Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940

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Date Received
Date Letter Type Commenter Name
Public Comment Georg Merkl, Binz, Switzerland
Public Comment Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, United States Senate
Public Comment Americans for Financial Reform
Public Comment Ari Gabinet, General Counsel, OppenheimerFunds, Inc
Public Comment Bart A. Shirley, CFA, Managing Partner, Cuyahoga Capital Partners, Cleveland, Ohio
Public Comment Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Public Comment Damon Silvers, Director of Policy and Special Counsel, AFL-CIO, Washington, District of Columbia
Public Comment Debevoise & Plimpton LLP, Washington, District of Columbia
Public Comment Dechert LLP, on behalf of Foreign Adviser, Washington, District of Columbia
Public Comment Dechert LLP, Washington, District of Columbia
Public Comment Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Public Comment DLA Piper LLP (US)
Public Comment Gilbert G. Menna, Goodwin Proctor LLP
Public Comment Ira D. Hammerman, Senior Managing Director and General Counsel, The Securities Industry and Financial Markets Association (SIFMA), Washington, District of Columbia
Public Comment J. Stephen Zielezienski, Senior Vice President & General Counsel, and Phillip L. Carson, Assistant General Counsel, American Insurance Association
Public Comment Joanne De Laurentiis, President and CEO, The Investment Funds Institute of Canada
Public Comment John Gebauer, Managing Director, National Regulatory Services
Public Comment John H. Heuberger, Hal M. Brown, DLA Piper LLP
Public Comment John M. Mino, Partner, and Gerald A. Monroe, Partner; Calfee, Halter and Griswold LLP, Cleveland, Ohio
Public Comment Karrie McMillan, General Counsel, Investment Company Institute
Public Comment Katten Muchin Rosenman LLP on behalf of Certain Non-U.S Advisers
Public Comment Katten Muchin Rosenman LLP on behalf of Certain Non-U.S. Insurance Companies
Public Comment Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers
Public Comment Mark Berman and Philip Thomas, CompliGlobe Ltd.
Public Comment Mark G. Heesen, President, National Venture Capital Association
Public Comment Mary Richardson, Director of Regulatory and Tax Department, The Alternative Investment Management Association Limited, London, United Kingdom
Public Comment Monique S. Botkin, Assistant General Counsel, Investment Adviser Association
Public Comment Peter De Proft, Director General, European Fund and Asset Management Association (EFAMA), Bruxells, Belgium
Public Comment Pierre Bollon, submitted on behalf of AFG (French Asset Management Association), France
Public Comment Robert D. Kraus, SVP and General Counsel, Village Ventures, Inc., Williamstown, Massachusetts

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-36-10
S7-36-10
Release Number
IA-3110
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