(Click here for meetings with SEC officials)
(Click here for SEC Staff Studies and Reports)
|
| Dec. 21, 2018 | Eric I. Cohen, Senior Vice President, Secretary and General Couns, Terex Corporation |
| Dec. 19, 2018 | Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc. |
| Dec. 17, 2018 | Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc. |
| Dec. 14, 2018 | Patrick Healy, Founder and CEO, Issuer Network |
| Dec. 4, 2018 | J.W. Verret, Associate Professor of Law, George Mason University Scalia Law School |
| Dec. 3, 2018 | J. A. |
| Nov. 20, 2018 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Nov. 9, 2018 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Oct. 16, 2018 | Rich Steiner, Electronic Trading Strategist, RBC Capital Markets, LLC |
| Oct. 2, 2018 | Ira S. Lederman, Executive Vice President and Secretary, W.R. Berkley Corporation |
| Oct. 2, 2018 | Stacey Cunningham, President, New York Stock Exchange |
| Oct. 1, 2018 | Susan M. Olson, General Counsel, Investment Company Institute |
| Oct. 1, 2018 | Katya Malinova, Mackenzie Investments Chair in Evidence-Based Investment Management, DeGroote School of Business, McMaster University, et al. |
| Oct. 1, 2018 | Richard P. Grasso, Grasso Plumbing LLC |
| Sep. 28, 2018 | Chris Concannon, President and Chief Operating Officer, Cboe Global Markets, Inc. |
| Sep. 24, 2018 | John Ramsay, Chief Market Policy Officer, Investors Exchange LLC |
| Sep. 21, 2018 | Anonymous |
| Sep. 14, 2018 | Sandra E. O'Connor, Chief Regulatory Affairs Officer, JPMorgan Chase Co. |
| Sep. 13, 2018 | Recommendation of the SEC Investor Advisory Committee |
| Aug. 31, 2018 | Jeffrey S. Davis, Deputy General Counsel, Nasdaq, Inc. |
| Aug. 16, 2018 | Sal Arnuk and Joe Saluzzi, Partners, Co-Founders and Co-Heads of Equity Trading, Themis Trading LLC |
| Aug. 15, 2018 | Walter K. Compton, EVP and General Counsel, Murphy Oil Corporation |
| Aug. 15, 2018 | Fiona Reynolds, Chief Executive Officer, Principles for Responsible Investment |
| Aug. 8, 2018 | John Ramsay, Chief Market Policy Officer, Investors Exchange LLC |
| Aug. 3, 2018 | James J. Angel, McDonough School of Business, Georgetown University |
| Aug. 3, 2018 | Glenn E. Tynan, Vice President & Chief Financial Officer, Curtiss-Wright Corporation |
| Jul. 31, 2018 | Ruairidh Ross, Deputy General Counsel and Assistant Secretary, HP Inc. |
| Jul. 18, 2018 | R. Scott Mahoney, Senior Vice President, General Counsel & Secretary, Avangrid, Inc. |
| Jul. 17, 2018 | Patrick Healy, Founder and CEO, Issuer Network |
| Jul. 16, 2018 | John K. Lines, SVP/Secretary and General Counsel, National HealthCare Corporation |
| Jul. 13, 2018 | Ted Dosch, Executive Vice President, Finance and Chief Financial Officer, Anixter International Inc. |
| Jul. 11, 2018 | Maria Trainor, Vice President, General Counsel and Secretary, Ampco-Pittsburgh Corporation |
| Jun. 11, 2018 | James D. Rollins, Chairman and Chief Executive Officer, BancorpSouth Bank |
| Jul. 10, 2018 | Danny Mulson |
| Jul. 10, 2018 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Jul. 10, 2018 | Security Traders Association |
| Jul. 9, 2018 | R. Dale Lynch, Executive Vice President, Chief Financial Officer and Treasurer, Federal Agricultural Mortgage Corporation |
| Jul. 6, 2018 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Jul. 5, 2018 | Adam W. Miller, Chief Financial Officer and Treasurer, Knight-Swift Transportation Holdings Inc. |
| Jul. 3, 2018 | Jenny H. Parker, Senior Vice President, Finance, Secretary and Trea, Haverty Furniture Companies, Inc. |
| Jul. 3, 2018 | Mark J. Airola, Senior Vice President, General Counsel, Chief Administrative Officer and Corporate
Secretary, Newpark Resources, Inc. |
| Jul. 3, 2018 | John S. Fischer, General Counsel, Natural Grocers by Vitamin Cottage, Inc. |
