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

[Proposed Rule Release Nos. IC-25925, IA-2107; File No. S7-03-03]
[Final Rule Release Nos. IA-2204; IC-26299; File No. S7-03-03]

Final Rule Comments

• Comments of Ron A. Rhoades, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC, Hernando, Florida, April 5, 2004 (File name: rrhoades040504.pdf)
• Comments of Martin Brody, David Gale, Morgan Gust, and Robert F. Wulf, C.F.A. the Independent Directors of Flaherty & Crumrine Preferred Income Opportunity Fund, February 23, 2004 (File name: s70303-70.pdf)
• Comments of Jay S. Neuman, Corporate Counsel, Federated Investors, Inc., February 11, 2004 (File name: s70303-68.pdf)

• Comments of Dan Calabria, February 9, 2004 (File name: s70303-67.pdf)

• Comments of Lorrie Keating Heinemann, Secretary, Wisconsin-Department of Financial Institutions, February 5, 2004 (File name: s70303-59.pdf)

• Comments of Christopher S. Conner, Senior Director, Corporate Compliance, PFPC Inc., February 5, 2004 (File name: pfpc020504.htm)
• Comments of U.S. Bancorp Fund Services, LLC, February 5, 2004 (File name: usbfs020504.htm)
• Comments of Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc., February 5, 2004 (File name: nasaa020504.htm)
• Comments of 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., February 5, 2004 (File name: ubsglobal020504.htm)
• Comments of Joan Hinchman, NSCP Executive Director, President and CEO, The National Society of Compliance Professionals, Inc., February 5, 2004 (File name: nscp020504.htm)
• Comments of William L. Armstrong, February 4, 2004 (File name: s70303-69.pdf)
• Comments of Karen L. Barr, General Counsel, Investment Counsel Association of America, February 3, 2004 (File name: icaa020304.htm)
• Comments of David F. Freeman, Jr., Arnold & Porter on behalf of DH2, Inc., January 30, 2004 (File name: s70303-57.pdf)

• Comments of Arne H. Carlson, Independent Chairman of the Board, American Express Funds, January 8, 2004 (File name: americanexp010804.htm)

