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Comments on Proposed Rule: Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule; References to Credit Ratings in Certain Investment Company Act Rules and Forms
[Release Nos. IC-31184, 33-9193, IC-29592; File No. S7-07-11]
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(Click here for meetings with SEC officials)
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| Oct. 14, 2014 | James Allen, CFA, Head, Capital Markets Policy, CFA Institute and Matt Orsagh, CFA, Director, Capital Markets Policy, CFA Institute |
| Oct. 14, 2014 | Kathryn L. Quirk, Chair, Committee on Investment Management Regulation of the New York City Bar |
| Oct. 14, 2014 | Timothy W. Cameron, Managing Director, SIFMA Asset Management Group - Head and John Maurello, Managing Director, SIFMA Private Client Group |
| Oct. 14, 2014 | LuAnn S. Katz, Head of Global Liquidity, Invesco Ltd. |
| Oct. 14, 2014 | J. Charles Cardona, President, Dreyfus Corporation |
| Oct. 14, 2014 | Dennis M. Kelleher, President & CEO, Better Markets, Inc.; Stephen W. Hall, Securities Specialist, Better Markets, Inc.; and Todd Phillips, Attorney (Bar Application Pending), Better Markets, Inc. |
| Oct. 14, 2014 | Dorothy Donohue, Deputy General Counsel - Securities Regulation, Investment Company lnstitute |
| Oct. 14, 2014 | Gregory Davis, Global Head of Fixed Income, Vanguard |
| Oct. 14, 2014 | Barbara G. Novick, Vice Chairman and Richard K. Hoerner, CFA, Managing Director, Co-Head of Global Cash Management, BlackRock, Inc. |
| Oct. 14, 2014 | Scott C. Goebel, Senior Vice President, General Counsel, Fidelity Investments |
| Oct. 14, 2014 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Oct. 14, 2014 | Richard Johns, Structured Finance Industry Group |
| Oct. 14, 2014 | David J. Lekich, Senior Vice President and Chief Counsel, Charles Schwab Investment Management, Inc. |
| Oct. 7, 2014 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Sep. 14, 2014 | David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum |
| Aug. 23, 2014 | Chris Barnard, Germany |
| Aug. 19, 2014 | Carrie Devorah |
| Jul. 28, 2014 | Michael Mark-Berger, Nursing Home Analyst, Chicago, Illinois |
| Oct. 4, 2013 | Rep. Sean P. Duffy, Member of Congress |
| Jul. 13, 2011 | Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute |
| Apr. 29, 2011 | Kenneth J. Berman, Chairman, Committee on Investment Management Regulation, The Association of the Bar of the City of New York, New York City, New York |
| Apr. 28, 2011 | Scott Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Company |
| Apr. 26, 2011 | Gus Sauter, Managing Director and Chief Investment Officer, Vanguard, Valley Forge, Pennsylvania |
| Apr. 25, 2011 | Americans for Financial Reform |
| Apr. 25, 2011 | David J. Lekich, Vice President and Acting Chief Counsel, Charles Schwab Investment Management, Inc., San Francisco, California |
| Apr. 25, 2011 | J. Charles Cardona, President, The Dreyfus Corporation |
| Apr. 25, 2011 | Barbara Roper, Director of Investor Protection, Consumer Federation of America |
| Apr. 25, 2011 | Deborah A. Cunningham, CFA, Executive Vice President, Chief Investment Officer, Money Markets, Federated Investors, Inc. |
| Apr. 25, 2011 | Simon Mendelson, Managing Director and Richard Hoerner, Managing Director, BlackRock, Inc. |
| Apr. 25, 2011 | Gerald McEntee, President, American Federation of State, County and Municipal Employees, AFL-CIO |
| Apr. 25, 2011 | Lyman Missimer, Head of Global Cash Management, Invesco Advisers, Inc. |
| Apr. 25, 2011 | David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum |
| Apr. 25, 2011 | Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc. |
| Apr. 25, 2011 | Karrie McMillan, General Counsel, Investment Company Institute |
| Apr. 25, 2011 | Dorothy A. Berry, Chair, Governing Council, Independent Directors Council |
| Apr. 25, 2011 | David Oestreicher, Chief Legal Counsel; Joseph K. Lynagh Vice President and Portfolio Manager; Darrell N. Braman, Managing Counsel; Fran Pollack-Matz, Senior Legal Counsel; T. Rowe Price Associates, Inc., Baltimore, Maryland |
| Apr. 25, 2011 | William M. Tartikoff, Senior Vice President and General Counsel, and Lancelot A. King, Assistant Vice President and Associate General Counsel, Calvert Investments, Bethesda, Maryland |
| Apr. 25, 2011 | David Messman, Secretary and Chief Legal Officer, Wells Fargo Funds Management, LLC, San Francisco, California |
| Apr. 25, 2011 | Ivona R. McCrary, CPA, Burt & Company CPAs, LLC |
| Apr. 21, 2011 | Gregory W. Smith, Chief Operating Officer/General Counsel, and Jennifer Paquette, Chief Investment Officer, Colorado Public Employees' Retirement Association |
| Apr. 18, 2011 | Timothy W. Cameron, Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Mar. 10, 2011 | Vince Schumacher |
| Mar. 10, 2011 | Chris Barnard, Germany |
| Oct. 12, 2010 | Mark Zingale, Senior Vice President & Associate General Counsel, The Clearing House Association L.L.C. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 9, 2014 | Memorandum from the Division of Investment Management regarding an October 8, 2014, meeting with representatives of Fidelity |
http://www.sec.gov/comments/s7-07-11/s70711.shtml
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