Comments on Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment IA-2711 Steven Stone, Morgan Lewis, on behalf of certain Securities Industry and Financial Markets Association members (request for extension of compliance date)
Meeting with SEC Officials IA-2711, 34-61358, 34-62121, 34-62124, 34-62132, 34-62130, 34-62122, 34-62123, 34-62133, 34-62125, 34-62129, 34-62131, 34-62126, 34-62127, 34-62128 Memorandum from the Office of Commissioner Walter regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Public Comment IA-2711 Denise Voigt Crawford, NASAA President and Texas Securities Commissioner, Washington, District of Columbia
Meeting with SEC Officials IA-2711, 34-61358, 34-62121, 34-62124, 34-62132, 34-62122, 34-62123, 34-62133, 34-62125, 34-62129, 34-62131, 34-62126, 34-62127, 34-62128 Memorandum from the Office of Commissioner Paredes regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials IA-2711, 34-61358 Memorandum from the Office of Commissioner Aguilar regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials IA-2711 Memorandum from the Office of the Chairman regarding a February 19, 2009, meeting with representatives of the Financial Planning Association
Public Comment IA-2711 Clifford Kirsch, Sutherland Asbill and Brennan LLP
Meeting with SEC Officials IA-2711 Memorandum from the Office of Commissioner Walter regarding a December 8, 2008, telephone call with representatives of Sutherland Asbill & Brennan LLP, and Metropolitan Life Insurance Company
Meeting with SEC Officials IA-2711 Memorandum from the Office of Commissioner Casey regarding a December 1, 2008, meeting with representatives of Sutherland Asbill & Brennan LLP, MetLife, Inc., and Prudential Insurance Company of America
Meeting with SEC Officials IA-2711 Memorandum from the Division of Investment Management regarding November 25, 2008, meeting with representatives of Sutherland Asbill & Brennan LLP, Great American Financial Resources, MassMutual Financial Group, Metropolitan Life Insurance Company, New York Life Insurance Companies, Northwestern Mutual Life Insurance Company, and Prudential Insurance Company of America
Meeting with SEC Officials IA-2711 Memorandum from the Office of Commissioner Aguilar regarding an October 27, 2008, meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc., and J.P. Morgan Asset Management, Inc.
Public Comment IA-2711 David G. Tittsworth, Executive Director, Investment Adviser Association
Public Comment IA-2711 Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina
Meeting with SEC Officials IA-2711 Memorandum regarding a July 25, 2008 meeting with representatives of the Investment Adviser Association, Affiliated Managers Group, Inc. and J.P. Morgan Asset Management, Inc
Meeting with SEC Officials IA-2711 Memorandum from the Division of Investment Management regarding a July 9, 2008 meeting with representatives of the Investment Adviser Association
Public Comment IA-2711 Barbara L. Roper, Consumer Federation of America, Pueblo, Colorado
Public Comment IA-2711 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities and Ellen Lieberman, Chair, Committee on State Regulation of Securities, American Bar Association
Public Comment IA-2711 Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
Public Comment IA-2711 Julie Jason, JD, LLM, President, Jackson, Grant Investment Advisers, Inc., Stamford, Connecticut
Public Comment IA-2711 Sidley Austin LLP
Public Comment IA-2711 Kurt N. Schacht, Executive Director, and Linda L. Rittenhouse, Senior Policy Analyst, CFA Institute Centre for Financial Market Integrity
Public Comment IA-2711 Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc.
Public Comment IA-2711 James E. Wernli
Public Comment IA-2711 Teighlor S. March, J.D., Senior Technical Manager, Personal Financial Planning, AICPA, Durham, North Carolina
Public Comment IA-2711 Nancy Lininger, Founder/Consultant, The Consortium, Camarillo, California
Public Comment IA-2711 Ashland Compliance Group LLC
Public Comment IA-2711 Audrey V. Kuznetsov, Analyst, Council of Institutional Investors
Public Comment IA-2711 Christopher Gilkerson, Senior Vice President, Deputy General Counsel, Charles Schwab & Co., Inc.
Public Comment IA-2711 Christopher L. Davis, President, The Money Management Institute
Public Comment IA-2711 Clifford E. Kirsch, Michael B. Koffler, Bibb L. Strench, Sutherland, Asbill & Brennan LLP

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-10-00
Release Number
IA-2711
IA-1862
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