| Jul. 2, 2018 | Jennifer D. Whalen, Senior Vice President, Chief Financial Officer, Era Group Inc. |
| Jul. 2, 2018 | David M. Weisberger, Head of Equities, ViableMkts |
| Jul. 2, 2018 | Christopher T. Weber, Executive Vice President, Chief Financial Officer, Halliburton |
| Jul. 2, 2018 | Eric P. Sills, Chief Executive Officer and President, Standard Motor Products, Inc. |
| Jun. 29, 2018 | Isabel Janci, Vice President, Investor Relations, The Home Depot |
| Jun. 29, 2018 | W. Stancil Starnes, Chairman, President and Chief Executive Officer, ProAssurance Corporation |
| Jun. 28, 2018 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Jun. 28, 2018 | Timothy W. Gordon, Executive Vice President and Chief Financial Officer, Energizer Holdings, Inc. |
| Jun. 27, 2018 | Michael J. Schewel, Vice President & General Counsel, Corporate Secreta, Tredegar Corporation |
| Jun. 27, 2018 | Nicholas C. Taylor, Chairman and CEO, Mexco Energy Corporation |
| Jun. 27, 2018 | John Ramsay, Chief Market Policy Officer, Investors Exchange LLC |
| Jun. 27, 2018 | Anonymous |
| Jun. 26, 2018 | Michael Sherman, Vice President, General Counsel, Genesis Healthcare, Inc. |
| Jun. 26, 2018 | Adam F. Wergeles, EVP/General Counsel, Leaf Group Ltd. |
| Jun. 26, 2018 | Haim Bodek, Managing Principal, Decimus Capital Markets, LLC |
| Jun. 26, 2018 | Jerry Fowden, Chief Executive Officer, Cott Corporation |
| Jun. 25, 2018 | Dean Shigemura, Vice Chairman and Chief Financial Officer, Bank of Hawaii Corporation |
| Jun. 25, 2018 | John Christofilos, Senior Vice-President & Chief Trading Officer, AGF Investments Inc. |
| Jun. 25, 2018 | John J. Manning, Vice President, General Counsel and Secretary, Sensient Technologies Corporation |
| Jun. 22, 2018 | Bryan H. Fairbanks, Chief Financial Officer, Trex Company |
| Jun. 22, 2018 | Richard L. Travis, Chief Financial Officer, Ennis, Inc. |
| Jun. 22, 2018 | Stephen C. Richter, Executive Vice President and CFO, Weingarten Realty |
| Jun. 22, 2018 | Anonymous |
| Jun. 22, 2018 | Michael R. Peterson, Corporate Secretary, Johnson Controls International plc |
| Jun. 22, 2018 | Mark H. Collin, Senior Vice President, Chief Financial Officer & Treasurer, Unitil Corporation |
| Jun. 22, 2018 | Eric D. Koster, General Counsel and Secretary, Ethan Allen Interiors, Inc. |
| Jun. 22, 2018 | Timothy P. Olson, Senior Corporate Counsel and Corporate Secretary, NorthWestern Energy |
| Jun. 22, 2018 | Geir Øivind Nygård, Chief Investment Officer Asset Strategies and Simon Emrich, Head of Market Structure Strategies; Norges Bank Investment Management |
| Jun. 22, 2018 | J.A. |
| Jun. 21, 2018 | Thomas R. Kubera, Chief Accounting Officer and Interim Chief Financial Officer, SIFCO Industries, Inc. |
| Jun. 21, 2018 | Neal V. Fenwick, Executive Vice President and Chief Financial Offic, ACCO Brands, Inc. |
| Jun. 21, 2018 | Mark Elliott, Chief Financial Officer, Level Brands, Inc. |
| Jun. 21, 2018 | Janet McGinness, Corporate Secretary, Mastercard, Inc. |
| Jun. 21, 2018 | John M. Freeman, Chief Legal Officer and Corporate Secretary, McDermott |
| Jun. 20, 2018 | Anonymous |
| Jun. 19, 2018 | Keith Neumeyer, President & CEO, First Majestic Silver Corp. |
| Jun. 15, 2018 | Larry Harris, Fred V. Keenan Chair in Finance, USC Marshall School of Business |
| Jun. 14, 2018 | William P. Neuberger and Andrew F. Silverman, Managing Directors, Global Co-Heads of Morgan Stanley Electronic Trading, Morgan Stanley & Co. LLC |
| Jun. 13, 2018 | Jon R. Moeller, Vice Chairman & Chief Financial Officer, The Procter & Gamble Company |
| Jun. 12, 2018 | Mehmet S. Kinak, Vice President, Global Head of Systematic Trading & Market Structure, and Jonathan Siegel, Vice President, Senior Legal Counsel (Legislative & Regulatory Affairs); T. Rowe Price |
