Comments on Proposed Rule: Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

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Date Received
Date Letter Type Commenter Name
Public Comment John J. Cona, Partner and Chief Executive Officer, TARP Capital, LLC, Scottsdale, Arizona
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a November 18, 2008 telephone conversation with representatives of Broadridge Financial Solutions, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 29, 2008 telephone conversation with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 31, 2008 telephone conversation with representatives of the Investment Company Institute and T. Rowe Price
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 26, 2008 telephone conversation with representatives of the Fund Democracy
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 25, 2008 telephone conversation with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 5, 2008 telephone conversation with representatives of Broadridge Financial Solutions, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 5, 2008 telephone conversation with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 5, 2008 telephone conversation with representatives of RR Donnelly & Sons Co. and Prospectus Central, LLC
Public Comment Josiah Fisk, President and Creative Director, Firehouse Financial Communications LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a August 28, 2008 meeting with representatives of Addison
Public Comment Mortimer J. Buckley, Managing Director Retail Investor Group, The Vanguard Group, Inc., Malvern, Pennsylvania
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding August 25, 2008 meeting with representatives of RR Donnelly & Sons Co. and Prospectus Central, LLC
Public Comment Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Public Comment Josiah Fisk, President and Creative Director, Firehouse Financial Communication LLC
Public Comment Karrie McMillan, General Counsel and Brian Reid, Chief Economist, Investment Company Institute
Public Comment Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Public Comment Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities, LLC
Public Comment Russell Planitzer, Chairman and Chief Executive Officer, NewRiver, Inc., Andover, Massachusetts
Public Comment Timothy W. McHale, Counsel and Katherine H. Newhall, Counsel, Capital Research and Management Company
Public Comment Stephen R. Rimes, Assistant General Counsel, Invesco Aim Advisors, Inc.
Public Comment Andrew C. Bambeck III, Branch Manager, Raymond James Financial Services, Inc., Eaton, Ohio
Public Comment Daryle L. Owen
Public Comment Investor Testing of Mutual Fund Summary Prospectus and Related Disclosures
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding June 19, 2008 meeting with representatives of Broadridge Financial Solutions, Inc.
Public Comment David Certner, Legislative Counsel and Director of Legislative Policy, Govemment Relations and Advocacy, AARP
Public Comment Elizabeth Howlett, Professor of Marketing, University of Arkansas, John Kozup, Director, Center for Marketing and Public Policy Research, Villanova University, and Michael Pagano, Associate Professor of Finance, Villanova University
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 18, 2008, meeting with representatives of the NewRiver, Inc. and Kirkpatrick & Lockhart Preston Gates Ellis LLP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 8, 2008, meeting with representatives of the Investment Company Institute
Public Comment Mercer Bullard, President and Founder, Fund Democracy and Barbara Roper, Director of Investor Protection, Consumer Federation of America

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-28-07
Release Number
33-8861
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