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(Click here for meetings with SEC officials)
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| Jan. 16, 2023 | Kens Bane, Retail Investor |
| Jan. 2, 2023 | Sean Hunt |
| Nov. 4, 2022 | U.S. Senator Thom Tillis |
| Oct. 31, 2022 | Cullin Coyle |
| Oct. 6, 2022 | Erik Wittman, Deputy Head of Enforcement, Nasdaq, Inc. |
| Oct. 5, 2022 | Jim Toes, President, and Kate McAllister, Chair of Board, STA |
| Sep. 30, 2022 | Tom Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| Sep. 27, 2022 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc. |
| Sep. 27, 2022 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| Sep. 27, 2022 | Joanna Mallers, FIA Principal Traders Group |
| Sep. 27, 2022 | Stephen W. Hall, Legal Director and Securities Specialist, and Scott Farnin, Legal Counsel, Better Markets, Inc. |
| Sep. 27, 2022 | Angelo Evangelou, Chief Policy Officer, and Greg Hoogasian, Chief Regulatory Officer, Cboe Global Markets, Inc. |
| Sep. 27, 2022 | Eric Chern, Co-Founder, Chicago Trading Company |
| Sep. 27, 2022 | Akuna Securities LLC, Belvedere Trading, Chicago Trading Company, Volant Trading |
| Sep. 26, 2022 | Chasse R. Thomas |
| Sep. 26, 2022 | Tom Simpson, CEO, PEAK6 Capital Management LLC |
| Sep. 26, 2022 | John Kinahan, CEO, Group One Trading, LP |
| Sep. 3, 2022 | W. Hardy Callcott |
| Aug. 24, 2022 | Steve Givot |
| Aug. 19, 2022 | Anonymous |
| Aug. 17, 2022 | Stephen Medaris Bull |
| Aug. 16, 2022 | Kenneth Hill, Scientist |
| Aug. 12, 2022 | Cody Honeycutt |
| Aug. 12, 2022 | Jeffry Ford, Senior Investor |
| Aug. 12, 2022 | J. Ki, Physician |
| Aug. 12, 2022 | Dylan Crosby |
| Aug. 12, 2022 | Anthony R. |
| Aug. 12, 2022 | Alexander Warren |
| Aug. 12, 2022 | Joe Edwards |
| Aug. 12, 2022 | Sean Lin, Individual Investor |
| Aug. 12, 2022 | Carl Hoopingarner II, Director of Studies, Pathfinders |
| Aug. 12, 2022 | Michael Charles Brady, Public School Teacher |
| Aug. 12, 2022 | Joseph Crowe |
| Aug. 12, 2022 | Valentin Elsaesser, Field Forester, Pine County, MN |
| Aug. 5, 2022 | Jason Drips |
| Aug. 4, 2022 | Alexander MacCartney |
| Aug. 1, 2022 | Henry M. Phillip |
| Aug. 1, 2022 | Anonymous |
| Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Aug. 15, 2023 | Memorandum from the Office Of the Chair regarding a June 15, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group |
| Jul. 18, 2023 | Memorandum from the Division of Trading and Markets regarding a June 20, 2023 conference call with representatives of the Financial Industry Regulatory Authority, Inc. |
| Jul. 14, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company |
| Jun. 16, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company |
| Jun. 16, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 9, 2023 meeting with representatives of CBOE |
| Jun. 9, 2023 | Memorandum from the Division of Trading and Markets regarding an April 25, 2023, conference call with representatives of the Financial Industry Regulatory Authority, Inc. |
| Jun. 9, 2023 | Memorandum from the Division of Trading and Markets regarding an April 12, 2023, conference call with representatives of the Financial Industry Regulatory Authority, Inc. |
| May 16, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 16, 2023, meeting with representatives of Cboe Global Markets |
| Sep. 19, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 19, 2022 Videoconference with Representatives of BlackRock |
| Sep. 13, 2022 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 13, 2022 meeting with representatives of CBOE |
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(Click here for meetings with SEC officials)
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| Nov. 15, 2016 | Reps. Bill Foster and Randy Hultgren, Members of Congress |
| Sep. 23, 2016 | Joanne Moffic-Silver, Executive Vice President, General Counsel and Corporate Secretary, Chicago Board Options Exchange; Elizabeth K. King, Secretary and General Counsel, New York Stock Exchange; and Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX Group, Inc. |
| Jul. 13, 2016 | Eric Chern, Chief Executive Officer, CTC Trading Group, L.L.C., et al. |
