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Comments on Other Initiatives to be Undertaken by the SEC in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
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(Click here for meetings with SEC officials)
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Mar. 6, 2017 | Robert E. Rutkowski |
Aug. 3, 2015 | Charles Poland Jr. |
May 22, 2015 | Terry Prentice |
Dec. 10, 2014 | Norman B. Arnoff, Esq., Law Offices Norman Arnoff, NYC, New York |
Nov. 26, 2014 | Seymour Sacks, President, Sacks Equalization Model Inc., New York, New Yor |
Aug. 20, 2013 | Jon Mark Morgan, Portland, Oregon |
Nov. 6, 2012 | Peter Rowley |
Aug. 29, 2012 | Martin Eakes, Center for Responsible Lending; Antonio González, William C. Velasquez Institute; Lisa Hasegawa, National Coalition for Asian Pacific American Community Development; Wade Henderson, Leadership Council on Civil and Human Rights; Marc Morial, National Urban League; Hilary O. Shelton, National Association for the Advancement of Colored People; and Shanna Smith, National Fair Housing Association |
Aug. 24, 2012 | Larry D. Hardin |
Jul. 23, 2012 | Jeff Mahoney, General Counsel, Council of Institutional Investors |
Dec. 23, 2011 | Mora P. Johnson, Government of Canada, Foreign Affairs and International Trade, Ottawa, Canada |
Dec. 9, 2011 | Edna Sussman, Esq., Distinguished ADR Practitioner in Residence, Fordham Law School, Immediate Past Chair, New York State Bar Association |
Nov. 27, 2011 | Katherine R. Roberts, Certified Financial Planner, former instructor U of C, Berkeley |
Oct. 5, 2011 | Maneesh Pangasa, Yuma, Arizona |
Sep. 1, 2011 | Thomas McNamara, Ph.D., The ESC Rennes School of Business, Rennes, France |
Jul. 31, 2011 | S. Gregory Lipton, Ph.D, Researcher, Mercer Island, Washington |
Jun. 20, 2011 | Sally Decelis, Williamson County Board of REALTORS, Round Rock, Texas |
Jun. 20, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
Jun. 17, 2011 | P. Georgia Bullitt and Michael A. Piracci, Morgan Lewis Counselors at Law, on behalf of Pershing LLC |
May 1, 2011 | Keally L. DeWitt, University of Cincinnati, Cincinnati, Ohio |
Mar. 28, 2011 | National Corn Growers Association and Natural Gas Supply Association |
Mar. 25, 2011 | Mary Pitman, Author, The Little Book of Missing Money |
Jan. 31, 2011 | Andrew Waring, Chief Executive, Merchant Navy Officers Pension Fund Trustees Ltd. |
Jan. 12, 2011 | J. Lang, Bloomington, Minnesota |
Jan. 12, 2011 | Mary Richardson, Director of Regulatory & Tax Department, Alternative Investment Management Association Limited |
Dec. 15, 2010 | Jeramy Heath |
Dec. 15, 2010 | Corinne Cordon, President, Capella Commercial Mortgage |
Dec. 8, 2010 | Rob Wilson, CIMC, President & CEO, Statement Clarity, Dallas, Texas |
Dec. 3, 2010 | Richard Ostrander, Managing Director, Morgan Stanley |
Dec. 6, 2010 | American Bankers Association, ABA Securities Association, The Clearing House Association L.L.C., Financial Services Forum, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Managed Funds Association, Securities Industry and Financial Markets Association |
Nov. 7, 2010 | Barbara Novick, Vice Chairman, Black Rock |
Oct. 29, 2010 | Robert W. Row, Palo Alto, California |
Oct. 17, 2010 | Anonymous |
Sep. 22, 2010 | Richard H. Baker, President and CEO, Managed Funds Association |
Sep. 20, 2010 | D. J. Heaton, Kalamazoo, Michigan |
Sep. 13, 2010 | Tom O'Hara, Edward Jones |
Sep. 8, 2010 | Shane Bird |
Sep. 4, 2010 | William Bristol |
Sep. 2, 2010 | Herbert Milstein, Cohen Milstein Sellers & Toll PLLC, Washington, D.C. |
Sep. 1, 2010 | Joan E. Schaller, Realtor, investor, Brooklyn Park, Minnesota |
Aug. 30, 2010 | Knud Lindgard |
Aug. 30, 2010 | Joe Jefferis, Compliance Accountant, Dayton, Ohio |
Aug. 30, 2010 | Edward Resnick, Jr., Nautic Partners, LLC, Providence, Rhode Island |
