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(Click here for meetings with SEC officials; Click here for transcripts from Investor Roundtables)
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Comments have been received from individuals and entities using the following Letter Type
A: 9
B: 101
C: 11
D: 90
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| |
| May 28, 2019 | Sharon Cheever, Senior Vice President and General Counsel, Pacific Life Insurance Company |
| May 16, 2019 | Kurt N. Schacht, CFA, Managing Director, and Linda L. Ritterhouse, Director, Capital Markets, CFA Institute Advocacy |
| May 16, 2019 | Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce |
| Apr. 25, 2019 | Michael Pieciak, President, North American Securities Administrators Association |
| Mar. 29, 2019 | Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA |
| Mar. 17, 2019 | Fors Anderson |
| Feb. 26, 2019 | Christopher Gilkerson, Senior Vice President and General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab & Co. Inc. |
| Feb. 23, 2019 | Gilberto Velazquez |
| Feb. 15, 2019 | Pamela Banks, Senior Policy Counsel, Consumer Reports |
| Dec. 18, 2018 | Michelle B. Oroschakoff, Chief Legal Officer, LPL Financial LLC |
| Dec. 14, 2018 | Mark F. Halloran, VP Managing Director, Business Development, Transamerica |
| Dec. 13, 2018 | Ken Fisher, Executive Chairman, Fisher Investments |
| Dec. 7, 2018 | Christopher Gilkerson, Senior Vice President and General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab & Co. Inc. |
| Dec. 7, 2018 | Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Dec. 7, 2018 | Jon Stein, Founder and CEO, et al., Betterment LLC |
| Dec. 7, 2018 | AFL-CIO, et al. |
| Dec. 6, 2018 | Knut A. Rostad, President, Institute for the Fiduciary Standard |
| Dec. 7, 2018 | AARP and the Certified Financial Planner Board of Standards, Inc. |
| Dec. 7, 2018 | Christine Lazaro, President, Public Investors Arbitration Bar Association (PIABA) |
| Dec. 7, 2018 | Robin Traxler, Senior Vice President, Policy Deputy General Couns, Financial Services Institute |
| Dec. 6, 2018 | Ron A. Rhoades, Assistant Professor, Finance, Western Kentucky University |
| Dec. 4, 2018 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Dec. 3, 2018 | Duane Lee |
| Nov. 19, 2018 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Nov. 13, 2018 | Will H. Fuller, Executive Vice President, President, Annuity Solutions, Lincoln Financial Group |
| Nov. 9, 2018 | Mark F. Halloran, VP Managing Director, Business Development, Transamerica |
| Nov. 9, 2018 | Robert E. Frankel, Investments Wealth Institute |
| Nov. 7, 2018 | RAND Corporation |
| Nov. 5, 2018 | Brian H. Graff, Chief Executive Officer, American Retirement Association |
| Nov. 5, 2018 | Star Identifier |
| Oct. 24, 2018 | Dennis Kelleher, President and CEO, et al., Better Markets, Inc. |
| Oct. 19, 2018 | Pamela Banks, Senior Policy Counsel, Consumers Union |
| Oct. 12, 2018 | RAND Corporation and the SEC's Office of the Investor Advocate |
| Oct. 9, 2018 | Robert E. Frankel, General Counsel, lnvestments & Wealth lnstitute, f/k/a the lnvestment Management Consultants Association |
| Sep. 27, 2018 | Anonymous |
| Sep. 13, 2018 | Michael Corley |
| Sep. 12, 2018 | C. Frederick Reish |
| Sep. 12, 2018 | Maxine Waters, Ranking Member, Committee on Financial Services, U.S. House of Representatives, et al. |
| Sep. 11, 2018 | AARP, Consumer Federation of America, and Financial Planning Coalition |
| Sep. 10, 2018 | Cyril Anouar Streit |
