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(Click here for meetings with SEC officials)
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Comments have been received from individuals and entities using the following Letter Type
A: 85 (S7-25-22 form letter B; S7-04-23 form letter D; S7-05-23 form letter B; 4-811 form letter A)
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| Jul. 9, 2024 | American Investment Council; Managed Funds Association; Alternative Investment Management Association; National Venture Capital Association; Loan Syndications and Trading Association; and National Association Private Fund Managers |
| May 22, 2024 | Drew Bagley CIPP/E, VP & Counsel, Privacy and Cyber Policy, and Elizabeth Guillot, Manager, Public Policy, CrowdStrike |
| May 9, 2024 | Jennifer Wood, Managing Director, Global Head of Asset Management Regulation & Sound Practices, Alternative Investment Management Association |
| Jan. 2, 2024 | Howie |
| Aug. 17, 2023 | Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute |
| Aug. 8, 2023 | Rebekah Goshorn Jurata, General Counsel, American Investment Council |
| Jul. 24, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Jun. 22, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Jun. 17, 2023 | Gail C. Bernstein, General Counsel, and Sanjay Lamba, Associate General Counsel, Investment Adviser Association |
| Jun. 16, 2023 | Julie Newman |
| Jun. 14, 2023 | Susan M. Olson, General Counsel, Investment Company Institute |
| Jun. 5, 2023 | Denyette DePierro, US Financial Services Lead, AWS Public Policy |
| Jun. 5, 2023 | Seth A. Miller, President Advocacy & Administration, General Counsel, Cambridge Investment Research Advisors, Inc. |
| May 23, 2023 | Michael Cocanower, CEO, AdviserCyber |
| May 22, 2023 | Eversheds Sutherland LLP for the Committee of Annuity Insurers |
| May 22, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| May 22, 2023 | William Michael Cunningham, Creative Investment Research |
| May 22, 2023 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| May 22, 2023 | Professors Neal Newman and Lawrence J. Trautman, Texas AM University School of Law |
| May 22, 2023 | Nozomi Networks |
| May 22, 2023 | Christopher Feeney, EVP and President, BITS, Bank Policy Institute |
| May 22, 2023 | Michael Underhill, President, Alternative and Direct lnvestment Securities Association |
| May 22, 2023 | Rebekah Goshorn Jurata, General Counsel, American Investment Council |
| May 22, 2023 | Andrew Hartnett, NASAA President and
Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association |
| May 22, 2023 | Chanda Brady, Associate Director and Cybersecurity Working Group Lead, ACLI |
| May 22, 2023 | Susan M. Olson, General Counsel, Investment Company Institute |
| May 19, 2023 | Anonymous |
| Apr. 26, 2023 | Trevor Fry, Student, Boston College Law School |
| Apr. 16, 2023 | Wes Corey |
| Mar. 31, 2023 | Andy Quach |
| Mar. 29, 2023 | Anonymous |
| Mar. 24, 2023 | Hussain Shahabuddin |
| Mar. 23, 2023 | James |
| Mar. 22, 2023 | Trevor Panhorst |
| Mar. 19, 2023 | Anonymous |
| Mar. 17, 2023 | Allen Browne |
| Mar. 17, 2023 | Tom |
| Mar. 17, 2023 | Bryon Mangler, Cybersecurity Consultant |
| Mar. 15, 2023 | Security Excellence, Founder, Cyber Risk Strategy, Risk Quantification |
| Mar. 15, 2023 | Francis L. Mayer, (ISC)2 |
| Dec. 19, 2022 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Jul. 28, 2022 | Susan M. Olson, General Counsel, Investment Company Institute |
| Jul. 10, 2022 | Jennifer Szaro, Chief Compliance Officer, XML Financial Group |
| May 3, 2022 | Pickard Djinis and Pisarri LLP |
| Apr. 29, 2022 | United States Senators Jack Reed, Mark R. Warner, Catherine Cortez Masto, Kevin Cramer, Susan M. Collins, Angus S. King, Jr., and Ron Wyden |
