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Comments on Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
[Release No. IA-2711, File No. S7-10-00]
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Dec. 16, 2010 | Steven Stone, Morgan Lewis, on behalf of certain Securities Industry and Financial Markets Association members (request for extension of compliance date) |
Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a June 30, 2010, meeting with representatives of the Managed Funds Association |
Jul. 13, 2010 | Denise Voigt Crawford, NASAA President and Texas Securities Commissioner, Washington, District of Columbia |
Jul. 13, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 30, 2010, meeting with representatives of the Managed Funds Association |
Jul. 6, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 30, 2010, meeting with representatives of the Managed Funds Association |
Feb. 20, 2009 | Memorandum from the Office of the Chairman regarding a February 19, 2009, meeting with representatives of the Financial Planning Association |
Dec. 31, 2008 | Clifford Kirsch, Sutherland Asbill and Brennan LLP |
Dec. 8, 2008 | Memorandum from the Office of Commissioner Walter regarding a December 8, 2008, telephone call with representatives of Sutherland Asbill & Brennan LLP, and Metropolitan Life Insurance Company |
Dec. 2, 2008 | Memorandum from the Office of Commissioner Casey regarding a December 1, 2008, meeting with representatives of Sutherland Asbill & Brennan LLP, MetLife, Inc., and Prudential Insurance Company of America |
Nov. 25, 2008 | Memorandum from the Division of Investment Management regarding November 25, 2008, meeting with representatives of Sutherland Asbill & Brennan LLP, Great American Financial Resources, MassMutual Financial Group, Metropolitan Life Insurance Company, New York Life Insurance Companies, Northwestern Mutual Life Insurance Company, and Prudential Insurance Company of America |
Oct. 27, 2008 | Memorandum from the Office of Commissioner Aguilar regarding an October 27, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and J.P. Morgan Asset Management, Inc. |
Aug. 26, 2008 | David G. Tittsworth, Executive Director, Investment Adviser Association |
Aug. 8, 2008 | Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina |
Aug. 7, 2008 | Memorandum regarding a July 25, 2008 meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc. and J.P. Morgan Asset Management, Inc |
Jul. 17, 2008 | Memorandum from the Division of Investment Management regarding a July 9, 2008 meeting with representatives of the Investment Adviser Association |
Jul. 2, 2008 | Barbara L. Roper, Consumer Federation of America, Pueblo, Colorado |
Jun. 18, 2008 | Keith F. Higgins, Chair, Committee on Federal Regulation of Securities and Ellen Lieberman, Chair, Committee on State Regulation of Securities, American Bar Association |
May 29, 2008 | Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc. |
May 26, 2008 | Julie Jason, JD, LLM, President, Jackson, Grant Investment Advisers, Inc., Stamford, Connecticut |
May 23, 2008 | Sidley Austin LLP |
May 22, 2008 | Kurt N. Schacht, Executive Director, and Linda L. Rittenhouse, Senior Policy Analyst, CFA Institute Centre for Financial Market Integrity |
May 21, 2008 | Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc. |
May 20, 2008 | Teighlor S. March, J.D., Senior Technical Manager, Personal Financial Planning, AICPA, Durham, North Carolina |
May 20, 2008 | James E. Wernli |
May 18, 2008 | Nancy Lininger, Founder/Consultant, The Consortium, Camarillo, California |
May 16, 2008 |
William Cavell, Vice President, NRS Compliance Institute |