Aug. 27, 2010 | Donna Patton, Financial Advisor, Fairway, Kansas |
Aug. 26, 2010 | L D Hartman, CPA (retired), Carmel, Indiana |
Aug. 25, 2010 | State of Alaska |
Aug. 19, 2010 | Michael Manton, Senior Vice President, Thomson Reuters, Securities Information Center, Boston, Massachusetts |
Aug. 18, 2010 | Anthony T Moreschi, North Andover, Massachusetts |
Aug. 16, 2010 | Troy M. Smith, CFP, Raleigh, North Carolina |
Aug. 10, 2010 | Michael Decker, Managing Director, Securities Industry and Financial Markets Association, Washington, District of Columbia |
Aug. 8, 2010 | George R. Louderbough, Albuquerque, New Mexico |
Aug. 4, 2010 | Mark Rome, MBA, CEO, Sacramento, California |
Aug. 3, 2010 | Peter Schwartz, Hoboken, New Jersey |
Aug. 3, 2010 | Joyce E Heinzerling, Esquire, Principal, Meridian Fund Advisers, New York City, New York |
Aug. 2, 2010 | Jack Zaban, CPA, Northbrook, Illinois |
Aug. 2, 2010 | Robin McLeish, Virginia Beach, Virginia |
Jul. 30, 2010 | Charles W Wilcoxson |
Jul. 30, 2010 | Michelle F Sedivy, Mesa, Arizona |
Jul. 30, 2010 | David Salvitti |
Jul. 30, 2010 | P Lundstedt |
Jul. 29, 2010 | Dan D Shelburne, Investor, Westlake Village, California |
Jul. 29, 2010 | Shane Atwell |
Jul. 28, 2010 | W.K. |
Jul. 28, 2010 | Paula Doss, Roanoke, Virginia |
Jul. 28, 2010 | Robert J. Salmon, Retired, Chevy Chase, Maryland |
Jul. 28, 2010 | Stephen Shisler, Port Matilda, Pennsylvania |
Jul. 28, 2010 | Chris Locovare, President, KewlStuff Inc., Bay Shore, New York |
Jul. 27, 2010 | Gene Matarese |
Jul. 27, 2010 | Lucille J. Geremia, Vernon Hills, Illinois |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
Nov. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a July 15, 2011, meeting with representatives from Thomson Reuters |
Nov. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a September 21, 2011, meeting with representatives from HSBC |
Nov. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a June 7, 2011, meeting with representatives from Assured Guaranty |
Aug. 26, 2011 | Memorandum from the Office of the Chairman regarding an August 25, 2011, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness |
Jun. 28, 2011 | Memorandum from the Office of Commissioner Walter regarding a June 28, 2011, meeting with representatives of Nomura |
May 9, 2011 | Memorandum from the Office of the Chairman regarding a May 5, 2011, meeting with representatives of PIMCO |
May 5, 2011 | Memorandum from the Office of Commissioner Walter regarding a May 5, 2011, meeting with representatives of Barclays |
Apr. 21, 2011 | Memorandum from the Office of Commissioner Walter regarding an April 21, 2011, meeting with representatives of Jefferies & Company, Inc. |
Apr. 13, 2011 | Memorandum from the Office of Commissioner Walter regarding an April 13, 2011, meeting with representatives of the Institute of International Bankers, Davis Polk & Wardwell LLP, and Cleary Gottlieb Steen & Hamilton, LLP |
Mar. 14, 2011 | Memorandum from the Office of the Chairman regarding a March 14, 2011, meeting with representatives of PIMCO |
Feb. 3, 2011 | Memorandum from the Office of the Chairman regarding a January 26, 2011, meeting with representatives of Fidelity |
Dec. 1, 2010 | Memorandum from the Office of the Chairman regarding a December 1, 2010, meeting with representatives of BlackRock |
Oct. 13, 2010 | Memorandum from the Office of Commissioner Walter regarding a October 4, 2010 meeting with Representative of the Advanced Practice Advisors |
Sep. 27, 2010 | Memorandum from the Office of Commissioner Walter regarding a September 14, 2010, meeting with representatives of AFSCME and AFL-CIO |
Sep. 15, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
http://www.sec.gov/comments/other/other-initiatives/otherinitiatives.shtml
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