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Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940
[Release No. IA-3110; File No. S7-36-10]
See also: Comments for Dodd Frank Act Title IV, New Threshold for Federal Registration
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(Click here for meetings with SEC officials)
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| Jan. 12, 2012 | Gary A. LaBranche, FASAE, CAE, President & CEO, Association for Corporate Growth |
| Jun. 17, 2011 | Sidney Wigfall, Managing Partner/Consultant, SC Advisors Group, Chicago, Illinois |
| Jun. 14, 2011 | Pierre Bollon, AFG |
| Apr. 18, 2011 | Memorandum from the Division of Investment Management regarding an April 12, 2011, meeting with representatives of the Managed Funds Association |
| Apr. 1, 2011 | Howard Dicker, Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association |
| Mar. 21, 2011 | Shearman & Sterling LLP |
| Mar. 18, 2011 | Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers |
| Mar. 8, 2011 | Ki P. Hong and Patricia M. Zweibel, Skadden, Arps, Slate, Meagher & Flom LLP |
| Feb. 22, 2011 | Debevoise & Plimpton LLP |
| Feb. 10, 2011 | David Massey, Administrator, North Carolina Deputy Securities and President, North American Securities Administrators Association, Inc. |
| Feb. 8, 2011 | Scott Reckamp, Capital Markets ComplianceŽ, LLC |
| Feb. 1, 2011 | Ken Taymor, Executive Director, and Eric Finseth, Lecturer and Research Fellow, Berkeley Center for Law, Business and the Economy, Berkeley, California |
| Jan. 31, 2011 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York |
| Jan. 31, 2011 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, NY |
| Jan. 31, 2011 | Seward & Kissel LLP |
| Jan. 28, 2011 | James Chanos, Chairman, Coalition of Private Investment Companies, New York, New York |
| Jan. 26, 2011 | Addison Braendel, Baker & McKenzie LLP, Chicago, Illinois |
| Jan. 25, 2011 | Georg Merkl, Binz, Switzerland |
| Jan. 25, 2011 | Georg Merkl, Binz, Switzerland |
| Jan. 25, 2011 | Christopher M. Salter, O'Melveny & Myers LLP, on behalf of the China Venture Capital and Private Equity Association, Hong Kong Venture Capital and Private Equity Association and the Singapore Venture Capital and Private Equity Association |
| Jan. 25, 2011 | Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, United States Senate |
| Jan. 24, 2011 | Bart A. Shirley, CFA, Managing Partner, Cuyahoga Capital Partners, Cleveland, Ohio |
| Jan. 24, 2011 | Peter De Proft, Director General, European Fund and Asset Management Association (EFAMA), Bruxells, Belgium |
| Jan. 24, 2011 | Gilbert G. Menna, Goodwin Proctor LLP |
| Jan. 24, 2011 | Americans for Financial Reform |
| Jan. 24, 2011 | John Gebauer, Managing Director, National Regulatory Services |
| Jan. 24, 2011 | Vincent Rossi, CFP, President, ICW Investment Advisors LLC, Scottsdale, Arizona |
| Jan. 24, 2011 | Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association |
| Jan. 24, 2011 | Karrie McMillan, General Counsel, Investment Company Institute |
| Jan. 24, 2011 | Dechert LLP, Washington, District of Columbia |
| Jan. 24, 2011 | Sarah McCafferty, Vice President and Senior Legal Counsel, T. Rowe Price Associates, Inc. |
| Jan. 24, 2011 | Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc. |
| Jan. 24, 2011 | John M. Mino, Partner, and Gerald A. Monroe, Partner; Calfee, Halter and Griswold LLP, Cleveland, Ohio |
| Jan. 24, 2011 | Ira D. Hammerman, Senior Managing Director and General Counsel, The Securities Industry and Financial Markets Association (SIFMA), Washington, District of Columbia |
| Jan. 24, 2011 | Robert D. Kraus, SVP and General Counsel, Village Ventures, Inc., Williamstown, Massachusetts |
| Jan. 24, 2011 | Mark G. Heesen, President, National Venture Capital Association |
| Jan. 24, 2011 | Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers |
| Jan. 24, 2011 | Dale E. Brown, President & CEO, Financial Services Institute, Inc. |
| Jan. 24, 2011 | Valerie M. Baruch, Associate General Counsel, Investment Adviser Association |
| Jan. 24, 2011 | Monique S. Botkin, Assistant General Counsel, Investment Adviser Association |
| Jan. 24, 2011 | Damon Silvers, Director of Policy and Special Counsel, AFL-CIO, Washington, District of Columbia |
| Jan. 24, 2011 | Ari Gabinet, General Counsel, OppenheimerFunds, Inc |
| Jan. 24, 2011 | Joanne De Laurentiis, President and CEO, The Investment Funds Institute of Canada |
| Jan. 24, 2011 | Dechert LLP, on behalf of Foreign Adviser, Washington, District of Columbia |
| Jan. 24, 2011 | Mark Berman and Philip Thomas, CompliGlobe Ltd. |
| Jan. 24, 2011 | DLA Piper LLP (US) |
| Jan. 24, 2011 | Debevoise & Plimpton LLP, Washington, District of Columbia |
| Jan. 24, 2011 | Shearman & Sterling LLP |
| Jan. 24, 2011 | J. Stephen Zielezienski, Senior Vice President & General Counsel, and Phillip L. Carson, Assistant General Counsel, American Insurance Association |
| Jan. 24, 2011 | Katten Muchin Rosenman LLP on behalf of Certain Non-U.S Advisers |
| Jan. 24, 2011 | Katten Muchin Rosenman LLP on behalf of Certain Non-U.S. Insurance Companies |
| Jan. 24, 2011 | John H. Heuberger, Hal M. Brown, DLA Piper LLP |