| Jun. 12, 2018 | Jonathan A. Clark, Chief Executive Officer, and James C. Dolan, Chief Compliance Officer, Luminex Trading and Analytics LLC |
| Jun. 11, 2018 | J.W. Verret, Associate Professor, George Mason University Antonin Scalia Law School |
| Jun. 7, 2018 | Rajesh Sharma, Corporate Secretary, Apache Corporation |
| Jun. 7, 2018 | Danny Mulson |
| Jun. 4, 2018 | Victor Lin, Credit Suisse |
| Jun. 1, 2018 | Kimberly Unger, CEO & Executive Director, Security Traders Association of New York |
| May 31, 2018 | Alan Harris |
| May 31, 2018 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| May 31, 2018 | Mike Rask, Chairman of the Board, and James Toes, President & CEO; Security Traders Association (STA) |
| May 30, 2018 | John Ramsay, Chief Market Policy Officer, Investors Exchange LLC |
| May 30, 2018 | Matt D. Lyons, Global Equity Trading Manager, and Peter D. Stutsman, U.S. Regional Equity Trading Manager; The Capital Group Companies |
| May 25, 2018 | Chester S. Spatt, Chaired Professor of Finance, Carnegie Mellon University, and Visiting Chaired Professor of Finance, MIT |
| May 25, 2018 | Joseph Kinahan, Managing Director, Client Advocacy and Market Structure, TD Ameritrade, Inc. |
| May 25, 2018 | Edward S. Knight, Executive Vice President and Global Chief Legal Policy Officer, Nasdaq, Inc. |
| May 25, 2018 | James J. Angel, Associate Professor, Georgetown University |
| May 25, 2018 | Ray Ross, Chief Technology Officer, Clearpool Group |
| May 25, 2018 | Cynthia Jo Bessette, General Counsel, Executive Vice President, OFI Global Asset Management, Inc., et al. |
| May 25, 2018 | Edward T. Tilly, Chairman and CEO, Cboe Global Markets Inc. |
| May 25, 2018 | Michael Jacejko, Partner, Birch Bay Capital, LLC |
| May 25, 2018 | Kevin Duggan, Managing Director, Execution & Treasury, Capital Markets, Ontario Teachers’ Pension Plan, and Don W. Pontes, Investment Director, Financial Markets, Sustainable Investment, CalPERS |
| May 25, 2018 | Lisa Mahon Lynch, Director, Trading and Counterparty Services, Wellington Management Company LLP |
| May 25, 2018 | Tim Gately, Managing Director, Head of Americas Equities, Citigroup Global Markets Inc. |
| May 25, 2018 | Dennis Simmons, Executive Director, Committee on Investment of Employee Benefit Assets |
| May 25, 2018 | Timothy J. Coyne, Global Head of ETF Capital Markets, and Nathaniel N. Evarts, Head of Trading, Americas; State Street Global Advisors |
| May 25, 2018 | Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management |
| May 25, 2018 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| May 25, 2018 | Kevin Cronin, Global Head of Trading, Invesco Ltd. |
| May 25, 2018 | Stephen Berger, Managing Director, Government and Regulatory Policy, Citadel Securities |
| May 25, 2018 | Marc R. Bryant, Deputy General Counsel, Fidelity Investments |
| May 25, 2018 | Paul M. Russo, Managing Director, Goldman Sachs Co. LLC |
| May 25, 2018 | William H. Hebert, Managing Director, Financial Information Forum |
| May 25, 2018 | Joseph Brennan, Principal and Global Head of Equity Investment Group, Vanguard |
| May 25, 2018 | Jason Clague, Executive Vice President, Operational Services, Charles Schwab & Co., Inc. |
| May 24, 2018 | Rich Steiner, Electronic Trading Strategist, RBC Capital Markets |
| May 24, 2018 | Dennis M. Kelleher
President & CEO, et al., Better Markets, Inc. |
| May 24, 2018 | Linda M. Giordano, Co-Founder & CEO, and Jeffrey M. Alexander, Co-Founder & President; Babelfish Analytics, Inc. |
| May 24, 2018 | Patrick J. Healy, Founder and CEO, Issuer Network |
| May 24, 2018 | Theodore R. Lazo, Managing Director, Associate General Counsel, SIFMA |
| May 24, 2018 | Joanna Mallers, Secretary, FIA Principal Traders Group (PTG) |
| May 24, 2018 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| May 23, 2018 | Frank L. Jobert, Executive Director, Louisiana Trustee Education Council (LATEC) |
