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 Colon Brown, President, Brown & Brown Services, Inc.
Public Comment IA-2711 John H. Vineyard, CFA, President, Sunlake Investment Management
Public Comment IA-2711 Stacey Kruus, San Francisco, California
Public Comment IA-2711 William T. George, Research Consultant, Encino, California
Public Comment IA-2711 David Riedel, President, Riedel Research, New York, New York
Public Comment IA-1862 Paul S. Gottlieb, Chairman, SIA Investment Adviser Committee, Securities Industry Association
Meeting with SEC Officials IA-1862 Memorandum from Marticha Cary regarding a meeting with Financial Planning Association on Proposed Amendments to Part II of Form ADV
Meeting with SEC Officials IA-1862 Memorandum from Marticha Cary regarding a meeting with Merrill Lynch; Morgan, Lewis & Bockius; and SEC staff on Proposed Amendments to Part II of Form ADV
Public Comment IA-1862 Additional Karen Barr, General Counsel, The Investment Counsel Association of America
Meeting with SEC Officials IA-1862 Memorandum from Marticha Cary regarding a meeting with Investment Counsel Association of America (ICAA), T. Rowe Price Associates, Inc. and SEC staff on Proposed Amendments to Part II of Form ADV
Public Comment IA-1862 Donald M. Rembert, Chairman
Public Comment IA-1862 Benjamin A. Brown, Managing Director, Financial Management Services, Dallas, TX
Public Comment IA-1862 Gregory A. Root, President, Thomson Financial BankWatch, Michael S. Ross, Managing Director, Thomson Financial Global Markets and Bruce Babcock, President, Thomson Proxy Services (collectively, the "Thomson Advisers")
Public Comment IA-1862 Dechert Price & Rhoads, Boston, Mass.
Public Comment IA-1862 Amanda J. Reed, Associate Corporate Counsel, Federated Investors, Inc.
Public Comment IA-1862 Andrew J. Bowden, Deputy General Counsel and Vice President, Legg Mason, Inc.
Public Comment IA-1862 Beverly E. Banfield, Associate Director and Director of Compliance, Standish, Ayer & Wood
Public Comment IA-1862 David Riggs, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment IA-1862 Deborah A. Lamb, Chair, Advocacy Advisory Committee, Association for Investment Management and Research
Public Comment IA-1862 Duane R. Thompson, Director of Government Relations, FPA Government Relations Office
Public Comment IA-1862 J. David Griswold, Associate General Counsel, Frank Russell Securities, Inc.
Public Comment IA-1862 Jane Katz Crist, attorney, Los Angeles, Calif.
Public Comment IA-1862 Jean Margo Reid, Chair, Investment Adviser Committee, Securities Industry Association
Public Comment IA-1862 Karen L. Barr, General Counsel, Investment Counsel Association of America
Public Comment IA-1862 Lee A. Pickard, Esq., Pickard and Djinis LLP, Counsel to The Alliance in Support of Independent Research, Washington, D.C.
Public Comment IA-1862 Marc A. Cohn, Assistant Compliance Director, Metropolitan Life Insurance Company
Public Comment IA-1862 Marianne K. Smythe, Wilmer, Cutler & Pickering, Washington, D.C.
Public Comment IA-1862 Michael F. Rosenbaum, General Counsel, Asset Management, Salomon Smith Barney Inc.
Public Comment IA-1862 Milton Kuninsky
Public Comment IA-1862 Nora M. Jordan, Davis Polk & Wardwell, New York, N.Y.

Last Reviewed or Updated: Dec. 18, 2025

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