Comments on Proposed Rule: Fund of Funds Arrangements

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 27, 2022 meeting with representatives of Capital Group Companies, Inc.
Meeting with SEC Officials Memorandum from theOffice of Commissioner Hester M. Peirce regarding a July 30 2020 meeting with representativs of the Coalition for Business Development
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 12, 2020 meeting with representativs of the SIFMA AMG Subcommittee
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 28, 2020, meeting with representatives of the Small Business Investor Alliance
Public Comment Gwen Moore, Steve Stivers, Brad Sherman and Bill Huizenga, Members of Congress
Public Comment Brett Palmer, President, Small Business Investor Alliance (SBIA), et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 24, 2020, meeting with representatives of T. Rowe Price
Public Comment David P. Cohen, Attorney, Coalition for Business Development
Public Comment Michael J. Triessl, Senior Vice President and Senior Counsel, Capital Research and Management Company
Public Comment Ryan M. Louvar, Esq., General Counsel, WisdomTree Asset Management, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2019, meeting with representatives of the Securities Industry and Financial Markets Association Swap Dealer & Derivatives Government Representatives Committees
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 23, 2019, meeting with representatives of JP Morgan Asset Management
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 23, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 18, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 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
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 26, 2019 meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 25, 2019, meeting with representatives of Broadridge Financial Solutions, Inc.
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 12, 2019, meeting with representatives of Guggenheim Partners, LLC
Public Comment Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 10, 2019, meeting with representatives of TPG Specialty Lending, Inc.
Public Comment Phillip Goldstein, Managing Member, Bulldog Investors, LLC
Public Comment Peter J. Germain, General Counsel, Federated Investors, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 6, 2019, meeting with representatives of Advent Capital Management, et al.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 4, 2019, meeting with representatives of Federated Investors, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 29, 2019, meeting with representatives of Saba Capital Management, L.P.
Public Comment Carlos S. Montoya, Esq., Cooper LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 16, 2019, meeting with representatives of Federated Investors, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-27-18
Release Number
33-10590
IC-33329
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