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(Click here for meetings with SEC officials)
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| Oct. 10, 2022 | CTA/UTP Advisory Committee |
| Feb. 5, 2021 | Paul S. Mishkin and Matthew A. Kelly, Davis Polk & Wardwell LLP et al. |
| Dec. 13, 2020 | David Arkules, Arkules Family Trust |
| Oct. 13, 2020 | Jeffrey T. Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc. |
| Sep. 10, 2020 | G. T. Spaulding |
| Aug. 18, 2020 | Christopher Solgan, VP, Senior Counsel, Miami Exchange Group |
| Aug. 12, 2020 | Doris Choi, Co-General Counsel, ICE Data Services |
| Aug. 10, 2020 | Luc Burgun, President & CEO, NOVΛSPARKS |
| Jul. 27, 2020 | Gerald D. O'Connell, SIG Compliance Coordinator, Susquehanna International Group LLP |
| Jul. 27, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Jul. 22, 2020 | Joan C. Conley Senior Vice President and Corporate Secretary, Nasdaq |
| Jul. 15, 2020 | Emil R. Framnes, Global Head of Trading, Norges Bank Investment Management and Simon Emrich, Market Structure and Trading Research, Norges Bank Investment Management |
| Jun. 30, 2020 | Kevin R. Edgar, Counsel, Baker Hostetler LLP and Counsel, Equity Markets Association |
| Jun. 26, 2020 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Jun. 18, 2020 | Linda Moore, President and CEO, TechNet |
| Jun. 17, 2020 | Tom Heffernan, Vice President, Trading Block |
| Jun. 15, 2020 | Anthony J. Albanese, Chief Regulatory Officer, New York Stock Exchange LLC, et. al. |
| Jun. 12, 2020 | James Angel, Ph.D., CFP, CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business |
| Jun. 11, 2020 | Kimberly Unger, CEO & Executive Director, Security Traders Association of New York, Inc. |
| Jun. 10, 2020 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Jun. 3, 2020 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Jun. 3, 2020 | Mehmet Kinak, Vice President & Global Head of Systematic Trading & Market Structure, T. Rowe Price and Jonathan D. Siegel, Vice President & Senior Legal Counsel - Legislative & Regulatory Affairs, T. Rowe Price |
| Jun. 2, 2020 | Joe Wald, Managing Director, Co-Head of Electronic Trading, BMO Capital Markets Group, and Ray Ross, Managing Director, Co-Head of Electronic Trading, BMO Capital Markets Group |
| Jun. 2, 2020 | Peter D. Stutsman, Global Equity Trading Manager, The Capital Group Companies, Inc. |
| Jun. 1, 2020 | Roman Ginis, Founder, IntelligentCross |
| Jun. 1, 2020 | Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE |
| Jun. 1, 2020 | Joseph Kinahan, Managing Director, Client Advocacy and Market Structure, TD Ameritrade |
| May. 31, 2020 | Jim Considine, Chief Financial Officer, McKay Brothers LLC |
| May. 29, 2020 | Doris Choi, Co-General Counsel, ICE Data Services |
| May. 29, 2020 | Jennifer Han, Associate General Counsel, Managed Funds Association |
| May 28, 2020 | Stephen J. McNeany, Chief Executive Officer, ACTIV Financial Systems, Inc. and Frank W. Piasecki, President, ACTIV Financial Systems, Inc. |
| May 28, 2020 | Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company lnstitute |
| May 28, 2020 | Tim Lang, Chief Executive Officer, ACS Execution Services, LLC |
| May 28, 2020 | John Ramsay,Chief Market Policy Officer, IEX |
| May 27, 2020 | Rich Steiner, Head of Client Advocacy and Market Innovation, RBC Capital Markets |
| May 27, 2020 | Mark Garabedian, Manager, Trading Data and Analytics, Wellington Management Company LLP and
Lisa Mahon Lynch, Associate Director, Global Trading, Wellington Management Company LLP |
| May 26, 2020 | Robert W. Holthausen, Professor of Accounting and Finance, Nomura Securities Company Professor,
Editor, Journal of Accounting and Economics, The Wharton School, University of Pennsylvania and Robert Zarazowski, Managing Director, Wharton Research Data Services, The Wharton School, University of Pennsylvania |
| May 26, 2020 | Stephen Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities |
| May 26, 2020 | Alec Hanson, Founder, AHSAT LLC |
| May 26, 2020 | Lev Bagramian, Senior Securities Policy Advisor, Better Markets |
| May 26, 2020 | Kermit R. Kubitz, Individual investor |
| May 26, 2020 | Hubert De Jesus, Managing Director, Global Head of Market Structure and Electronic Trading, BlackRock and Samantha DeZur, Director, Global Public Policy, BlackRock |
| May 26, 2020 | Joseph J. Barry, Senior Vice Presielent and Global Heael of Regulatory, Industry anel Government Affairs, State Street |
| May 26, 2020 | Tom C. W. Lin, Professor of Law, Temple University Beasley School of Law |
| May 26, 2020 | Ellen Greene, Managing Director, Equity and Options Market Structure, SIFMA |
| May 26, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| May 26, 2020 | Nandini Sukumar, Chief Executive Officer, World Federation of Exchanges |
| May 26, 2020 | John Zecca, Executive Vice President and Chief Legal Officer, Nasdaq |
| May 26, 2020 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| May 26, 2020 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| May 26, 2020 | Phil Mackintosh, Chief Economist, Nasdaq |
| May 26, 2020 | Anders Franzon, General Counsel, MEMX LLC |
| May 26, 2020 | Jeffrey T. Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc. |
| May 26, 2020 | Marcia E. Asquith, Executive Vice President, Board and External Relations, Financial Industry Regulatory Authority, Inc. |
| May 26, 2020 | Patrick Sexton, EVP, General Counsel Corporate Secretary, Cboe Global Markets, Inc. |
| May 26, 2020 | Michael Blasi, SVP, Enterprise Infrastructure, Fidelity Investments and Krista Ryan, VP, Associate General Counsel, Fidelity Investments |
