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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]


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]


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

Comments on Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV

[Release No. IA-2711, File No. S7-10-00]

[Release No. IA-1862, File No. S7-10-00]

Modified: 12/29/2010