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Investment Advice Participants And Beneficiaries NPRM

The comments will be made available in alternative format to persons with disabilities upon request.

  1. Gail Edward Johnson
    September 2, 2008
  2. Kevin J. Cusak
    September 8, 2008
  3. DALBAR
    Louis S. Harvey
    September 9, 2008
  4. Stephen Schnieder
    September 23, 2008
  5. Clyde Mosier
    September 23, 2008
  6. A. J. Thielen
    September 23, 2008
  7. Tom Marx
    September 23, 2008
  8. Reggie Boan
    September 24, 2008
  9. Randolph M. Martin
    September 30, 2008
  10. Woodard Insurance, LLP
    Blake Woodard
    October 2, 2008
  11. Kelly S. Miller
    October 3, 2008
  12. Morningstar Associates, LLC
    F. Allen Bliss
    October 3, 2008
  13. National Association of Active Investment Managers (NAAIM)
    William Hepburn
    October 3, 2008
  14. Actium LLC
    Chad Griffeth
    October 5, 2008
  15. The ERISA Industry Committee (ERIC)
    Mark Ugoretz
    October 6, 2008
  16. National Retiree Legislative Network (NRLN)
    Bill Kadereit
    October 6, 2008
  17. Diversified Investment Advisors, Inc.
    Robery F. Colby
    October 6, 2008
  18. MetLife, Inc.
    Andrew Varady
    October 6, 2008
  19. Pension Consultants, Inc.
    Cody Mendenhall | Mark S. Zielinski
    Dave Richards | Brian Allen
    October 6, 2008
  1. The Wagner Law Group
    Marcia S. Wagner
    October 6, 2008
  2. Fund Democracy Consumer Federation of America
    Mercer Bullard | Barbara Roper
    October 6, 2008
  3. Vanguard
    R. Gregory Barton
    October 6, 2008
  4. U.S. Chamber of Commerce
    Randy Johnson | Aliya Wong
    October 6, 2008
  5. Hartford Financial Services Group
    Richard J. Wirth
    October 6, 2008
  6. Financial Engines
    Anne S. Tuttle
    October 6, 2008
  7. American Benefits Council
    Jan M. Jacobson
    October 6, 2008
  8. Investment Company Institute
    Michael L. Hadley
    October 6, 2008
  9. Cornell University Law School
    William A. Jacobson
    Skyler Tanner
    October 6, 2008
  10. AARP
    David Certner
    October 6, 2008
  11. Financial Planning Association
    Duane Thompson
    October 6, 2008
  12. American Federal of Labor and Congress of Industrial Organizations (AFL-CIO)
    Thea Lee
    October 6, 2008
  13. National Association of Personal Investment Advisors (NAPFA)
    Diahann W. Lassus
    Ellen Turf
    Susan MacMichael John
    October 6, 2008
  14. Pension Rights Center
    Norman P. Stein
    Rebecca A. Davis
    October 6, 2008
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  1. American Council of Life Insurers (ACLI)
    Walter C. Welsh
    James H. Szostek
    Shannon Salinas
    October 6, 2008
  2. Members of the United States Senate
    Senator Jeff Bingaman
    Senator Edward M. Kennedy
    Senator Charles E. Grassley
    October 6, 2008
  3. Securities Industry and Financial Markets Association (SIFMA)
    Liz Varley
    October 6, 2008
  4. Merrill Lynch
    Michael P. Sjogren
    October 6, 2008
  5. Center for Employment Policy, Hudson Institute
    Diana Furchtgoot-Roth
    October 6, 2008
  6. Certified Financial Planner Board of Standards, Inc.
    Kevin R. Keller
    October 6, 2008
  7. Fiduciary Risk Management
    Jessica R. Flores  Bert M. Carmody
    October 8, 2008
  8. Members of United States Congress
    George Miller  Rob Andrews
    October 8, 2008
  9. American Institute of Certified Public Accountants (AICPA)
    Ian A. MacKay  Teighlor S. March
    October 15, 2008
  10. Financial Services Institute
    Dale E. Brown
    October 30, 2008

Requests To Testify


Testimony On Investment Advice

October 21, 2008 Hearing Transcript
If you want to obtain a copy of the court reporter's official transcript, you may contact Lisa Dennis Court Reporting at 410.729.0401.  Also, please be advised that, as with all unedited transcripts, there might be errors in this transcript.  Therefore, the transcript should not be quoted without checking with the speaker for confirmation of the quote.


Post-Hearing Supplemental Material

  • AARP - Research and articles in support of oral testimony - Table of Contents.  Full document available for inspection at EBSA's Public Disclosure Room.
  • DALBAR
    October 23, 2008
  • AARP
    October 27, 2008
  • SIFMA
    October 27, 2008
  • Anonymous
    November 20, 2008

Requesting Copies of Comments

Copies of public comments are also available upon request from EBSA's Public Disclosure Room.  Send requests for copies of documents to:

U.S. Department of Labor
Employee Benefits Security Administration
Public Disclosure Room
200 Constitution Avenue, NW, Suite N-1513
Washington, DC 20210
Tel 202.693.8673

Learn more about how to request documents from the Department of Labor in the EBSA publication How to Obtain Employee Benefit Documents from the Department of Labor.