Comments on Proposed Rule: Custody of Funds or Securities of Clients by Investment Advisers

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Date Received
Date Letter Type Commenter Name
Public Comment K. Douglas Waite
Public Comment Stroock & Stroock & Lavan LLP on behalf of Credit Suisse Asset Management, LLC
Public Comment Robert M. Hughes, Securities Compliance Adm. & Compliance Officer, OppenheimerFunds, Inc., Englewood, Colorado
Public Comment Stephen D. Champion, Vice President, Global Trends Investments
Public Comment Andrew J. Bowden, Deputy General Counsel and Vice President, Legg Mason, Inc.
Public Comment A. Thomas Smith, III, Morgan Stanley Alternative Investments, LP
Public Comment Arthur F. Bell, Jr. & Associates, L.L.C.
Public Comment C. Dirk Peterson, on behalf of the National Association of Real Estate Investment Managers
Public Comment David Riggs, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment Dechert
Public Comment Fran Kenck
Public Comment Henry H. Hopkins and Nancy M. Morris, T. Rowe Price Associates, Inc., T. Rowe Price International, Inc., T. Rowe Price Global Asset Management, Inc., T. Rowe Price Stable Asset Management, Inc., and T. Rowe Price Advisory Services, Inc.
Public Comment Jessica K. Ditullio, First Vice President and Counsel, Bank One Corporation
Public Comment John F. Kozlowski, General Counsel, Ohio Credit Union League
Public Comment Joseph Borg, NASAA President, Director, Alabama Securities Commission, on behalf of North American Securities Administrators Association, Inc.
Public Comment Lawrence R. Uhlick, Executive Director and General Counsel, Institute of International Bankers
Public Comment Mari-Anne Pisarri, Pickard and Djinis, LLP
Public Comment Patricia A. Poglinco and Robert Van Grover, Seward & Kissel LLP
Public Comment Peter Mafteiu, Director; Bill Cavell, Director; and Rick Cortese, Vice President, National Regulatory Services
Public Comment PricewaterhouseCoopers LLP
Public Comment Richard T. Holm, Treasurer and Legal Counsel, Fiduciary Counselling, Inc.
Public Comment Steven W. Stone, Partner, Morgan, Lewis & Bockius LLP
Public Comment Terrance J. O'Malley, LeBoeuf, Lamb, Greene & MacRae L.L.P.
Public Comment Christiane G. Hyland, Esq., ACCU Executive Director, Association of Corporate Credit Unions
Public Comment Dan Kampen, President/CEO, U.S. Central Credit Union
Public Comment Duane R. Thompson, FPA Director of Government Relations, Financial Planning Association
Public Comment Karen L. Barr, General Counsel, Investment Counsel Association of America
Public Comment Tamara K. Reed, Associate Counsel, Investment Company Institute
Public Comment David W. Collins
Public Comment Steven S. Bremner, Senior Vice President, Chief Financial Officer, Kennedy Associates Real Estate Counsel, Inc., Seattle, WA

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-28-02
Release Number
IA-2044
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