Comments on Proposed Rule: Investment Adviser Codes of Ethics

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Date Received
Date Letter Type Commenter Name
Public Comment Kevin P. Ellis, Kyle Financial Services
Public Comment Michael R. Butowsky, Mayer, Brown, Rowe & Maw LLP, on behalf of Capri Capital Advisors, LLC
Public Comment Stuart C. Gilman, Ph.D. of Ethics Resource Center and Edward L. Pittman, Esq. of Thelen Reid & Priest LLP
Public Comment Joel H. Framson, CPA/PFS, CFP, Chair, Personal Financial Planning Executive Cotnmittee, American Institute of Certified Public Accountants
Public Comment Donald M. Rembert, President & CEO, Rembert D'Orazio & Fox and Knut A. Rostad, Knut A. Rostad Associates
Public Comment Lee N. Price, Ph.D., CFA, Chair, Standards of Practice Council, and Raymond DeAngelo, Executive Vice President, Association for Investment Management and Research
Public Comment Amy R. Doberman, Managing Director & General Counsel, of UBS Global Asset Management
Public Comment Ralph A. Lambiase, President, North American Securities Administrators Association, Inc.
Public Comment Amy B.R. Lancellotta, Acting General Counsel, Investment Company Institute
Public Comment Business Law Section of the Maryland State Bar Association
Public Comment Charles D. Meyer, MBA, CFP, Meyer Advisory Services, Hampton, N.Y.
Public Comment Christopher A. Cokinos, Vice President and Chief Compliance Officer, ING Financial Partners, Inc.
Public Comment Eileen Ryan, Chair, Investment Adviser Committee, Securities Industry Association
Public Comment Evelyn L. Brust, CAE, Executive Director, Investment Management Consultants Association
Public Comment Investment Company Institute
Public Comment John S. Simmers, CEO, ING Advisors Network
Public Comment Kevin Maas, PrimeVest Financial Services, Inc.
Public Comment Michael C. Herndon, Director, Public & Government Affairs, Certified Financial Planner Board of Standards, Inc., Arlington, Virginia
Public Comment Michele Y. Yang, Vice President and Senior Counsel, Fund Business and Management Group, Capital Research and Management
Public Comment Neil A. Simon, Esq., Director of Government Relations, Financial Planning Association
Public Comment Pickard and Djinis LLP
Public Comment Robert M. Berger, Executive Vice President and General Counsel, Capri Capital Advisors, LLC, Chicago, Illinois
Public Comment Sander Ressler, Chief Compliance Officer, Multi-Financial Securities Coporation
Public Comment Stephen A. Batman, CEO, 1st Global Advisors, Inc.
Public Comment William L. Livingston, P.E.
Public Comment James Investment Research, Inc.
Public Comment National Society of Compliance Professionals
Public Comment National Society of Compliance Professionals, Inc.
Public Comment Richard S. Cortese, of National Regulatory Services
Public Comment Investment Counsel Association of America

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-04-04
Release Number
IA-2209
IC-26337
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