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Temporary Rule Regarding Principal Trades with Certain Advisory Clients
[Release No. IA-3893; File No. S7-23-07]
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| Sep. 14, 2016 | Rep. Ann Wagner, Member of Congress, and Rep. Scott Garrett, Chairman, Subcommittee on Capital Markets and Government Sponsored Enterprises |
| Aug. 8, 2016 | Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA |
| Dec. 12, 2014 | James Eureeca, Director of Capital and Crowd Operations at DM, Washington, District of Columbia |
| Oct. 26, 2014 | Norman B. Arnoff, Esq. and Paul A. Immerman, Esq. |
| Sep. 17, 2014 | Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc. |
| Sep. 17, 2014 | David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia |
| Sep. 17, 2014 | Barbara Roper, Director of Investor Protection, Consumer Federation of America |
| Sep. 17, 2014 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC |
| Sep. 17, 2014 | Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA |
| Sep. 16, 2014 | Richard Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs,Financial Services Roundtable, Washington, District of Columbia |
| Sep. 3, 2014 | J. Wayne-Lynn, Huntington, New York |
| Aug. 24, 2014 | Jeffrey W. Lynn, Boca Raton, Florida |
| Aug. 22, 2014 | Chris Barnard |
| Aug. 21, 2014 | Thomas Michael Manis, Boca Raton, Florida |
[Release No. IA-3483; File No. S7-23-07]
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| Mar. 5, 2013 | Anonymous |
| Nov. 13, 2012 | Ronald C. Long, Director of Regulatory Affairs, Wells Fargo Advisors |
| Nov. 13, 2012 | Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA |
| Nov. 13, 2012 | Blaine Aikin, AIFA, CFA, CFP, CEO, fi360, Pittsburgh, Pennsylvania |
| Nov. 5, 2012 | David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute |
| Oct. 26, 2012 | Chris Barnard, Germany |
[Release No. IA-3118; File No. S7-23-07]
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| Dec. 20, 2010 | Ron A. Rhoades, JD, CFP, Lecanto, Florida |
| Dec. 20, 2010 | R. Scott Henderson, Esq., Deputy General Counsel, Bank of America Corporation, New York, New York |
| Dec. 20, 2010 | Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma |
| Dec. 20, 2010 | Ira D. Hammerman, Senior Managing Director
and General Counsel, SIFMA |
| Dec. 20, 2010 | Blaine Aikin, CEO, Duane Thompson, Senior Policy Analyst, and Kristina A. Fausti, Director of Legal and Regulatory Affairs, Fiduciary360, Bridgeville, Pennsylvania |
| Dec. 20, 2010 | Barbara Roper, Director of Investor Protection, Consumer Federation of America |
| Dec. 20, 2010 | Ellen Turf, CEO, National Association of Personal Financial Advisors, Arlington Heights, Illinois |
| Dec. 14, 2010 | Tamar Frankel, Professor of Law, Boston University School of Law |
| Dec. 10, 2010 | Mari-Anne Pisarri, Pickard and Djinis LLP |
| Dec. 8, 2010 | Leonid Berline, Executive Vice President, Chief Compliance Officer, Winslow, Evans & Crocker, Inc. |
[Release No. IA-2653; File No. S7-23-07]
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| Aug. 21, 2009 | Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association |
| Feb. 20, 2009 | Memorandum from the Office of the Chairman regarding a February 19, 2009, meeting with representatives of the Financial Planning Association |
| Sep. 16, 2008 | Duane R. Thompson, Managing Director, Financial Planning Association, Washington, District of Columbia |
| Apr. 18, 2008 | Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association |
| Dec. 4, 2007 | Nora M. Jordan, Yukako Kawata, Leor Landa, Danforth Townley and John G. Crowley, Davis Polk & Wardwell, New York, New York |
| Nov. 30, 2007 | Mercer Bullard, Founder and President, Fund Democracy, Oxford, Mississippi |
| Nov. 30, 2007 | Daniel J. Barry, Director of Government Relations, Financial Planning Association |
| Nov. 30, 2007 | Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association |
| Nov. 30, 2007 | Valerie Baruch, Assistant General Counsel, Investment Adviser Association |
| Nov. 30, 2007 | Tom Orecchio, Chair, Ellen Turf, CEO, and Diahann W. Lassus, The National Association of Personal Financial Advisors |
| Aug. 14, 2007 | Richard Bellmer, Chair and Ellen Turf, CEO, The National Association of Personal Financial Advisors |
| Jul. 27, 2007 | Duane Thompson, Managing Director, Washington Office, Financial Planning Association, Washington, DC |
| Jul. 13, 2007 | Dennis Moore, David Scott, William Lacy Clay, Melissa Bean, Lincoln Davis, Joe Donnelly, Chris Murphy, Ron Klein, Tim Mahoney, Members of Congress |
| Jul. 12, 2007 | Samuel L. Hayes, III, Jacob Schiff Professor of Investment Banking Emeritus, Harvard Business School |
| Jul. 11, 2007 | Robert T. McCann, Vice Chairman and President, Merrill Lynch |
| Jul. 10, 2007 | Spencer Bachus, Member of Congress |
| Jul. 10, 2007 | Raymond A. "Chip" Mason, Chairman and CEO, Legg Mason, Inc. |
| Jun. 27, 2007 | Ira D. Hammerman, Senior Managing Director & General Counsel, Securities Industry and Financial Markets Association |
| Jun. 21, 2007 | Daniel P. Tully, Chairman Emeritus, Merrill Lynch |
| Jun. 18, 2007 | Joseph P. Borg, Esq., President, North American Securities Administrators Association, Inc. |
| May 23, 2007 | Tim Sagehorn, Sagehorn Financial Group |
| May 23, 2007 | Kurt Schacht, CFA, Managing Director, CFA Institute Centre for Financial Market Integrity, New York, NY |
| Apr. 24, 2007 | Barbara Roper, Director of Investor Protection, Consumer Federation of America; Duane Thompson, Managing Director of Washington Office, Financial Planning Association; Mercer Bullard, President, Fund Democracy, Inc.; David B. Tittsworth, Executive Director, Investment Advisors Association; Ellen Turf, Chief Executive Officer, National Association of Personal Financial Advisors; Joseph P. Borg, President, North American Securities Administrators Association |
http://www.sec.gov/comments/s7-23-07/s72307.shtml
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