| May 23, 2018 | Hubert De Jesus, Global Head of Market Structure and Electronic Trading, and Joanne Medero, U.S. Head of Global Public Policy; BlackRock, Inc. |
| May 23, 2018 | Thomas K. Lee, Executive Director and CIO, et al., NYS Teachers' Retirement System |
| May 23, 2018 | Mary E. Keefe, Managing Director, Regulatory Affairs , Nuveen, LLC |
| May 23, 2018 | Susan M. Olson, General Counsel, Investment Company Institute |
| May 23, 2018 | Douglas A. Cifu, Chief Executive Officer, Virtu Financial Inc. |
| May 22, 2018 | Eric Swanson, CEO, XTX Markets LLC (Americas) |
| May 21, 2018 | Karl Polen, Chief Investment Officer, Arizona State Retirement System |
| May 18, 2018 | George Hessler, CEO, Magma Trading |
| May 18, 2018 | Anthony W. Godonis, Director of Trading, Copeland Capital Management, LLC |
| May 15, 2018 | Marc L. Lipson, Professor of Business Administration, University of Virginia |
| May 15, 2018 | Brent Robertson, Managing Director, Trading, and Robert Gouley, Principal, Trading, OMERS Administration Corporation |
| May 15, 2018 | Timothy J. Mahoney, Chief Executive Officer, BIDS Trading L.P. |
| May 15, 2018 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| May 14, 2018 | Chris Barnard |
| May 14, 2018 | David Mechner, Chief Executive Officer, Pragma Securities |
| May 14, 2018 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| May 10, 2018 | Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors |
| May 9, 2018 | Tim Quast, President and founder, ModernNetworks IR LLC |
| May 7, 2018 | Sean D. Paylor, Trader, AJO, L.P. |
| May 2, 2018 | Tim Quast, President, ModernNetworks IR LLC |
| May 1, 2018 | Institutional Equity Division, Morgan Stanley |
| Apr. 27, 2018 | Sal Arnuk and Joe Saluzzi, Partners, Co-Founders and Co-Heads of Equity Trading, Themis Trading LLC |
| Apr. 10, 2018 | Brent
Woods, Chief Executive Officer, and Joseph Scafidi, Director of Trading, Brandes Investment Partners, L.P. |
| Apr. 9, 2018 | Adam D. Clark-Joseph, Assistant Professor of Finance, University of Illinois at Urbana-Champaign |
| Apr. 6, 2018 | O. Mason Hawkins, Chairman & CEO, et al., Southeastern Asset Management, Inc. |
| Mar. 26, 2018 | Peter Swan, Professor of Finance, University of New South Wales, Australia, et al. |
| Mar. 15, 2018 | David Adorney, C & C Trading, LLC |
SEC Staff Studies and Reports
(Click here for submitted comments from the public) |
| Nov. 9, 2018 |
Division of Economic and Risk Analysis White Paper: Does the Tick Size Affect Stock Prices? Evidence from the Tick Size Pilot Announcement of the Test Groups and the Control Group |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Sep. 25, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 12, 2019, meeting with representatives of RBC |
| Aug. 9, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 6, 2019, meeting with representatives of IEX |
| Dec. 18, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 18, 2018, meeting with representatives of Nasdaq |
| Dec. 18, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 18, 2018, meeting with representatives of Nasdaq |
| Dec. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 13, 2018, meeting with representatives of the New York Stock Exchange |
| Dec. 13, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 30, 2018, meeting with Royal Bank of Canada, et al. |
| Dec. 11, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 11, 2018, meeting with representatives of Cboe Global Markets |
| Dec. 6, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 6, 2018, meeting with representatives of TD Ameritrade |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 19, 2018, meeting with representatives of Cboe Global Markets |