| Sep. 15, 2015 | Elliot Grossman, Managing Director, Dinosaur Securities, LLC |
| Jun. 10, 2015 | Angelo Evangelou, Associate General Counsel, CBOE, Chicago, Illinois |
| Jun. 4, 2015 | Mark E. Gannon, Chief Compliance Officer, Lakeshore Securities, LP |
| Jun. 4, 2015 | Elizabeth K. King, Secretary and General Counsel, New York Stock Exchange, and Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX Group, Inc. |
| Jun. 2, 2015 | Marcia E. Asquith, Senior Vice President and Corporate Secretary, FINRA |
| Jun. 1, 2015 | Gregory F. Hold, CEO, Hold Brothers Capital LLC, New York, New York |
| Jun. 1, 2015 | Adam Nunes, Head of Business Development, Hudson River Trading LLC, New York, New York |
| Jun. 1, 2015 | Jay Coppoletta, Chief Legal Officer, PEAK6 Capital Management LLC |
| Jun. 1, 2015 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Jun. 1, 2015 | James Ongena, Senior Vice President and General Counsel, Chicago Stock Exchange, Chicago, Illinois |
| Jun. 1, 2015 | Mary Ann Burns, Chief Operating Officer, FIA Principal Traders Group, Washington, District of Columbia |
| Jun. 1, 2015 | Frank A. Bednarz, Global Co-Head of Trading, CTC Trading Group, L.L.C., Chicago, Illinois |
| May 29, 2015 | Mark Schepps, General Counsel and Senior Director of Compliance, PTR, Inc. |
| May 29, 2015 | Mark Schepps, General Counsel and Senior Director of Compliance, D & D Securities, Inc. |
| May 22, 2015 | Claudia Crowley, IEX Services LLC, New York, New York |
| May 20, 2015 | Chris Barnard, Germany |
| May 6, 2015 | Mary Ann Burns, COO, FIA, Washington, District of Columbia |
| Apr. 24, 2015 | Keith Miller |
| Apr. 16, 2015 | Keith Miller |
| Apr. 16, 2015 | Michelle Pav |
| Mar. 28, 2015 | Ryan W. Porter, Founder, High Amplitude Capital Trading (HatCap), Seattle, Washington |
| Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Jul. 18, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 18, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group |
| Jun. 16, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda
regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company |
| Jun. 15, 2023 | Memorandum from the Office of the Chair regarding a June 15, 2023 meeting with representatives of FINRA |
| May 20, 2016 | Memorandum from the Division of Trading and Markets regarding a May 18, 2016, meeting with representatives of NYSE/ICE, CBOE, Delta Strategy Group, Chicago Trading Company (CTC), NASDAQ, and Optiver |
| May 18, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a May 17, 2016, meeting with representatives of Chicago Trading Company |
| Mar. 16, 2016 | Memorandum from the Office of the Chair regarding a March 8, 2016, meeting with representatives of Optiver |
| Mar. 8, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a March 8, 2016, meeting with representatives of Delta Stategy Group |
| Feb. 10, 2016 | Memorandum from the Division of Trading and Markets regarding a February 3, 2016, meeting with representatives of Virtu Financial, LLC |
| Aug. 17, 2015 | Memorandum from the Division of Trading and Markets regarding an August 4, 2015, conference call with representatives of Susquehanna International Group, LLP |
| Aug. 7, 2015 | Memorandum from the Office of the Chair regarding an August 6, 2015, meeting with representatives of CTC Trading Group and Optiver |
| Jul. 27, 2015 | Memorandum from the Division of Trading and Markets regarding a July 27, 2015, meeting with representatives of Delta Strategy Group, CTC Trading Group, Optiver, Peak6 Investments, and Belvedere Trading |
| Jul. 27, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 27, 2015, meeting with representatives of Optiver Trading, Peak6 Trading, and Delta Strategy Group |
| Jul. 27, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a July 27, 2015, meeting with representatives of Optiver Trading, Peak6 Trading, and Delta Strategy Group |
| May 28, 2015 | Memorandum from the Division of Trading and Markets regarding a May 28, 2015, conference call with representatives of Delta Strategy Group |
| Apr. 8, 2015 | Memorandum from the Division of Trading and Markets regarding an April 7, 2015, conference call with representatives of Susquehanna International Group, LLP |
