Comment Letters

No. Author Company/Organization Date
1 Chris Barnard Jan. 27, 2011
2

McGladrey & Pullen, LLP

 Feb. 9, 2011
3 Lisa Roth, Association Past-Chairman, Chair, NAIBD Member Advocacy Committee

National Association of Independent Broker Dealers (NAIBD)

 Feb. 9, 2011
4

KPMG LLP

 Feb. 10, 2011
5 Lisa Roth, Director; Stacy Havener, President

Third Party Marketers Association (3PM)

 Feb. 10, 2011
6

GrantThornton LLP

 Feb. 14, 2011
7 JoAnn Guattery, Chair, Accounting Principles and Auditing Standards Committee

California Society of Certified Public Accountants (CalCPA)

 Feb. 8, 2011
8 Cynthia M. Fornelli, Executive Director

Center for Audit Quality

 Feb. 15, 2011
9 Barry C. Melancon, CPA, President & CEO

American Institute of Certified Public Accountants (AICPA)

 Feb. 15, 2011
10 Dale E. Brown, CAE, President & CEO

Financial Services Institute (FSI)

 Feb. 15, 2011
11 Rep. Spencer Bachus, Chairman, Committee on Financial Services; Rep. Scott Garrett, Chairman, Subcommittee on Capital Markets and Government Sponsored Enterprises

United States House of Representatives Committee on Financial Services

 May 27, 2011
12 Rep. Lynn Jenkins, Rep. Collin C. Peterson, Rep. Michael K. Conaway, Rep. Brad Sherman, Rep. John Campbell, Rep. Jim Renacci, Rep. Steven Palazzo, and Rep. Bill Flores

United States House of Representatives

 Feb. 14, 2011