Comments on Amendments to the “Small Business” and “Small Organization” Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

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Date Received
Date Letter Type Commenter Name
Public Comment Brett Palmer, President, Small Business Investor Alliance
Public Comment Michael C. Bixby, President, Public Investors Advocate Bar Association
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Public Comment Cayla Culver, Managing Director, Head of Advisor Services Risk and Controls, Charles Schwab & Co.
Public Comment Eric J. Pan, President & CEO and Paul G. Cellupica, General Counsel, Investment Company Institute
Public Comment Gail C. Bernstein, General Counsel and Head of Public Policy, and Sanjay Lamba, Associate General Counsel, Investment Adviser Association
Public Comment Jennifer Han., Chief Legal Officer and Head of Global Regulatory Affairs, MFA
Public Comment Jessica Giroux, Chief Legal Officer, American Securities Association
Public Comment Jigyasa Prabhakar, Subham Bajgai, David Siu, Timothy Chummar, and Aadyant Singh Harnwal, Logos Research Centre
Public Comment K. Dane Snowden, COO, CFP Board, Dennis Moore, CEO, Financial Planning Association, Kathryn Dattomo, MNA, CAE, CFRE, CEO, National Association of Personal Financial Advisors and Michael Kitces, CFP, Executive Chairman, XY Panning Network
Public Comment Kevin Carroll, Deputy General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment Proskauer Rose LLP
Public Comment Thomas T. Kim, Managing Director, Independent Directors Council
Public Comment Gilbert Garcia, CFA, Managing Partner, Chief Investment Officer, Garcia Hamilton & Associates, L.P.
Public Comment James E. Scarborough
Public Comment Peter Germain, Chief Legal Officer, Federated Hermes, Inc.
Public Comment Bobby Franklin, President & CEO, National Venture Capital Association
Public Comment The Committee of Annuity Insurers
Public Comment Angela Dowell, Intellectual Property Strategy Manager (Medical Devices Sector)
Public Comment Viewpoint Advisory LLC
Public Comment Gallatin & Company, LLC
Public Comment Neil Patrick Murphy, President, NPM Consulting, LLC
Public Comment Rohan Sharma, Aspen Institute Rising Civic AI Leader
Meeting with SEC Officials Memorandum from the Office of Mark T. Uyeda regarding a January 23, 2026 meeting with representatives of Garcia Hamilton & Associates, L.P.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 15, 2026 meeting with representatives of Garcia Hamilton & Associates, L.P.

Last Reviewed or Updated: Jan. 16, 2026

File Number
S7-2026-01
Release Number
IA-6935
IC-35864
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