Comments on Proposed Rule: Disclosure Regarding Portfolio Managers of Registered Management Investment Companies

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph V. Bocchino, Arizona
Public Comment David Spurr
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 6, 2004 telephone conversation with representatives of Wellington Management Company LLP and consultants
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 4, 2004 meeting with the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 23, 2004 telephone conversation with representatives from the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 23, 2004 telephone conversation with respresentatives from Janus Capital Management LLC
Public Comment Elmer Kassay and Paulette C. Pasquale, CFP, Lincoln Financial Advisors
Public Comment John R. Straub, King George, Virginia
Public Comment Susan Wang
Public Comment Cynthia Manabe
Public Comment Gerald R. Haywood, BA, BS, ABT, Broken Arrow, Oklahoma
Public Comment Heidi Stam, Principal, Securities Regulation, The Vanguard Group, Inc.
Public Comment Kevin G. Zachmann, Williamsville, New York
Public Comment Tom Burger, Storyteller, Houston, Texas
Public Comment William H. Thomson, Investor, Ashland, Oregon
Public Comment Joseph W. Sack, Executive Director, AMF COO Group
Public Comment Caroline G. Schaefer, Associate General Counsel, Investment Counsel Association of America
Public Comment Cynthia M. Clarke, Senior Vice President and General Counsel, Wellington Management Company, LLP
Public Comment Daniel R. Waltcher, Managing Director and Senior Counsel, Black Rock
Public Comment Deedra A. Smith, Staff Counsel, Frank Russell Investment Management Company
Public Comment Henry H. Hopkins and Forrest R. Foss, T. Rowe Price Associates, Inc. and T. Rowe Price International, Inc.
Public Comment Jeffery Ptak, Senior Mutual Fund Analyst, Morningstar, Inc.
Public Comment John C. Bogle
Public Comment Joseph F. Esposito, Assistant General Counsel, Goldman, Sachs & Co.
Public Comment Joseph F. Esposito, Assistant General Counsel, Goldman, Sachs & Co.
Public Comment Liliane Corzo, Counsel, Capital Research and Management Company
Public Comment Mark S. Howard, Senior Vice President, Secretary & Counsel, USAA Investment Management Company
Public Comment Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc.
Public Comment Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment Richard Mueller, Retired

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-04
Release Number
33-8396
34-49398
IC-26383
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