May 16, 2008 |
Thaddeus Borek, Jr., Borek Financial Management |
May 16, 2008 |
Tom Orecchio, Chair, Ellen Turf, CEO, and Diahann Lassus, Chair, Industry Issues Committee, National Association of Personal Financial Advisors |
May 16, 2008 |
Krista S. Zipfel, CFA,
President & CEO, Advisor Solutions Group, Inc. |
May 16, 2008 |
Justine Kirby, Legal and Compliance Division, Morgan Stanley & Co. Incorporated |
May 16, 2008 |
Clifford E. Kirsch, Michael B. Koffler, Bibb L. Strench, Sutherland, Asbill & Brennan LLP |
May 16, 2008 |
Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association |
May 16, 2008 |
Heidi Hardin, Senior Vice President, General Counsel, Janus Capital Management LLC |
May 16, 2008 |
Ashland Compliance Group LLC |
May 16, 2008 |
Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities LLC |
May 16, 2008 |
Luanne Borowski, RIA Chief Compliance Officer, First Allied Securities, Inc. |
May 16, 2008 |
Karen L. Barr, General Counsel and
Valerie Baruch, Assistant General Counsel, Investment Adviser Association |
May 16, 2008 |
Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers |
May 16, 2008 |
Daniel J. Barry, Director of Government Relations, Financial Planning Association |
May 16, 2008 |
Karen Tyler, President and
North Dakota Securities Commissioner, North American Securities Administrators |
May 16, 2008 |
George F. Magera, Reed Smith LLP |
May 16, 2008 |
Lee A. Pickard, William D. Edick,
Pickard and Djinis LLP, Counsel to the Alliance in Support of Independent Research |
May 16, 2008 |
Keith Newcomb, Full Life Financial LLC |
May 16, 2008 |
Christopher L. Davis, President, The Money Management Institute |
May 16, 2008 |
Christopher Gilkerson, Senior Vice President, Deputy General Counsel, Charles Schwab & Co., Inc. |
May 16, 2008 |
David Oestreicher, Chief Legal Counsel and Christopher P. Hayes, Associate Legal Counsel, T. Rowe Price Associates, Inc. |
May 16, 2008 |
Karrie McMillan, General Counsel, Investment Company Institute |
May 16, 2008 |
Dale E. Brown, President & CEO, Financial Services Institute, Inc. |
May 16, 2008 |
Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable |
May 16, 2008 |
Katten Muchin Rosenman LLP |
May 16, 2008 |
Nancy Kay, Chief Compliance Officer, Wall Street Financial Group |
May 16, 2008 |
William G. Mulligan, Chair and Member of the Board of Managers, Alternative Investments Compliance Association |
May 16, 2008 |
Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals |
May 16, 2008 |
Paul S. Gottlieb, First Vice President, Merrill Lynch, Pierce, Fenner & Smith |
May 16, 2008 |
Michael J. Sharp, General Counsel, Citi Global Wealth Management |
May 16, 2008 |
Kelly C. Abernathy, General Counsel, Chief Compliance Officer, Capital Institutional Services, Inc. |
May 16, 2008 |
Geoffrey F. Foisie, Investments Manager, Shawbrook |
May 16, 2008 |
Audrey V. Kuznetsov, Analyst, Council of Institutional Investors |
May 16, 2008 |
Keith Marks, General Counsel, Ascendant Compliance Management |
May 16, 2008 |
Mary Richardson, Director, Regulatory & Tax Department, Alternative Investment Management Association Limited |
May 16, 2008 |
Michael W. Mayhew, Chairman & Global Director of Research, Integrity Research Associate, LLC |
May 16, 2008 |
Mark S. Howard, Senior Vice President, Secretary and Counsel, USAA Investment Management Company, USAA Financial Planning Services Insurance Agency, Inc. |
May 15, 2008 | James M. Meyer, Chief Compliance Officer, Tower Bridge Advisors |
May 15, 2008 |
Cynthia M. Clarke, General Counsel, Wellington Management Company, LLP |
May 15, 2008 |
Margaret L. Leonard, CCO, Moody Aldrich Partners, LLC, Marblehead, Massachusetts |
