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 IC-25925,IA-2107 Mari-Anne Pisarri, Pickard and Djinis LLP
Public Comment IC-25925,IA-2107 Michael C. Herndon, Director, Public & Government Affairs, Certified Financial Planner Board of Standards Inc.
Public Comment IC-25925,IA-2107 Patricia D. Struck, NASAA Investment Adviser Section Chair, Administrator, Wisconsin Division of Securities, The North American Securities Administrators Association, Inc.
Public Comment IC-25925,IA-2107 Robert N. Sobol, Chief Operating Officer, Sterling Management Solutions Corp.
Public Comment IC-25925,IA-2107 Scott W. Campbell, Executive Vice President and General Counsel, Financial Engines Advisors LLC
Public Comment IC-25925,IA-2107 Stephen E. Roth and W. Thomas Conner, Sutherland, Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment IC-25925,IA-2107 Craig S. Tyle, General Counsel, of Investment Company Institute
Public Comment IC-25925,IA-2107 David G. Tittsworth, Executive Director, Investment Counsel Association of America
Public Comment IC-25925,IA-2107 David M. Givner, Counsel, Capital Research and Management Company
Public Comment IC-25925,IA-2107 Debra M. Brown, Esquire
Public Comment IC-25925,IA-2107 Deloitte & Touche
Public Comment IC-25925,IA-2107 Duane R. Thompson, FPA Director of Government Relations, Financial Planning Association
Public Comment IC-25925,IA-2107 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
Public Comment IC-25925,IA-2107 Gary A. Sanders, Senior Counsel for Law and State Relations, National Association of Insurance and Financial Advisors
Public Comment IC-25925,IA-2107 Geoff Foisie, Shawbrook
Public Comment IC-25925,IA-2107 Joan Hinchman, Executive Director, National Society of Compliance Professionals
Public Comment IC-25925,IA-2107 Joan Hinchman, Executive Director, National Society of Compliance Professionals
Public Comment IC-25925,IA-2107 John R. Gilner, Vice President & Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment IC-25925,IA-2107 Richard L. Trumka, Secretary-Treasurer, AFL-CIO
Public Comment IC-25925,IA-2107 Heidi Stam, Principal, Securities Regulation, The Vanguard Group
Public Comment IC-25925,IA-2107 William G. Mulligan, Chairman & CEO, Mulligan Management & Operations, LLC
Public Comment IC-25925,IA-2107 Ellen Turf, CEO, The National Association of Personal Financial Advisors
Public Comment IC-25925,IA-2107 Sarah A.B. Teslik, Executive Director, Council of Institutional Investors
Public Comment IC-25925,IA-2107 Curt Weil, CFP, Weil Capital Management, LLC
Public Comment IC-25925,IA-2107 Jonathan L. Korb, Loring, Wolcott, & Coolidge Office
Public Comment IC-25925,IA-2107 Will W. Woodard, III
Meeting with SEC Officials IC-25925,IA-2107 Memorandum from Daphne Tippens Chisolm, Counsel to Commissioner Goldschmid, regarding March 6, 2003 meeting with Investment Counsel Association of America
Public Comment IC-25925,IA-2107 Ronald S. Pearson, CFP, Beach Financial Advisory Service
Public Comment IC-25925,IA-2107 Barbara Mortensen
Public Comment IC-25925,IA-2107 Jilaine Hummel Bauer, Esquire

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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