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 Robert V. Gunderson, Jr., Founding Partner, Gunderson Dettmer Stough Villeneuve Franklin Hachigian, LLP, Redwood City, California
Public Comment Sarah McCafferty, Vice President and Senior Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Shearman & Sterling LLP
Public Comment Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
Public Comment Valerie M. Baruch, Associate General Counsel, Investment Adviser Association
Public Comment Vincent Rossi, CFP, President, ICW Investment Advisors LLC, Scottsdale, Arizona
Public Comment Daniel Viola, Partner, Sadis & Goldberg LLP, New York, New York
Public Comment Deena B. Seelenfreund, Chief Financial Officer, and Steven J. Taubman, Managing Director, VCFA Group, San Francisco, California
Public Comment John Dirvin, Chief Operating Officer, Austin Ventures, Austin, Texas
Public Comment Katten Muchin Rosenman LLP, on behalf of APG Asset Management US Inc.
Public Comment Lisa M. Sotir, Esq., General Counsel, NEA Member Benefits Corporation
Public Comment Mari-Anne Pisarri, Pickard and Djinis LLP
Public Comment Laurel Leitner, Senior Analyst, Council of Institutional Investors
Public Comment Richard H. Dinel, President, R. H. Dinel Investment Counsel, Inc.
Public Comment Beckwith B. Miller, CEO, Ethics Metrics LLC
Public Comment David L. Schnadig, Managing Partner, Cortec Group
Public Comment Gerald R. VanderLugt, Owner & Chief Compliance Officer, JVL Associates, LLC
Public Comment Robert S. Morris, Managing Partner, Olympus Partners, Stamford, Connecticut
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a January 5, 2011, meeting with representatives of National Venture Capital Association and Proskauer Rose LLP
Public Comment Bill Dezellem, CFA, Tieton Capital Management, Yakima, Washington
Public Comment Jean Fullerton, WJM Financial, LLC, Bedford, New Hampshire
Public Comment Jeffrey W. McClure, CFP, President, The Wealth Coach, LLC., Salado, Texas
Public Comment L. A. Schnase
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 29, 2010, meeting with staff from the office of Senator Jack Reed
Public Comment Curt R. Stauffer, Chief Investment Officer, EHD Advisory Services, Inc., Lancaster, Pennsylvania
Public Comment Michael Gilleran, Chief Financial Officer, Avoca Capital Holdings
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Public Comment Eric E. Haas, Chief Investing Officer, Altruist Financial Advisors LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials 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

Last Reviewed or Updated: Dec. 18, 2025

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