| May 26, 2020 | Makan Delrahim, Assistant Attorney General, U.S. Department of Justice, Antitrust Division, et al. |
| May 26, 2020 | Jared Albert |
| May 22, 2020 | Gary A. LaBranche, FASAE, CAE, President & CEO, National Investor Relations Institute |
| May. 21, 2020 | Hitesh Mittal, Founder & CEO, BestEx Research |
| May. 20, 2020 | Patrick J. Healy, Founder and CEO, Issuer Network |
| May 20, 2020 | Institutional Traders Advisory Council on behalf of Buy-Side Institutions |
| May 20, 2020 | R. T. Leuchtkafer |
| May 15, 2020 | Elizabeth King, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE |
| May 14, 2020 | Kimberly Unger, CEO & Executive Director, Security Traders Association of New York |
| May 1, 2020 | Allison Bishop, President of Proof Trading |
| Apr. 29, 2020 | Linda Moore, President and CEO, TechNet |
| Apr. 24, 2020 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Apr. 23, 2020 | John L. Thornton, Co-Chair, Committee on Capital Markets Regulation; Hal S. Scott, President, Committee on Capital Markets Regulation; and R. Glenn Hubbard, Co-Chair, Committee on Capital Markets Regulation |
| Apr. 18, 2020 | D. Daw |
| Apr. 7, 2020 | John A. Zecca, Executive Vice President and Chief Legal Officer, Nasdaq |
| Feb. 28, 2020 | Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq Stock Market LLC |
| Feb. 17, 2020 | Anthony H. Steinmetz |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Feb. 28, 2022 | Memorandum from the Policy Counsel for Trading and Markets, Office of the Chair regarding Feb. 28, 2022 meeting with representatives from SIFMA |
| Dec. 8, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a December 8, 2020, meeting with representatives of Healthy Markets Association |
| Dec. 7, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a December 7, 2020, meeting with representatives of Securities Industry and Financial Markets Association |
| Dec. 7, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a December 7, 2020, meeting with representatives of Data Boiler Technologies, LLC |
| Dec. 7, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a December 7, 2020 meeting with Citadel |
| Nov. 4, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 28, 2020, meeting with representatives of CBOE Global Markets |
| Nov. 4, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 5, 2020, meeting with representatives of NASDAQ |
| Nov. 4, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 9, 2020, meeting with representatives of RBC Capital Markets |
| Nov. 4, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 16, 2020, meeting with a representative of the Managed Funds Association |
| Oct. 23, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 23, 2020 telephone call with representatives of CBOE |
| Oct. 20, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 20, 2020 telephone call with representatives of Fidelity |
| Oct. 7, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 14, 2020, meeting with representatives of Healthy Markets Association |
| Oct. 7, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 17, 2020, meeting with representatives of SIFMA |
| Oct. 7, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 21, 2020, meeting with representatives of RBC Capital Markets |
| Sep. 20, 2020 | Memorandum from the Division of Trading and Markets regarding an August 6, 2020 meeting with representatives of Managed Funds Association |
| Sep. 14, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 14, 2020, meeting with representatives of IEX |
| Sep. 10, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 10, 2020, meeting with representatives of Nasdaq |
| Sep. 9, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 2, 2020, meeting with representative of Data Boiler Technologies |
| Aug. 28, 2020 | Memorandum from the Division of Trading and Markets regarding an August 26, 2020 meeting with representatives of RBC |
| Aug. 24, 2020 | Memorandum from the Division of Trading and Markets regarding a July 28, 2020 meeting with representatives of Redline Trading Solutions |
| Aug. 21, 2020 | Memorandum from the Division of Trading and Markets regarding an August 19, 2020 meeting with representatives of NYSE |
| Aug. 20, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 20, 2020 meeting with representatives of the Investment Company Institute |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding an August 4, 2020 meeting with representatives of ICE Data Services |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding an August 10, 2020 meeting with representatives of the McKay Brothers |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a June 10, 2020 meeting with representatives of Virtu |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a July 30, 2020 meeting with representatives of Activ Financial |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a July 23, 2020 meeting with representatives of the McKay Brothers |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a July 23, 2020 meeting with representatives of the Miami Stock Exchange |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a July 22, 2020 meeting with representatives of Exegy |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding an August 5, 2020 meeting with representatives of Nasdaq |
| Aug. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a July 22, 2020 meeting with representatives of NovaSparks |
| Aug. 5, 2020 | Memorandum from the Office of the Chairman regarding a July 24, 2020, telephone conference with representatives of the Managed Funds Association |