Proposed Rule Comments

• Memorandum of Hester Peirce, Senior Counsel, Division of Investment Management, re: telephone conversation with a member of the public, December 4, 2003 (File name: s7-03-03-55.pdf)
• Comments of John Hauer, December 4, 2003 (File name: jhauer120403.txt)
• Comments of C. Meyrick Payne, Management Practice Inc., October 28, 2003 (File name: manapractice102803.htm)
• Comments of US Keatings, June 20, 2003 (File name: uskeatings062003.txt)
• Comments of Theodore E. Angiulo, June 13, 2003 (File name: s70303-49.pdf)
• Comments of Anthony E. Rothenfluch, Monahan & Roth LLC, May 5, 2003 (File name: s70303-42.pdf)
• Comments of Stanley N. Griffith, Vice President and Associate General Counsel, Fidelity Management & Research Company, May 2, 2003 (File name: fmrs70303-41.pdf)
• Comments of Stanley Keller, Chair, Committee on Federal Regulation of Securities, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, May 22, 2003 (File name: aba052203.htm)
• Additional Comments of Geoffrey F. Foisie, Shawbrook, April 25, 2003 (File name: shawbrook042503.htm)
• Comments of Michael P. DeGeorge, General Counsel, National Association for Variable Annuities, April 24, 2003 (File name: s70303-38.pdf)
• Comments of David Riggs, Vice President and Associate General Counsel, Charles Schwab & Co., Inc., April 23, 2003 (File name: charlesschwab042303.htm)
• Comments of Stephen E. Roth and W. Thomas Conner, Sutherland, Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers, April 18, 2003 (File name: s70303-26.pdf)
• Comments of Mari-Anne Pisarri, Pickard and Djinis LLP, April 18, 2003 (File name: pickard041803.htm)
• Comments of Clifford E. Kirsch and John L. Bronson, Prudential Financial, Inc., April 18, 2003 (File name: prudential041803.htm)
• Comments of Debevoise & Plimpton, April 18, 2003 (File name: debevoise041803.htm)
• Comments of Charles D. Meyer, MBA, Meyer Advisory Services, April 18, 2003 (File name: cdmeyer041803.htm)
• Comments of Scott W. Campbell, Executive Vice President and General Counsel, Financial Engines Advisors LLC, April 18, 2003 (File name: financial041803.htm)
• Comments of Robert N. Sobol, Chief Operating Officer, Sterling Management Solutions Corp., April 18, 2003 (File name: sterlingman041803.htm)
• Comments of Patr a D. Struck, NASAA Investment Adviser Section Chair, Administrator, Wisconsin Division of Securities, The North American Securities Administrators Association, Inc., April 18, 2003 (File name: nasaa041803.htm)
• Comments of 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., April 18, 2003 (File name: americentury041803.htm)
• Comments of Michael C. Herndon, Director, Public & Government Affairs, Certified Financial Planner Board of Standards Inc., April 18, 2003 (File name: cfpbs041803.htm)
• Comments of Christiane Gigi Hyland, Senior Vice President, General Counsel, Empire Corporate FCU, April 18, 2003 (File name: empire041803.htm)
• Comments of Richard L. Trumka, Secretary-Treasurer, AFL-CIO, April 17, 2003 (File name: s70303-27.pdf)
• Comments of David M. Givner, Counsel, Capital Research and Management Company, April 17, 2003 (File name: capitals70303-18.pdf)
• Comments of Joan Hinchman, Executive Director, National Society of Compliance Professionals, April 17, 2003 (File name: nationals70303-16.pdf)
• Comments of John R. Gilner, Vice President & Associate Legal Counsel, T. Rowe Price Associates, Inc., April 17, 2003 (File name: trowes70303-17)
• Comments of Eileen Ryan, Chair, SIA Investment Adviser Committee; Stuart R. Strachan, Chair, SIA Investment Company Committee; John Polanin, Jr., Chair, SIA Self-Regulation and Supervisory Practices Committee, Securities Industry Association, April 17, 2003 (File name: sia041703.htm)
• Comments of Craig S. Tyle, General Counsel, of Investment Company Institute, April 17, 2003 (File name: s70303-15.pdf)
• Comments of Gary A. Sanders, Senior Counsel for Law and State Relations, National Association of Insurance and Financial Advisors, April 17, 2003 (File name: naifa041703.htm)
• Comments of Debra M. Brown, Esquire, April 17, 2003 (File name: dmbrown041703.htm)
• Comments of Duane R. Thompson, FPA Director of Government Relations, Financial Planning Association, April 17, 2003 (File name: fpa041703.htm)
• Comments of Deloitte & Touche, April 17, 2003 (File name: deloitte041703.htm)
• Comments of David G. Tittsworth, Executive Director, Investment Counsel Association of America, April 17, 2003 (File name: icaa041703.htm)
• Comments of Joan Hinchman, Executive Director, National Society of Compliance Professionals, April 17, 2003 (File name: nscp041703.htm)
• Comments of Geoff Foisie, Shawbrook, April 17, 2003 (File name: shawbrook041703.htm)
• Comments of Heidi Stam, Principal, Securities Regulation, The Vanguard Group, April 16, 2003 (File name: vanguard041603.htm)
• Comments of William G. Mulligan, Chairman & CEO, Mulligan Management & Operations, LLC, April 14, 2003 (File name: s70303-11.pdf)
• Comments of Sarah A.B. Teslik, Executive Director, Council of Institutional Investors, April 10, 2003 (File name: cii041003.htm)
• Comments of Ellen Turf, CEO, The National Association of Personal Financial Advisors, April 10, 2003 (File name: napfa041003.htm)
• Comments of Curt Weil, CFP, Weil Capital Management, LLC, April 9, 2003 (File name: weilcap040903.htm)
• Comments of Jonathan L. Korb, Loring, Wolcott, & Coolidge Office, April 7, 2003 (File name: s70303-10.pdf)
• Comments of Will W. Woodard, III, April 4, 2003 (File name: s70303-48.pdf)
• Comments of Ronald S. Pearson, CFP, Beach Financial Advisory Service, March 25, 2003 (File name: rspearson1.htm)
• Memorandum from Daphne Tippens Chisolm, Counsel to Commissioner Goldschmid, regarding March 6, 2003 meeting with Investment Counsel Association of America dated March 25, 2003 (File name: icaa030603.htm)
• Comments of Barbara Mortensen, February 25, 2003 (File name: bmortensen1.txt)
• Comments of Jilaine Hummel Bauer, Esquire, February 25, 2003 (File name: jhbauer1.htm)
• Comments of Stephen Smetana, February 20, 2003 (File name: ssmetana1.txt)
• Comments of Anonymous, February 20, 2003 (File name: s70303-6.pdf)
• Comments of John U. Kranick, February 11, 2003 (File name: s70303-1.pdf)
• Comments of Carl H. Buerger, Jr., Registered Representative, Fortis Financial Group, February 10, 2003 (File name: s70303-7.pdf)
• Comments of kcgillmo, February 7, 2003 (File name: s70303-4.pdf)
• Comments of Craig S. Tyle, General Counsel, of Investment Company Institute, February 5, 2003 (File name: s70303-58.pdf)

http://www.sec.gov/rules/proposed/s70303.shtml