Comments on Proposed and Final Rules: Compliance Programs of Investment Companies and Investment Advisers

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment IA-2204;IC-26299, 34-42099, IA-1845 Ron A. Rhoades, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC, Hernando, Florida
Public Comment IA-2204;IC-26299 Martin Brody, David Gale, Morgan Gust, and Robert F. Wulf, C.F.A. the Independent Directors of Flaherty & Crumrine Preferred Income Opportunity Fund
Public Comment IA-2204;IC-26299 Jay S. Neuman, Corporate Counsel, Federated Investors, Inc.
Public Comment IA-2204;IC-26299 Dan Calabria
Public Comment IA-2204;IC-26299 Brian M. Storms, President and CEO - UBS Global Asset Management - Americas; and Amy R. Doberman, Managing Director and General Counsel, UBS Global Asset Management (US) Inc.
Public Comment IA-2204;IC-26299 Christopher S. Conner, Senior Director, Corporate Compliance, PFPC Inc.
Public Comment IA-2204;IC-26299 Joan Hinchman, NSCP Executive Director, President and CEO, The National Society of Compliance Professionals, Inc.
Public Comment IA-2204;IC-26299 Lorrie Keating Heinemann, Secretary, Wisconsin-Department of Financial Institutions
Public Comment IA-2204;IC-26299 Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc.
Public Comment IA-2204;IC-26299 U.S. Bancorp Fund Services, LLC
Public Comment IA-2204;IC-26299 William L. Armstrong
Public Comment IA-2204;IC-26299 Karen L. Barr, General Counsel, Investment Counsel Association of America
Public Comment IA-2204;IC-26299 David F. Freeman, Jr., Arnold & Porter on behalf of DH2, Inc.
Public Comment IA-2204;IC-26299 Arne H. Carlson, Independent Chairman of the Board, American Express Funds
Public Comment IC-25925,IA-2107 John Hauer
Meeting with SEC Officials IC-25925,IA-2107 Memorandum of Hester Peirce, Senior Counsel, Division of Investment Management, re: telephone conversation with a member of the public
Public Comment IC-25925,IA-2107 C. Meyrick Payne, Management Practice Inc.
Public Comment IC-25925,IA-2107 US Keatings
Public Comment IC-25925,IA-2107 Theodore E. Angiulo
Public Comment IC-25925,IA-2107 Stanley Keller, Chair, Committee on Federal Regulation of Securities, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association
Public Comment IC-25925,IA-2107 Anthony E. Rothenfluch, Monahan & Roth LLC
Public Comment IC-25925,IA-2107 Stanley N. Griffith, Vice President and Associate General Counsel, Fidelity Management & Research Company
Public Comment IC-25925,IA-2107 Geoffrey F. Foisie, Shawbrook
Public Comment IC-25925,IA-2107 Michael P. DeGeorge, General Counsel, National Association for Variable Annuities
Public Comment IC-25925,IA-2107 David Riggs, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment IC-25925,IA-2107 Charles D. Meyer, MBA, Meyer Advisory Services
Public Comment IC-25925,IA-2107 Christiane Gigi Hyland, Senior Vice President, General Counsel, Empire Corporate FCU
Public Comment IC-25925,IA-2107 Clifford E. Kirsch and John L. Bronson, Prudential Financial, Inc.
Public Comment IC-25925,IA-2107 Debevoise & Plimpton
Public Comment IC-25925,IA-2107 Dr. Andrea C. Hall, Chair; Thomas A. Brown; Gale E. Sayers; Timothy S. Webster; Compliance and Shareholder Communications Committee of the Board of Directors of American Century Mutual Funds, Inc., American Century World Mutual Funds, Inc., American Century Capital Portfolios, Inc., American Century Variable Portfolios, Inc. and American Century Strategic Asset Allocations, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-03-03
Release Number
IA-2204
IC-26299
IC-25925
IA-2107
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