Regulatory Monitoring & Input

MMI Comment Letter re: Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice [File No. S7–10–21]
October 1, 2021

Joint Trade Comment Letter re: Regulation Best Interest [File Number S7-07-18];
Form CRS Relationship Summary; Amendments to Form ADV;
Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles [File Number S7-08-18]; and
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation [File Number S7-09-18]
August 7, 2018