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 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Public Comment IA-2711 Daniel J. Barry, Director of Government Relations, Financial Planning Association
Public Comment IA-2711 David Oestreicher, Chief Legal Counsel and Christopher P. Hayes, Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment IA-2711 Geoffrey F. Foisie, Investments Manager, Shawbrook
Public Comment IA-2711 George F. Magera, Reed Smith LLP
Public Comment IA-2711 Heidi Hardin, Senior Vice President, General Counsel, Janus Capital Management LLC
Public Comment IA-2711 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Public Comment IA-2711 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Public Comment IA-2711 Justine Kirby, Legal and Compliance Division, Morgan Stanley & Co. Incorporated
Public Comment IA-2711 Karen L. Barr, General Counsel and Valerie Baruch, Assistant General Counsel, Investment Adviser Association
Public Comment IA-2711 Karen Tyler, President and North Dakota Securities Commissioner, North American Securities Administrators
Public Comment IA-2711 Karrie McMillan, General Counsel, Investment Company Institute
Public Comment IA-2711 Katten Muchin Rosenman LLP
Public Comment IA-2711 Keith Marks, General Counsel, Ascendant Compliance Management
Public Comment IA-2711 Keith Newcomb, Full Life Financial LLC
Public Comment IA-2711 Kelly C. Abernathy, General Counsel, Chief Compliance Officer, Capital Institutional Services, Inc.
Public Comment IA-2711 Krista S. Zipfel, CFA, President & CEO, Advisor Solutions Group, Inc.
Public Comment IA-2711 Lee A. Pickard, William D. Edick, Pickard and Djinis LLP, Counsel to the Alliance in Support of Independent Research
Public Comment IA-2711 Lisa Tate, Vice President, Litigation & Associate General Counsel, American Council of Life Insurers
Public Comment IA-2711 Luanne Borowski, RIA Chief Compliance Officer, First Allied Securities, Inc.
Public Comment IA-2711 Mark S. Howard, Senior Vice President, Secretary and Counsel, USAA Investment Management Company, USAA Financial Planning Services Insurance Agency, Inc.
Public Comment IA-2711 Mary Richardson, Director, Regulatory & Tax Department, Alternative Investment Management Association Limited
Public Comment IA-2711 Michael J. Sharp, General Counsel, Citi Global Wealth Management
Public Comment IA-2711 Michael W. Mayhew, Chairman & Global Director of Research, Integrity Research Associate, LLC
Public Comment IA-2711 Nancy Kay, Chief Compliance Officer, Wall Street Financial Group
Public Comment IA-2711 Paul S. Gottlieb, First Vice President, Merrill Lynch, Pierce, Fenner & Smith
Public Comment IA-2711 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment IA-2711 Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities LLC
Public Comment IA-2711 Thaddeus Borek, Jr., Borek Financial Management
Public Comment IA-2711 Tom Orecchio, Chair, Ellen Turf, CEO, and Diahann Lassus, Chair, Industry Issues Committee, National Association of Personal Financial Advisors

Last Reviewed or Updated: Dec. 18, 2025

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