| Apr. 26, 2022 | Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors LP |
| Apr. 19, 2022 | Sigal Lewkowicz, Interim Chief Compliance Officer, ICE Data Pricing & Reference Data, LLC |
| Apr. 12, 2022 | Howard Poston |
| Apr. 12, 2022 | Schulte Roth Zabel LLP |
| Apr. 11, 2022 | NRS, a ComplySci Company |
| Apr. 11, 2022 | Eversheds Sutherland LLP on behalf of Committee of Annuity Insurers |
| Apr. 11, 2022 | Thomas T. Kim, Managing Director, Independent Directors Council |
| Apr. 11, 2022 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Apr. 11, 2022 | Brian Barnier |
| Apr. 11, 2022 | Peter J. Germain, Chief Legal Officer, Federated Hermes, Inc. |
| Apr. 11, 2022 | Campbell Pryde, President and CEO, XRBL US |
| Apr. 11, 2022 | Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Apr. 11, 2022 | Sullivan & Worcester LLP |
| Apr. 11, 2022 | Susan M. Olson, General Counsel, Investment Company Institute |
| Apr. 11, 2022 | Patrick C. Reeder, Deputy General Counsel and David Leifer, Senior Associate General Counsel, American Council of Life Insurers (ACLI) |
| Apr. 11, 2022 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Apr. 11, 2022 | Patrick T. Campbell, Chair, New York City Bar Association Committee on Compliance, and Michael S. Hong, Chair, Committee on Private Investment Funds, and John Fitzgerald, Chair, Committee on Investment Management Regulation |
| Apr. 11, 2022 | Emily C. Micale, Director, Federal Regulatory Affairs and John B. Jennings Assistant Director, Government Affairs, Insured Retirement Institute, IRI |
| Apr. 11, 2022 | Melanie Senter Lubin, NASAA President, North American Securities Administrators Association |
| Apr. 11, 2022 | Jennifer W. Han, Managed Funds Association |
| Apr. 11, 2022 | American Investment Council |
| Apr. 11, 2022 | James H. Freis, Jr., Co-Founder & Chairman, and Mark Stetler, Co-Founder & CEO, Crindata LLC |
| Apr. 11, 2022 | David B. Smith, Jr., General Counsel, Mutual Fund Directors Forum |
| Apr. 11, 2022 | Jason Elmer, Chief Executive Officer, and Simon Eyre, Chief Information Security Officer, Drawbridge Partners, LLC |
| Apr. 11, 2022 | Stephen W. Hall, Legal Director and Securities Specialist and Scott Farnin, Legal Counsel, Better Markets, Inc. |
| Apr. 11, 2022 | Christopher Feeney, EVP and President, BITS, Bank Policy Institute |
| Apr. 11, 2022 | Melissa MacGregor, Managing Director & Associate General Counsel and Lindsey Keljo, Head & Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA) |
| Apr. 9, 2022 | Jerry Perullo, Founder, Adversarial Risk Management |
| Apr. 8, 2022 | Seth Miller, General Counsel, Chief Risk Officer, Cambridge Investment Research Advisors, Inc. |
| Apr. 8, 2022 | SecurityScorecard |
| Apr. 8, 2022 | Chris Iacovella, CEO, American Securities Association |
| Apr. 7, 2022 | Jeremy A. Grant, Fast Identity Online (FIDO) Alliance |
| Mar. 29, 2022 | Carol Singer, Keyco Bond Fund, Inc. |
| Mar. 28, 2022 | Henry Bryant Lanier Sr. Esq. Phd., Lanier Family Trust |
| Mar. 15, 2022 | Mark Follo, Program Manager, Security Governance and Risk, Oscar Health |
| Mar. 14, 2022 | Curtis Higgins |
| Mar. 9, 2022 | Anonymous |
| Mar. 6, 2022 | Melissa MacGregor, Managing Director & Associate General Counsel, SIFMA, Lindsey Keljo, Acting Head & Associate General Counsel, SIFMA AMG, and Brian R. Anderson, Senior Vice President, Technology Regulation, BPI |
| Mar. 4, 2022 | Curtis Robinson |
| Mar. 3, 2022 | Jiøí Król, Deputy CEO, Global Head of Government Affairs, AIMA and Global Head of the ACC |
Feb. 26, 2022 | Yigal M. Rechtman, CPA PLLC, CPA, CFE, CITP, CISM |
| Feb. 21, 2022 | Andrew Affrunti |
| Feb. 21, 2022 | Adrian Day, RIA |
| Feb. 20, 2022 | Anonymous |
| Feb. 20, 2022 | Dan Pierce |
