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 Letter re: NASAA Reg BI Board Committee Implementation Survey
February 24, 2020

MMI Comment Letter re: Investment Adviser Advertisements; Compensation for Solicitations (Investment Advisers Act Release No. 5407)
Request for Comment on Enhancing Investment Adviser Regulation
February 10, 2020

MMI Comment Letter re: Fiduciary Duty of Broker-Dealers and Investment Advisers (Proposal Number: PRN 2019-044); Proposed New Rule N.J.A.C. 13:47A-6.41
June 14, 2019
 

Joint Trade Comment Letter re: January 18 Request for Comment on Draft Regulations pertaining to Nevada Revised Statutes 90.575, 628.010 and 628.020, as modified by Senate Bill No. 383
March 1, 2019
 

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