| Jul. 20, 2020 | Memorandum from the Office of the Chairman regarding a June 18, 2020, telephone conference with representatives of the McKay Brothers LLC |
| Jul. 16, 2020 | Memorandum from the Office of Chairman Clayton regarding a July 15, 2020, telephone conference with representatives of Data Boiler Technologies, LLC |
| Jul. 16, 2020 | Memorandum from the Office of Chairman Clayton regarding a July 14, 2020, telephone conference with representatives of Investment Company Institute |
| Jul. 15, 2020 | Memorandum from the Division of Trading and Markets regarding a July 8, 2020 meeting with representatives of the ICI |
| Jul. 15, 2020 | Memorandum from the Division of Trading and Markets regarding a July 13, 2020 meeting with representatives of the SIFMA |
| Jul. 13, 2020 | Memorandum from the Office of Commissioner Elad Roisman regarding a July 13, 2020, meeting with representatives of the Investment Company Institute |
| Jul. 13, 2020 | Memorandum from the Office of Commissioner Elad Roisman regarding a June 18, 2020, meeting with representatives of Healthy Markets Association |
| Jul. 13, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 2, 2020, telephone call with representatives of TD Ameritrade |
| Jul. 9, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 12, 2020, meeting with representatives of Data Boiler Technologies Inc. |
| Jul. 9, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 29, 2020, meeting with representatives of the Royal Bank of Canada |
| Jul. 9, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 19, 2020, meeting with representatives of Healthy Markets |
| Jul. 9, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 19, 2020, meeting with representatives of Citadel Securities |
| Jul. 7, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a July 7, 2020, meeting with representatives of Data Boiler Technologi |
| Jul. 6, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 22, 2020, telephone conference with representatives of Nasdaq |
| Jul. 6, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 18, 2020, telephone conference with representatives of the Securities Industry and Financial Markets Association |
| Jul. 6, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 18, 2020, telephone conference with representatives of the McKay Brothers LLC |
| Jul. 6, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 29, 2020, telephone conference with representatives of Royal Bank of Canada and Buy-Side Firms |
| Jun. 30, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 30, 2020, meeting with representatives of TD Ameritrade |
| Jun. 29, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 29, 2020, meeting with representatives of Nasdaq |
| Jun. 29, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 29, 2020, meeting with representatives of SIFMA |
| Jun. 29, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a June 29, 2020, meeting with representatives of RBC |
| Jun. 26, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 26, 2020, meeting with representatives of the Managed Funds Association |
| Jun. 25, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a June 16, 2020 meeting with representatives of SIFMA |
| Jun. 22, 2020 | Memorandum from the Division of Trading and Markets regarding a May 21, 2020 meeting with representatives of the Investment Company Institute |
| Jun. 19, 2020 | Memorandum from the Division of Trading and Markets regarding a June 19, 2020 meeting with representatives of JP Morgan |
| Jun. 17, 2020 | Memorandum from the Division of Trading and Markets regarding a June 17, 2020 meeting with representatives of Themis Trading |
| Jun. 15, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a June 15, 2020 meeting with representatives of Citadel |
| Jun. 15, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a June 15, 2020 meeting with representatives of MFA |
| Jun. 12, 2020 | Memorandum from the Offices of Commissioner Elad Roisman and Commissioner Hester Peirce regarding a June 5, 2020 meeting with Representatives of McKay Brothers LLC |
| Jun. 11, 2020 | Memorandum from the Division of Trading and Markets regarding a June 11, 2020 meeting with representatives of Exegy |
| Jun. 11, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a June 11, 2020 meeting with representatives of MFA |
| Jun. 9, 2020 | Memorandum from the Division of Trading and Markets regarding a June 9, 2020 meeting with representatives of Charles Schwab |
| Jun. 4, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce, regarding a March 18, 2020, telephone call with representatives of Royal Bank of Canada and Various Buy-Side Firms |
| Jun. 4, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee, regarding a June 4, 2020, meeting with representatives of CBOE |
| Jun. 1, 2020 | Memorandum from the Division of Trading and Markets regarding a May 27, 2020 meeting with representatives of Investors Exchange |
| May 29, 2020 | Memorandum from the Division of Trading and Markets regarding a May 29, 2020 meeting with representatives of TD Ameritrade |
| May 13, 2020 | Memorandum from the Division of Trading and Markets regarding a May 13, 2020, meeting with representatives of SIFMA |
| Apr. 2, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman, regarding a March 30, 2020, meeting with representatives of RBC and Buy Side |
| Mar. 30, 2020 | Memorandum from the Division of Trading and Markets regarding a March 11, 2020, call with the Equity Markets Advisory Committee of the Investment Company Institute |
| Feb. 27, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 4, 2020, meeting with representatives from T. Rowe Price |