May 14, 2008 |
Larry L. Laws, President, Larry Laws and Associates, Inc., Center Point, Texas |
May 14, 2008 |
Kent Knudson, Poolesville, Maryland |
May 14, 2008 |
Therese M. Pantalione, IACCPsm, V.P., Compliance Officer, Cumberland Advisors |
May 14, 2008 |
Mari-Anne Pisarri, Pickard and Djinis LLP |
May 14, 2008 |
Frank C. Dealy, Chief Operating Officer, Executive Advisors, Inc. |
May 13, 2008 |
Rita G. Dew, President, National Compliance Services, Inc., Delray Beach, Florida |
May 13, 2008 |
Judy T. Boyles, MNM Paragon Financial Group |
May 13, 2008 | Russ Kyncl, CLU, ChFC, Strategic Exit LLC |
May 12, 2008 | Ken Thompson, Financial Advisor - Branch Manager, Raymond James Financial Services |
May 12, 2008 | R. Christopher Verbeck |
May 12, 2008 | William H. McCance, President, Trust Advisory Group, Ltd. |
May 12, 2008 | Laurence E. Menna, Financial Planner, RJFS, President, MCM |
May 12, 2008 | Gary D. Case, CFP, Cornerstone Financial Planning |
May 12, 2008 | Robert Chamberlain, CFP, Raymond James Financial Services, Inc. |
May 9, 2008 |
Shaun Eddy, Strategic Wealth Management Group, LLC, Columbia, Maryland |
May 9, 2008 |
William A Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
May 9, 2008 |
L. A. Schnase |
May 5, 2008 |
Katie M. Habegger, CFP, Chief Compliance Officer, Clifford Swan Investment Counsel, Pasadena, California |
May 4, 2008 |
Warren J. Mackensen, CFP, Mackensen Company, Inc., Hampton, New Hampshire |
May 2, 2008 |
David H. Barton, President and General Counsel and Jennifer B. Pfleging, Compliance Officer, Mercer Advisors |
May 2, 2008 |
Terrance O'Malley, Fried, Frank, Harris, Shriver & Jacobson LLP |
Apr. 28, 2008 |
Michael Berlin, CCO, Private Asset Management, Inc. |
Apr. 26, 2008 |
Eric A. Brill, Esq., Attorney, San Francisco, California |
Apr. 7, 2008 |
Bill George, Blue Sky Research Services, Encino, California |
Mar. 28, 2008 |
Adrian Day, Chairman & CEO, Adrian Day Asset Management |
Mar. 27, 2008 |
Colon Brown, President, Brown & Brown Services, Inc. |
Mar. 20, 2008 |
Stacey Kruus, San Francisco, California |
Mar. 20, 2008 |
John H. Vineyard, CFA, President, Sunlake Investment Management |
Mar. 5, 2008 |
David Riedel, President, Riedel Research, New York, New York |
Mar. 8, 2008 |
William T. George, Research Consultant, Encino, California |
[Release No. IA-1862, File No. S7-10-00]
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Aug. 28, 2001 |
Paul S. Gottlieb, Chairman, SIA Investment Adviser Committee, Securities Industry Association |
Jul. 11, 2001 |
Memorandum from Marticha Cary regarding a meeting with Financial Planning Association on Proposed Amendments to Part II of Form ADV |
May 25, 2001 |
Memorandum from Marticha Cary regarding a meeting with Merrill Lynch; Morgan, Lewis & Bockius; and SEC staff on Proposed Amendments to Part II of Form ADV |
May 24, 2001 |
Additional Karen Barr, General Counsel, The Investment Counsel Association of America |
Feb.1, 2001 |
Memorandum from Marticha Cary regarding a meeting with Investment Counsel Association of America (ICAA), T. Rowe Price Associates, Inc. and SEC staff on Proposed Amendments to Part II of Form ADV |
Jul. 13, 2000 |
Donald M. Rembert, Chairman |
Jul. 5, 2000 |
Benjamin A. Brown, Managing Director, Financial Management Services, Dallas, TX |
Jun. 22, 2000 |
Gregory A. Root, President, Thomson Financial BankWatch, Michael S. Ross, Managing Director, Thomson Financial Global Markets and Bruce Babcock, President, Thomson Proxy Services (collectively, the "Thomson Advisers") |
Jun. 14, 2000 |
Dechert Price & Rhoads, Boston, Mass. |
Jun. 13, 2000 |
Richard T. Prins, Partner, Skadden, Arps, Slate, Meagher, and Flom, LLP and Affliates |
