Comments on Petition for Rulemaking to Abrogate or Amend Financial Industry Regulatory Authority Rules 2268(d), 12200, and 12204(d)
[File No. 4-781]
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(Click here for meetings with SEC officials)
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| Aug. 14, 2023 | Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, and Emily C. Micale, Director, Federal Regulatory Affairs, Insured Retirement Institute |
| Aug. 7, 2023 | Andrew B. Kay, Esq, Thrivent Financial for Lutherans and Thrivent Investment Management, Inc. |
| Aug. 4, 2022 | Andrew B. Kay, Esq, P. Randy Seybold, Esq., Venable, LLP and Richard T. Choi, Esq., Ann B. Furman, Esq., counsel for Petitioners Thrivent Financial for Lutherans and Thrivent Investment Management, Inc. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Aug. 10, 2023 | Memorandum from the Office Of the Investor Advocate regarding a August 1, 2023 meeting with representatives of Thrivent |
| Oct. 19, 2022 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 11, 2022 meeting with Thrivent |
| Apr. 14, 2022 | Memorandum from the Office of Chairman Gary Gensler regarding an April 12, 2022 meeting with Thrivent |
