Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Comments on Proposed Rule: Electronic Recordkeeping by Investment Companies and Investment Advisers

Filter comments


Date Sort descending	Letter Type	Commenter Name
May 8, 2001	Public Comment	Bill Masi
April 21, 2001	Public Comment	Craig A. Goettsch, NASAA Investment Advisor, Section Chair, North American Securities Administrators Association
April 19, 2001	Public Comment	Duane R. Thompson, Director of Government Relations, The Financial Planning Association
April 19, 2001	Public Comment	Elaine A. Lindenmayer, Vice President and Deputy General Counsel, Charles Schwab & Co., Inc.
April 19, 2001	Public Comment	Paul S. Gottlieb, Chair, SIA-Investment Advisory Committee; Gerald T. Lins, Chair, SIA-Investment Company Committee; Elaine Laurence, Chair, SIA-Technology and Regulatory Committee, Securities Industry Association
April 17, 2001	Public Comment	Karen L. Barr, General Counsel, The Investment Counsel Association of America

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-06-01

Release Number

IC-24890

IA-1932

How to submit comments