| Feb. 19, 2022 | Serkan Dogan |
| Feb. 19, 2022 | Chris |
| Feb. 19, 2022 | JJ C. |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Curtis Higgins |
| Feb. 19, 2022 | Lebel A. |
| Feb. 19, 2022 | Sam Oakes |
| Feb. 19, 2022 | BAV |
| Feb. 17, 2022 | Viola E. |
| Feb. 10, 2022 | Robert A. Fratkin, Investment Advisor |
| Feb. 10, 2022 | Kyle |
| Feb. 10, 2022 | Samuel Hudock |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 11, 2024 | Memorandum from the Office of Public Engagement regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors |
| Jun. 10, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 4, 2024 meeting with representatives and members of the Investment Adviser Association ("IAA") |
| Jun. 4, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors |
| Mar. 20, 2024 | Memorandum from the Division of Investment Management regarding a March 20, 2024 meeting with representatives of Cole-Frieman & Mallon |
| Feb. 23, 2024 | Memorandum from the Office of the Chair regarding a February 22, 2024 meeting with MFA |
| Aug. 22, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 1, 2023 meeting with representatives of Investment Adviser Association |
| Aug. 7, 2023 | Memorandum from the Office of the Investor Advocate regarding an August 3, 2023 virtual meeting with representatives of the Managed Funds Association |
| Aug. 7, 2023 | Memorandum from the Office of Public Engagement regarding a July 24, 2023 virtual meeting with National Association of Insurance Commissioners |
| Jul. 10, 2023 | Memorandum from the Division of Investment Management regarding a January 12, 2023, virtual meeting with representatives of the Investment Advisers Association (IAA) and Certain Investment Advisers |
| Jul. 10, 2023 | Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of the Capital Group |
| May 26, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a May 17, 2023 meeting with the Managed Funds Association |
| May 18, 2023 | Memorandum from the Office of Public Engagement regarding a May 12, 2023 meeting with the Managed Funds Association |
| Apr. 6, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 6, 2023 meeting with a representative of Value Bridge Advisors |
| Dec. 16, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 16, 2022 meeting representatives of the Investment Advisers Association |
| Dec. 14, 2022 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a December 13, 2022 meeting with representatives of the Managed Funds Association |
| Oct. 19, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 19, 2022 meeting with representatives of the Investment Advisers Association |
| Sep. 27, 2022 | Memorandum from the Division of Investment Management regarding a September 27, 2022 meeting with representatives of the Managed Funds Association |
| Aug. 22, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 22, 2022 meeting with representatives of Alpha Wealth Strategies, et al. |
| May 27, 2022 | Memorandum from the Division of Investment Management regarding a May 24, 2022, videoconference with representatives of the Investment Company Institute |
| Apr. 22, 2022 | Memorandum from the Division of Investment Management regarding an April 20, 2022 videoconference with representatives of Axio and Venn Strategies |
| Apr. 5, 2022 | Memorandum from the Division of Investment Management regarding a March 29, 2022 videoconference with representatives of the Alternative Investment Management Association |
| Apr. 4, 2022 | Memorandum from the Division of Investment Management regarding a March 31, 2022 videoconference with representatives of Stow Capital |
| Feb. 11, 2022 | Memorandum from the Office of the Chairman regarding a February 9, 2022 meeting with the Investment Adviser Association |