| Jan. 24, 2011 | Robert V. Gunderson, Jr., Founding Partner, Gunderson Dettmer Stough Villeneuve Franklin Hachigian, LLP, Redwood City, California |
| Jan. 24, 2011 | Pierre Bollon, submitted on behalf of AFG (French Asset Management Association), France |
| Jan. 24, 2011 | Mary Richardson, Director of Regulatory and Tax Department, The Alternative Investment Management Association Limited, London, United Kingdom |
| Jan. 21, 2011 | Deena B. Seelenfreund, Chief Financial Officer, and Steven J. Taubman, Managing Director, VCFA Group, San Francisco, California |
| Jan. 21, 2011 | John Dirvin, Chief Operating Officer, Austin Ventures, Austin, Texas |
| Jan. 21, 2011 | Daniel Viola, Partner, Sadis & Goldberg LLP, New York, New York |
| Jan. 21, 2011 | Lisa M. Sotir, Esq., General Counsel, NEA Member Benefits Corporation |
| Jan. 21, 2011 | Mari-Anne Pisarri, Pickard and Djinis LLP |
| Jan. 21, 2011 | Katten Muchin Rosenman LLP, on behalf of APG Asset Management US Inc. |
| Jan. 20, 2011 | Richard H. Dinel, President, R. H. Dinel Investment Counsel, Inc. |
| Jan. 20, 2011 | Laurel Leitner, Senior Analyst, Council of Institutional Investors |
| Jan. 18, 2011 | Beckwith B. Miller, CEO, Ethics Metrics LLC |
| Jan. 14, 2011 | David L. Schnadig, Managing Partner, Cortec Group |
| Jan. 13, 2011 | Robert S. Morris, Managing Partner, Olympus Partners, Stamford, Connecticut |
| Jan. 13, 2011 | Gerald R. VanderLugt, Owner & Chief Compliance Officer, JVL Associates, LLC |
| Jan. 4, 2011 | Jean Fullerton, WJM Financial, LLC, Bedford, New Hampshire |
| Jan. 4, 2011 | Bill Dezellem, CFA, Tieton Capital Management, Yakima, Washington |
| Dec. 31, 2010 | Jeffrey W. McClure, CFP, President, The Wealth Coach, LLC., Salado, Texas |
| Dec. 23, 2010 | L. A. Schnase |
| Dec. 21, 2010 | Curt R. Stauffer, Chief Investment Officer, EHD Advisory Services, Inc., Lancaster, Pennsylvania |
| Dec. 21, 2010 | Michael Gilleran, Chief Financial Officer, Avoca Capital Holdings |
| Dec. 12, 2010 | Eric E. Haas, Chief Investing Officer, Altruist Financial Advisors LLC |
| Nov. 30, 2010 | Philip Tuttle, Student, South Bend, Indiana |
| Nov. 30, 2010 | Amy Klein, Menlo Park, California |
| Nov. 29, 2010 | Cindi Showalter, CSA Wealth Management, LLC, Axton, Virginia |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Jun. 2, 2011 | Memorandum from the Office of the Chairman regarding a May 26, 2011, meeting with representatives of the Equity Growth Capital Council |
| Apr. 18, 2011 | Memorandum from the Division of Investment Management regarding an April 15, 2011, meeting with representatives of the Private Equity Growth Company Council |
| Apr. 15, 2011 | Memorandum from the Division of Investment Management regarding an April 12, 2011, meeting with representatives of the European Fund and Asset Management Association |
| Mar. 25, 2011 | Memorandum from the Division of Investment Management regarding a March 14, 2011, meeting with various private fund investment advisers and service providers |
| Mar. 3, 2011 | Memorandum from the Division of Investment Management regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, Private Equity Investors and Carter Ledyard & Milburn |
| Mar. 2, 2011 | Memorandum from the Division of Investment Management regarding a February 22, 2011, meeting with representatives of Atlas Holdings LLC and Willkie Farr & Gallagher LLP |
| Mar. 1, 2011 | Memorandum from the Office of Commissioner Casey regarding a March 1, 2011, meeting with representatives of Willowridge Partners, Venture Capital Fund of America, and PEI Funds |
| Feb. 24, 2011 | Memorandum from the Office of Commissioner Casey regarding a February 22, 2011, meeting with representatives of Atlas Holdings and Willkie Farr |
| Feb. 14, 2011 | Memorandum from the Division of Investment Management regarding a February 9, 2011, meeting with representatives of the ACA Compliance Group |
| Feb. 10, 2011 | Memorandum from the Division of Investment Management regarding a February 9, 2011, meeting with representatives of the Investment Adviser Association |
| Feb. 8, 2011 | Memorandum from the Division of Investment Management regarding a meeting with representatives of the Investment Adviser Association, MFS Investment Management, and The Bank of New York Mellon |
| Jan. 6, 2011 | Memorandum from the Division of Investment Management regarding a January 5, 2011, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP |
| Dec. 22, 2010 | Memorandum from the Division of Investment Management regarding a November 29, 2010, meeting with staff from the office of Senator Jack Reed |
| Dec. 16, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association |
| Dec. 8, 2010 | Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of the Managed Funds Association |
| Dec. 3, 2010 | Memorandum from the Division of Investment Management regarding a December 2, 2010, meeting with a representative of the Subcommittee on Private Investment Entities of the American Bar Association |
| Nov. 23, 2010 | Memorandum from the Division of Investment Management regarding a November 23, 2010, meeting with representatives of the Managed Funds Association |
http://www.sec.gov/comments/s7-36-10/s73610.shtml
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