| Nov. 29, 2018 | Memorandum from the Division of Trading and Markets regarding a November 19, 2018, meeting with representatives of the American Securities Association |
| Nov. 28, 2018 | Memorandum from the Division of Trading and Markets regarding a November 28, 2018, meeting with representatives of Nasdaq |
| Nov. 28, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 28, 2018, meeting with representatives of New York Stock Exchange |
| Nov. 28, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 28, 2018, meeting with representatives of RBC Capital Markets |
| Nov. 5, 2018 | Memorandum from the Office of the Chairman regarding a November 5, 2018, meeting with representatives of Nasdaq |
| Oct. 31, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 30, 2018, meeting with representatives of Royal Bank of Canada, et al. |
| Oct. 30, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 30, 2018, meeting with representatives of RBC and others |
| Oct. 30, 2018 | Memorandum from the Division of Trading and Markets regarding an October 30, 2018, meeting with representatives of Royal Bank of Canada and buy-side representatives |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 27, 2018, meeting with a representative of the American Securities Association |
| Oct. 17, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an October 15, 2018, meeting with representatives of Morgan Stanley |
| Oct. 16, 2018 | Memorandum from the Office of the Chairman regarding an October 16, 2018, meeting with representatives of NYSE |
| Oct. 16, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 16, 2018, meeting with representatives of the American Securities Association |
| Oct. 16, 2018 | Memorandum from the Division of Trading and Markets regarding an October 16, 2018, meeting with representatives of NYSE |
| Oct. 12, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an October 4, 2018, meeting with representatives of Fidelity Investments |
| Oct. 12, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 26, 2018, meeting with representatives of Healthy Markets Association |
| Oct. 10, 2018 | Memorandum from the Division of Trading and Markets regarding an October 10, 2018, meeting with representatives of CACI |
| Oct. 4, 2018 | Memorandum from the Division of Trading and Markets regarding an October 4, 2018, meeting with a representative of Select Vantage Inc. |
| Oct. 3, 2018 | Memorandum from the Division of Trading and Markets regarding an October 3, 2018, meeting with representatives of SIFMA and member firms |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 3, 2018, meeting with representatives of CBOE Global Markets |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 3, 2018, meeting with representatives of FIA Principal Traders Group |
| Oct. 3, 2018 | Memorandum from the Office of the Chairman regarding a September 26, 2018, meeting with representatives of State Street Global Advisors |
| Oct. 3, 2018 | Memorandum from the Office of the Chairman regarding an October 3, 2018, meeting with representatives of Cboe Global Markets, Inc. |
| Oct. 2, 2018 | Memorandum from the Division of Trading and Markets regarding an October 2, 2018, meeting with representatives of TD Ameritrade |
| Oct. 2, 2018 | Memorandum from the Division of Trading and Markets regarding an October 2, 2018, meeting with representatives and members of TraderForum |
| Sep. 27, 2018 | Memorandum from the Office of Commissioner Elad Roisman regarding a September 26, 2018, meeting with representatives of State Street Financial Services Inc. |
| Sep. 21, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 5, 2018, meeting with representatives of Healthy Markets |
| Sept. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a September 14, 2018, call with representatives of Citadel Securities |
