Comments on Proposed Rule: Proposed Amendments to Investment Company Advertising Rule

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from Keith E. Carpenter, Senior Special Counsel, Division of Investment Management regarding a telephone conversations with The Vanguard Group
Meeting with SEC Officials Memorandum from Christopher Kaiser, Senior Counsel, Division of Investment Management regarding a telephone conversation with The Dreyfus Corporation
Public Comment David G. Tittsworth, Executive Director, Investment Counsel Association of America
Public Comment Amy B.R. Lancellotta, Senior Counsel, Investment Company Institute
Public Comment BenefitsCorp Equities, Inc.
Public Comment David A. Forman, Senior Legal Counsel, Fidelity Investments
Public Comment Deborah A. Lamb, Chair, U.S. Advocacy Committee; Linda L. Rittenhouse, AIMR Advocacy Committee, Association for Investment Management and Research
Public Comment Gerald T. Lins, Chairman, Investment Company Committee; Paul S. Gottlieb, Chairman, Investment Adviser Committee, Securities Industry Association
Public Comment Heather Harker, Esq., Vice President, Associate General Counsel and Assistant Secretary, GE Life and Annuity Assurance Company and GE Capital Life Assurance Company of New York
Public Comment Heidi Stam, Principal, Securities Regulation, Vanguard Group
Public Comment John W. Gerstmayr, Ropes & Gray, Boston, MA
Public Comment Karen L. Barr, General Counsel, Investment Counsel Association of America
Public Comment Sandra Burke, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment Stanley Keller, Chair, Committee on Federal Regulation Of Securities; Diane E. Ambler, Chair, Subcommittee on Investment Companies and Investment Advisers; Jay G. Baris, Vice-Chair, Subcommittee on Investment Companies and Investment Advisers, Business Law Section, American Bar Association
Public Comment David M. Butowsky, Mayer, Brown, Rowe & Maw, New York, NY
Public Comment John E. Baumgardner, Jr., Chair, Committee on Investment Management Regulation of the Association of the Bar of the City of New York
Public Comment William Carroll
Public Comment James D. Grassi
Public Comment Professor Stephen Calkins, Wayne State University Law School, Detroit, MI
Public Comment Jeff Goodall

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-17-02
Release Number
33-8101
34-45953
IC-25575
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