ICR Documents

Supporting Statement A Document Date Uploaded UPDATED Form ADV Supporting Statement (9-11).pdf 09/25/2019 Supporting Statement B Document Date Uploaded Supplementary Documents Title Document Document Type Date Uploaded IM SORN IM SORN 83 FR 6892.pdf Supplementary Document 08/07/2019 Public Comments Author Name Comment Document Author Affiliation Sponsoring Org. Type Category Date of Comment Date Comment Received Miller, Seth Cambridge comment letter.pdf Senior Vice President, Chief Risk Officer Cambridge Letter Simple 08/07/2018 08/07/2018 Hamburger, Brian MarketCounsel comment letter.pdf President and CEO Market Counsel Letter Simple 08/07/2018 08/07/2018 Bryan Oroschakoff, Michelle LPL Comment letter.pdf Chief Legal Officer LPL Financial Letter Simple 08/07/2018 08/07/2018 Crossley, Lisa NSCP comment letter.pdf Executive Director National Society of Compliance Professionals (NSCP) Letter Simple 08/07/2018 08/07/2018 Marotta, David Marotta comment letter.pdf Editor Marotta Wealth Management Other -- Website Multiple 04/26/2018 04/26/2018 Bentsen, Jr, Kenneth SIFMA comment letter.pdf President and CEO SIFMA Letter Simple 08/07/2018 08/07/2018 Reilly, Paul Raymond James comment letter.pdf Chairman and CEO Raymond James Financial Letter Simple 08/07/2018 08/07/2018 Quaadman, Tom U.S. Chamber comment letter.pdf Executive Vice President Center For Capital Markets Competitiveness Letter Simple 09/05/2018 09/05/2018