| Aug. 30, 2018 | Memorandum from the Division of Trading and Markets regarding an August 30, 2018, meeting with representatives of Cboe Global Markets |
| Aug. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 6, 2018, meeting with representatives of IEX |
| Aug. 14, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 14, 2018, discussion with representatives of IEX |
| Aug. 9, 2018 | Memorandum from the Division of Trading and Markets regarding a August 9, 2018, meeting with representatives of the Issuer Network |
| Aug. 9, 2018 | Memorandum from the Office of Commissioner Kara Stein regarding a August 6, 2018, meeting with representatives of IEX |
| Aug. 7, 2018 | Memorandum from the Division of Trading and Markets regarding an August 7, 2018, meeting with representatives of the Investment Company Institute |
| Jul. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of Fidelity |
| Jul. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2018, meeting with representatives of NASDAQ |
| Jul. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 2, 2018, meeting with Chester Spatt, Visiting Professor at the MIT Sloan School |
| Jul. 23, 2018 | Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of Fidelity Investments |
| Jul. 9, 2018 | Memorandum from the Division of Trading and Markets regarding a July 9, 2018, meeting with representatives of Citadel Securities |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 28, 2018, meeting with representatives of TD Ameritrade |
| Jun. 28, 2018 | Memorandum from the Division of Trading and Markets regarding a June 28, 2018, meeting with representatives of the Security Traders Association |
| Jun. 19, 2018 | Memorandum from the Division of Trading and Markets regarding a June 19, 2018, meeting with representatives of Investment Company Institute and Asset Management Representatives |
| Jun. 5, 2018 | Memorandum from the Division of Trading and Markets regarding a June 5, 2018, meeting with representatives of Rosenblatt Securities and Asset Management Representatives |
| May 23, 2018 | Memorandum from the Division of Trading and Markets regarding a May 23, 2018, meeting with representatives of JPMorgan Chase & Co. |
| May 23, 2018 | Memorandum from the Division of Trading and Markets regarding a May 23, 2018, meeting with representatives of T. Rowe Price and Glenmede |
| May 22, 2018 | Memorandum from the Office of Commissioner Kara Stein regarding a May 1, 2018, meeting with reqpresentatives of Morgan Stanley |
| May 14, 2018 | Memorandum from the Division of Trading and Markets regarding a May 14, 2018, meeting with reqpresentatives of IEX |
| May 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 10, 2018, meeting with representatives of various buy-side firms |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding a May 10, 2018, meeting with representatives of Royal Bank of Canada and Buy-Side Representatives |
| May 1, 2018 | Memorandum from the Division of Trading and Markets regarding a May 1, 2018, meeting with representatives of Morgan Stanley |
| Apr. 3, 2018 | Memorandum from the Division of Trading and Markets regarding an April 3, 2018, conference call with representatives of State Street Global Advisors |
| Mar. 28, 2018 | Memorandum from the Division of Trading and Markets regarding a March 28, 2018, meeting with representatives of Vanguard |
| Mar. 27, 2018 | Memorandum from the Division of Trading and Markets regarding a March 27, 2018, meeting with representatives of TD Ameritrade |
| Mar. 22, 2018 | Memorandum from the Division of Trading and Markets regarding a March 22, 2018, meeting with representatives of RBC Capital Markets |
| Mar. 19, 2018 | Memorandum from the Division of Trading and Markets regarding a March 19, 2018, meeting with representatives of State Street Global Advisors |
