National Society of Compliance Professionals
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 2, 2022 meeting with representatives from Goldman Sachs Asset Management
Public Comment Concerned Compliance
Public Comment Elliot Ganz, General Counsel, Co-Head Public Policy, Loan Syndications and Trading Association et al.

Last Reviewed or Updated: Dec. 18, 2025

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