Comments on Proposed Rule Rules Implementing Amendments to the Investment Advisers Act of 1940

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Date Received
Date Letter Type Commenter Name
Public Comment Robert T. Burns, Massachusetts Financial Services Company, Boston, Mass.
Public Comment Shartsis, Friese & Ginsburg LLP, San Francisco, Calif.
Public Comment Dale E. Brown, CAE, Associate Executive Director, International Association for Financial Planning, Atlanta, Georgia
Public Comment Ian E. Celecia, Chubb Securities Corporation, Warren, N.J.
Public Comment James Anderson, Jr., Assistant Secretary of State for Securities, State of Mississippi
Public Comment John C. Mosher, Vice President & Chief Financial Officer, Greystone Advisors, Inc., San Antonio, Texas
Public Comment Kathleen G. Cully, Deputy General Counsel, Fitch Investors Services, L.P. ("Fitch")
Public Comment Kim Q. Matland, Matland Money Management
Public Comment Mark O'Keefe, Commissioner of Securities, Office of the Montana State Auditor, Helena, Montana
Public Comment Matthew H. Lynch, Allegis Realty Investors, LLC, Hartford, Conn.
Public Comment Phyllis Bernstein, Director, Personal Financial Planning, AICPA
Public Comment Robert H. Newtson, Directory, Illinois Securities Department
Public Comment Robert P. Goss, CFP, President, Certified Financial Planners Board of Governers, Denver, Colorado
Public Comment Roberta A. Conroy, Director, Assistant General Counsel, The Capitol Group Companies, Inc., Los Angeles, Calif.
Public Comment Michael W. Miller, President, South Carolian Chapter ICFP, Greenville, South Carolina
Public Comment Daniel G. Viola, J.D., President & Consultant, VioCo, Ltd.
Public Comment Deborah Bortner, Securities Administrator, State of Washington
Public Comment Donald J. Reis, Deputy Secretary of State for Securities Regulation, State of Nevada
Public Comment Elaine F. Marshall, Secretary of State & Securities Administrator, State of North Carolina
Public Comment Jacqueline H. Hallihan, President, National Regulatory Services, Inc., Lakeville, Conn.
Public Comment Jerry C. Wagner, President, Society of Asset Allocations & Fund Timers, Inc., Aurora, Calif.
Public Comment Scott D. Greenbaum, CFP, CFS
Public Comment David W. Raub, Principal, Pacific Fidelity Management

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-31-96
Release Number
IA-1601
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