Comments on Proposed Rule: Fund of Funds Arrangements

[Release Nos. 33-10590, IC-33329 ; File No. S7-27-18]

Submitted Comments

(Click here for meetings with SEC officials)
Jun. 11, 2019 Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Jun. 9, 2019 Phillip Goldstein, Managing Member, Bulldog Investors, LLC
Jun. 7, 2019 Peter J. Germain, General Counsel, Federated Investors, Inc.
May 24, 2019 Carlos S. Montoya, Esq., Cooper LLC
May 14, 2019 William C. Rand, Esq., Law Office of William Coudert Rand
May 13, 2019 Scott D. Laton, Kauff Laton Miller LLP
May 6, 2019 Phil Goldstein, Managing Member, Bulldog Investors, LLC
May 3, 2019 Alexis Rosenblum, Director, Global Public Policy Group, et al., BlackRock
May 3, 2019 Peter Gunning, Chairman and President, Russell Investment Management, LLC
May 2, 2019 Gail C. Bernstein, General Counsel, Investment Adviser Association
May 2, 2019 Clarence A. Davis
May 2, 2019 Peter Baldino
May 2, 2019 Thomas R. Hiller, et al., Ropes & Gray LLP
May 2, 2019 Stuart S. Parker, President, PGIM Investments LLC
May 2, 2019 Barry P. Barbash, Chair, Committee on Investment Management Regulation, New York City Bar Association
May 2, 2019 Heidi W. Hardin, MFS Investment Management
May 2, 2019 Helder Pereira, Lead Counsel, Corporate Law, Massachusetts Mutual Life Insurance Company
May 2, 2019 Clifford R. Cone, Partner, Clifford Chance US LLP
May 2, 2019 J. Christopher Jackson, Senior Vice President & General Counsel, Calamos Investments LLC
May 2, 2019 Jeffrey W. Priest, President and Chief Executive Officer, General American Investors Company, Inc.
May 2, 2019 Insured Retirement Institute
May 2, 2019 Dechert LLP
May 2, 2019 Jonathan Chiel, Executive Vice President and General Counsel, Fidelity Investments
May 2, 2019 Timothy W. Cameron, Head, Asset Management Group, Securities Industry and Financial Markets Association, (SIFMA)
May 2, 2019 Micheal F. Gerber, Senior Managing Director, Corporate Affairs, Franklin Square Holdings, L.P., d/b/a FS Investments
May 2, 2019 Micah Hauptman, Financial Services Counsel, Consumer Federation of America
May 2, 2019 Skadden, Arps, Slate, Meagher & Flom LLP
May 2, 2019 Anne Lester, Senior Portfolio Manager & Head of Retirement Solu, J.P. Morgan Asset Management
May 2, 2019 David Oestreicher, Chief Legal Counsel, and Charles Shriver, Portfolio Manager(Multi-Asset Division), Co-Chair, Asset Allocation Committee; T. Rowe Price
May 2, 2019 Peter J. Germain, Chief Legal Officer and General Counsel, Federated Investors, Inc.
May 2, 2019 Andrew G. Arnott, President & CEO, John Hancock Investments
May 2, 2019 Jason Mulvihill, Chief Operating Officer and General Counsel, American Investment Council
May 2, 2019 Jonathan de St Paer, Chief Executive Officer, Charles Schwab Investment Management
May 2, 2019 Michael J. Triessl, Senior Vice President and Senior Counsel, Capital Research and Management Company
May 2, 2019 Randall C. Barnes, et al., Independent Trustees, Advent Capital Management, LLC
May 2, 2019 Andrew Owen, President, Wells Fargo Funds Management, LLC
May 2, 2019 Salvatore Subblells
May 2, 2019 Mary C. Farrell, Lead Independent Trustee, Fidelity Rutland Square Trust II (Fidelity Strategic Advisers Funds)
May 2, 2019 Catherine L. Newell, President, Dimensional Funds
May 2, 2019 Brian E. Binder, Chief Administrative Officer, Guggenheim Investments
May 2, 2019 Kinchen C. Bizzell
May 2, 2019 David Schachter
May 2, 2019 Barry M. Olliff, Director, City of London Investment Management Co Ltd
May 2, 2019 Jasmin Sethi, Associate Director of Policy Research, and Aron Szapiro, Director of Policy Research; Morningstar, Inc.
May 2, 2019 Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
May 2, 2019 Huey Falgout, Managing Director and Chief Counsel, Voya Investment Management LLC
May 2, 2019 Christopher M. Rohrbacher, Managing Director and Associate General Counsel, Nuveen, LLC
May 2, 2019 David B. Smith, Executive Vice President and General Counsel, Mutual Fund Directors Forum
May 2, 2019 Jiří Król, Global Head, Alternative Credit Council
May 2, 2019 Carter Austin
May 2, 2019 Arthur E. Johnson, Chair, Independent Trustees, Fidelity Fixed Income and Asset Allocation Funds
May 2, 2019 Felice R. Foundos, Partner, Chapman and Cutler LLP
May 2, 2019 Joseph Glatt, Chairman, Coalition for Business Development
May 2, 2019 Gregory Davis, Chief Investment Officer, The Vanguard Group, Inc.
May 2, 2019 Brad D. Wagner, General Counsel and Chief Compliance Officer, Gracie Asset Management
May 2, 2019 Joshua Easterly, Chairman and Chief Executive Officer, TPG Specialty Lending, Inc.
May 1, 2019 Anthony Chereso, President and CEO, Institute for Portfolio Alternatives
May 1, 2019 Saba Capital Management, L.P.
May 1, 2019 Amy B.R. Lancellotta, Managing Director, Independent Directors Council
May 1, 2019 Emmanuel Roman, Chief Executive Officer, Pacific Investment Management Company LLC
May 1, 2019 Edward C. Delk, General Counsel & Chief Compliance Officer, Advent Capital Management, LLC
May 1, 2019 Elizabeth C. Bogan, Director for four Gabelli Funds
May 1, 2019 Davis Polk & Wardwell LLP
May 1, 2019 William Bartlett, Parallax Volatility Advisers, L.P.
May 1, 2019 Michael Kremenak, Vice President, Chief Legal Officer, Thrivent
May 1, 2019 Erik T. Nelson, Chief Legal Officer, Allianz Investment Management LLC
Apr. 30, 2019 Robert C. Kolodny, M.D.
Apr. 30, 2019 Michael J. Melarkey
Apr. 30, 2019 Nicholas W. Platt
Apr. 30, 2019 Daniel D. Harding
Apr. 30, 2019 William F. Heitmann, Director, Investor, Gabelli Funds
Apr. 30, 2019 Edward T. Tokar
Apr. 30, 2019 Anthonie van Ekris
Apr. 30, 2019 Anthony J. Colavita
Apr. 30, 2019 Molly A. Marion
Apr. 30, 2019 Leslie Fahrenkopf Foley
Apr. 30, 2019 Paul Fanelli
Apr. 30, 2019 Anthony S. Colavita
Apr. 30, 2019 Bruce N. Alpert, Executive Vice President, et al., Gabelli Funds, LLC
Apr. 30, 2019 Paul Schott Stevens, President and CEO, Investment Company Institute
Apr. 30, 2019 Adam Tokar
Apr. 30, 2019 Susan Watson
Apr. 30, 2019 Vincent D. Enright
Apr. 30, 2019 Mark D. Epley, Executive Vice-President & Managing Director, General Counsel, and Matthew Newell, Associate General Counsel; Managed Funds Association
Apr. 30, 2019 Jeff Kupor, Head of Legal, Americas, Invesco Ltd.
Apr. 30, 2019 Brett Palmer, President, Small Business Investor Alliance
Apr. 30, 2019 Bethany Uhlein
Apr. 30, 2019 Laurissa Martire
Apr. 27, 2019 E.V. Cerutti
Apr. 26, 2019 Michael S. Spangler, President and Chief Executive Officer, Nationwide Funds Group
Apr. 25, 2019 Kuni Nakamura
Mar. 22, 2019 John Birch
Mar. 10, 2019 Rohan Ronvelia
Dec. 28, 2018 Anonymous
Oct. 1, 2018 Sharon French, Executive Vice President, and Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds
Sep. 28, 2018 Dechert LLP

