Ciongoli, Executive Vice President & General Counsel, Lincoln National Corporation Ilgenfritz, President, Public Investors Arbitration Bar AssociationĪdam G. Tittsworth, Executive Director, Investment Adviser Association Weatherford, President CEO, Insured Retirement Institute, Washington, District of Columbiaĭavid G. Maurice, M.Div., CFP ®, Carrier & Maurice Investment AdvisorsĬatherine J. Rittenhouse, Director, Capital Markets Policy, CFA Instituteĭavid L. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Laby, Professor of Law, Rutgers University School of Law – Camden Pamela Lewis-Marlborough, Director & Associate General Counsel, TIAA-CREF Individual & Institutional Services, LLCĪrthur B. Graff, Esq., CEO/ Executive Director, et al. Rostad, President, The Institute for the Fiduciary Standardīrian H. Calaby, Senior Vice President, Office of Regulatory Policy, American Bankers Association and ABA Securities Association Goebel, General Counsel, Fidelity Management and Research Co., Boston, MassachusettsĬecelia A. Maguire Center, for Ethics in Financial Services,Ĭharles Lamont Post Chair in Ethics and the Professions, The American College Walters, CAE, Executive Director/CEO, and Elizabeth Piper/Bach, JD, CIMA ®, CFP ®, CTFA, Chair, Board of Directors, Investment Management Consultants Association, Greenwood Village, Coloradoīarbara Roper, Director of Investor Protection, Consumer Federation of America Hall, Securities Specialist, Better Markets, Inc. Kelleher, President & CEO, and Stephen W. Chamber Institute for Legal Reformĭennis M. Heath Abshure, President, North American Securities Administrators Associationĭavid Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Whiting, Executive Director and General Counsel, Washington, District of ColumbiaĪ. Keller, CFP Board Lauren Schadle, FPA and Geoffrey Brown, NAPFA Financial Planning Coalition McCarthy, Director of Regulatory Policy, Wells Fargo Advisors Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association (SIFMA) Lyle Benson, Jr., CPA/PFS, Chairman, Personal Financial Planning Executive Committee, and Clark Blackman II, CPA/PFS, Chairman, PFP EC Fiduciary Task Force, American Institute of Certified Public Accountants (AICPA), Washington, District of Columbia Hamburger, Managing Director, and Daniel Bernstein, Director, Research + Development, MarketCounsel, LLC, Englewood, New Jersey Rhoades, JD, CFP ®, Chair, et al., Steering Group, The Committee for the Fiduciary Standard, Alfred, New Yorkīrian S. Kelly, President & CEO, PFS Investments Inc. Koffler, Sutherland Asbill and Brennan LLP, on behalf of the Committee of Annuity Insurers John Gidman, President of the Association of Institutional INVESTORSĬlifford E. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers Bellaire, Esq, Executive Vice President and General Counsel, Financial Services Institute, Washington, District of ColumbiaĬhristopher Gilkerson, SVP and Deputy General Counsel, Charles Schwab & Co., Inc.Ĭarl B. McBride, AIFA, Founder, FiduciaryPath, LLCĭavid T. Nancy Lininger, Founder/Consultant, The Consortium Bowman, Senior Vice President and General Counsel, fi360, Inc., Bridgeville, Pennsylvania Jesse Hill, Government and Regulatory Relations, Edward JonesĪnne Tuttle Cappel, EVP and General Counsel, Financial Engines, Sunnyvale, Californiaīyron F. Kevin Carroll, Managing Director and Associate General Counsel, SIFMAĭavid Certner, Legislative Counsel and Policy Director, AARP, Washington, District of Columbia Patrick Mulvey, Founder, Fiduciary Advisor Advocates, LLC, Katonah, New Yorkīrent Brodeski, President, Zero Alpha Group, et al.
Martin Wheatley, Chief Executive, Financial Conduct Authority William Beatty, President, North American Securities Administrators Association, Inc. ( Click here for meetings with SEC officials) Comments on Study Regarding Obligations of Brokers, Dealers, and Investment AdvisersĬomments on Duties of Brokers, Dealers, and Investment Advisers Ĭomments have been received from individuals and entities using the following Letter Type H: 33Ĭomments have been received from individuals and entities using the following Letter Type I: 33
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