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Comments on Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
[Release No. IA-2652; File No. S7-22-07]
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| Apr. 18, 2008 | Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association |
| Nov. 7, 2007 | Merril Hirsh, Ross, Dixon & Bell, LLP |
| Nov. 7, 2007 | William C. Jerome, CFP, Capital Financial Services, LLC, Glenville, New York |
| Nov. 2, 2007 | Karen L. Barr, General Counsel, Investment Adviser Association |
| Nov. 2, 2007 | Barbara Roper, Director, Investor Protection,
Consumer Federation of America, and Mercer Bullard, Founder and President, Fund Democracy |
| Nov. 2, 2007 | Ira D. Hammerman, Senior Managing Director
and General Counsel, Securities Industry and Financial Markets Association |
| Nov. 2, 2007 | Tom Orecchio, Chair, and Ellen Turf, CEO, National Association of Personal Financial Advisors, Arlington Heights, Illinois |
| Nov. 2, 2007 | Daniel J. Barry, Director of Government Relations, Financial Planning Association |
| Nov. 2, 2007 | Ingrid R. Welch, Esquire, Principal, Associate General Counsel, CMS Investment Resources, Inc., Wynnewood, Pennsylvania |
| Nov. 1, 2007 | Ron A. Rhoades, JD, CFP, Hernando, Florida |
| Oct. 30, 2007 | Charles McKeown, Stanford, California |
| Oct. 25, 2007 | Peter J. Chepucavage, The International Association of Small Broker Dealers and Advisors |
| Oct. 22, 2007 | Jack Thomas |
| Oct. 4, 2007 | Memorandum from the Office of Commissioner Paul S. Atkins regarding a September 30, 2007, meeting with members of the ABA Business Law Section Committee |
http://www.sec.gov/comments/s7-22-07/s72207.shtml
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