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 3, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 23, 2019, meeting with representatives of JP Morgan Asset Management
Sep. 23, 2019 Memorandum from the Office of the Chairman regarding a September 23, 2019, meeting with representatives of the Investment Company Institute
Sep. 18, 2019 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 18, 2019, meeting with representatives of the Investment Company Institute and certain of its members
Sep. 18, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 18, 2019, meeting with representatives of the Investment Company Institute
Sep. 12, 2019 Memorandum from the Division of Investment Management regarding a September 12, 2019 meeting with representatives of the Investment Company Institute and certain of its members
Aug. 27, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 26, 2019 meeting with representatives of the Investment Company Institute (ICI)
Aug. 20, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 19, 2019 meeting with representatives of Gabelli Funds, Advent Capital Management, and The Raben Group
Jun. 25, 2019 Memorandum from the Division of Investment Management regarding a June 25, 2019, meeting with representatives of Broadridge Financial Solutions, Inc.
Jun. 18, 2019 Memorandum from the Division of Investment Management regarding a June 12, 2019, meeting with trustees of Advent Claymore Convertible Securities and Income Fund and Advent Capital Management
Jun. 13, 2019 Memorandum from the Division of Investment Management regarding a June 12, 2019, meeting with representatives of Guggenheim Partners, LLC
Jun. 10, 2019 Memorandum from the Division of Investment Management regarding a June 10, 2019, meeting with representatives of TPG Specialty Lending, Inc.
Jun. 6, 2019 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 6, 2019, meeting with representatives of Advent Capital Management, et al.
Jun. 4, 2019 Memorandum from the Division of Investment Management regarding a June 4, 2019, meeting with representatives of Federated Investors, Inc.
May 31, 2019 Memorandum from the Division of Investment Management regarding a May 29, 2019, meeting with representatives of Saba Capital Management, L.P.
May 16, 2019 Memorandum from the Division of Investment Management regarding a May 16, 2019, meeting with representatives of Federated Investors, Inc.
May 13, 2019 Memorandum from the Division of Investment Management regarding a May 10, 2019, meeting with representatives of Advent Capital Management and Gabelli Asset Management
May 1, 2019 Memorandum from the Division of Investment Management regarding a May 1, 2019, meeting with representatives of The Vanguard Group, Inc.
Apr. 4, 2019 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 2, 2019, meeting with representatives of SIFMA AMG
Apr. 3, 2019 Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 2, 2019, meeting with representatives of SIFMA AMG
Apr. 3, 2019 Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 2, 2019, meeting with representatives of SIFMA
Apr. 3, 2019 Memorandum from the Division of Investment Management regarding an April 2, 2019, meeting with representatives of SIFMA AMG
Mar. 11, 2019 Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard
Feb. 28, 2019 Memorandum from the Division of Investment Management regarding a February 28, 2019, meeting with representatives of Fidelity Investments
Feb. 19, 2019 Memorandum from the Division of Investment Management regarding a February 15, 2019, meeting with representatives of Willkie Farr & Gallagher LLP