Jun. 13, 2000 |
Jane Katz Crist, attorney, Los Angeles, Calif. |
Jun. 13, 2000 |
Lee A. Pickard, Esq., Pickard and Djinis LLP, Counsel to The Alliance in Support of Independent Research, Washington, D.C. |
Jun. 13, 2000 |
David Riggs, Vice President and Associate General Counsel, Charles Schwab & Co., Inc. |
Jun. 13, 2000 |
Marianne K. Smythe, Wilmer, Cutler & Pickering, Washington, D.C. |
Jun. 13, 2000 |
Beverly E. Banfield, Associate Director and Director of Compliance, Standish, Ayer & Wood |
Jun. 13, 2000 |
Nora M. Jordan, Davis Polk & Wardwell, New York, N.Y. |
Jun. 13, 2000 |
J. David Griswold, Associate General Counsel, Frank Russell Securities, Inc. |
Jun. 13, 2000 |
Michael F. Rosenbaum, General Counsel, Asset Management, Salomon Smith Barney Inc. |
Jun. 13, 2000 |
Duane R. Thompson, Director of Government Relations, FPA Government Relations Office |
Jun. 13, 2000 |
Marc A. Cohn, Assistant Compliance Director, Metropolitan Life Insurance Company |
Jun. 13, 2000 |
Phyllis J. Bernstein, Director, Personal Financial Planning, American Institute of Certified Public Accountants |
Jun. 13, 2000 |
Milton Kuninsky |
Jun. 13, 2000 |
Tom Herndon, Florida State Board of Administration |
Jun. 13, 2000 |
Robert P. Goss, CFP, President, CFP Board |
Jun. 13, 2000 |
Deborah A. Lamb, Chair, Advocacy Advisory Committee, Association for Investment Management and Research |
Jun. 13, 2000 |
Amanda J. Reed, Associate Corporate Counsel, Federated Investors, Inc. |
Jun. 13, 2000 |
Jean Margo Reid, Chair, Investment Adviser Committee, Securities Industry Association |
Jun. 13, 2000 |
Karen L. Barr, General Counsel, Investment Counsel Association of America |
Jun. 13, 2000 |
Andrew J. Bowden, Deputy General Counsel and Vice President, Legg Mason, Inc. |
Jun. 12, 2000 |
Norman H. Lehrer, President, Lehrer Management Co., Inc. |
Jun. 12, 2000 |
Patrick H. Doyle, JD, Compliance Officer, Securities America Advisors, Inc. |
Jun. 12, 2000 |
MarieElena V. Ness, Regulatory Compliance Assistance |
Jun. 12, 2000 |
Nancy Lininger, The Consortium, Camarillo, Calif. |
Jun. 12, 2000 |
Heather C. King, Compliance Officer, Cornerstone Capital Management, Inc. |
Jun. 12, 2000 |
Kenneth L. Kahn, Managing Director, BNY ESI & Co. |
Jun. 12, 2000 |
Richard S. Cortese, Vice President, Consulting Services, National Regulatory Services, Lakeville, Conn. |
Jun. 7, 2000 |
K. Larry Hastie, MBA, PhD, President, Pattern Recognition Management, Ann Arbor, Mich. |
Jun. 6, 2000 |
Richard Schroeder, CFP |
Jun. 5, 2000 |
Dean R. Lycas |
Jun. 3, 2000 |
Mark Latham, The Corporate Monitoring Project, San Francisco, Calif. |
Jun. 1, 2000 |
Michael James Skinner, registered adviser |
May 31, 2000 |
Donald Steinmann, Advanced Financial Management, Pasadena, Calif. |
May 28, 2000 |
Yasmin Mansoor, investment adviser |
May 12, 2000 |
Charles S. Cruice, Greenville Capital Management |
May 11, 2000 |
James Jones |
May 10, 2000 |
Professor Aaron Brown, Finance Department, Yeshiva University, New York, N.Y. |
May 10, 2000 |
Terry W. Treiber, CFP, Financial Planning Specialist, Merrill Lynch - Raleigh Complex |
May 9, 2000 |
Paul Nissenbaum |
May 8, 2000 |
Paul J. Toohey, CFP |
May 8, 2000 |
an anonymous reviewer |
May 2, 2000 |
Judy Goldman, CFP, Walnut Creek, Calif. |
Apr. 29, 2000 |
Richard E. Vodra, CFP, Falls Church, Va. |
Apr. 24, 2000 |
James McRitchie, Editor, Corporate Governance, Sacramento, Calif. |
Apr. 18, 2000 |
Debra F. Strahan, Global Securities Information |
Apr. 13, 2000 |
Margarett Gorodess, Chicago, Ill. |
http://www.sec.gov/rules/proposed/s71000.shtml
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