| Sep. 10, 2018 | Diana Shore Joslin |
| Sep. 9, 2018 | Michelle Keating |
| Sep. 5, 2018 | Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Aug. 23, 2018 | Joseph P. Borg, President, North American Securities Administrators Association (NASAA) |
| Aug. 22, 2018 | Robert Mennella |
| Aug. 14, 2018 | Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP |
| Aug. 10, 2018 | Bob Growhowski, Senior Legal Counsel, and Jon Siegal, Senior Legal Counsel, T. Rowe Price |
| Aug. 8, 2018 | Ann Wagner, Member of Congress, et al. |
| Aug. 7, 2018 | Michelle Gass, Paradigm Advisors LLC |
| Aug. 7, 2018 | Ronald J. Kruszewski, Chairman and Chief Executive Officer, Stifel Financial |
| Aug. 7, 2018 | Thomas Roberts, Groom Law Group |
| Aug. 7, 2018 | Donald W. Nicholson, President, Donald W. Nicholson & Associates, Ltd. |
| Aug. 7, 2018 | Marc Cadin, Chief Operating Officer, Association of Advanced Life Underwriting |
| Aug. 7, 2018 | David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company |
| Aug. 7, 2018 | Chris Lewis, General Counsel, Edward D. Jones and Co., L.P. |
| Aug. 7, 2018 | Arthur B. Laby, Professor of Law, Rutgers University Law School |
| Aug. 7, 2018 | Seth A. Miller, General Counsel, Senior Vice President, Chief Risk Officer, Cambridge Investment Research, Inc. |
| Aug. 7, 2018 | Robert J. Moore, Chief Executive Officer, Cetera Financial Group |
| Aug. 7, 2018 | Julie Jason, Jackson, Grant Investment Advisers, Inc. |
| Aug. 7, 2018 | Rob Foregger, Co-Founder, NextCapital |
| Aug. 7, 2018 | Brian Hamburger, MarketCounsel |
| Aug. 7, 2018 | John E. Deitelbaum, Senior Vice President and Deputy General Counsel, Massachusetts Mutual Life Insurance Company |
| Aug. 7, 2018 | Bret C. Duffy, Senior Managing Director, Teachers Insurance and Annuity Association of America (TIAA) |
| Aug. 7, 2018 | Monique Morrissey, Economist, and Heidi Shierholz, Senior Economist and Director of Policy, Economic Policy Institute |
| Aug. 7, 2018 | Ram Subramaniam, Head of Brokerage and Investment Solutions, Fidelity Investments, and David Forman, Chief Legal Officer, Fidelity Brokerage Services LLC |
| Aug. 7, 2018 | Sheila Kearney Davidson, Executive Vice President, Chief Legal Officer & General Counsel, New York Life Insurance Company |
| Aug. 7, 2018 | Dave Paulsen, Executive Vice President, Transamerica |
| Aug. 7, 2018 | Jason Bortz, Senior Counsel, Capital Research and Management Company |
| Aug. 7, 2018 | Kenneth E. Bentsen, Jr., President and CEO, SIFMA |
| Aug. 7, 2018 | Jason Mulvihill, General Counsel, American Investment Council |
| Aug. 7, 2018 | Kevin Keller, Chief Executive Officer, CFP Board, Financial Planning Coalition |
| Aug. 7, 2018 | Clifford Kirsch and Susan Krawczyk, Eversheds Sutherland (US) LLP, on behalf of Committee of Annuity Insurers |
| Aug. 7, 2018 | Cynthia Lo Bessette, EVP and General Counsel, OppenheimerFunds |
| Aug. 7, 2018 | George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section |
| Aug. 7, 2018 | Lexie Pankratz, Owner, Trailhead Consulting, LLC |
| Aug. 7, 2018 | Catherine J. Weatherford, President & CEO, Insured Retirement Institute |
| Aug. 7, 2018 | Michelle Bryan Oroschakoff, Chief Legal Officer, LPL Financial LLC |
| Aug. 7, 2018 | Craig D. Pfeiffer, President and CEO, Money Management Institute |
| Aug. 7, 2018 | Raymond J. Manista, Executive Vice President, Northwestern Mutual Life Insurance Company |
| Aug. 7, 2018 | Justin Smith, SVP and Deputy General Counsel, Retirement and In, Voya Financial, Inc. |
| Aug. 7, 2018 | Kayla Martin, Legal Intern, and Christine Lazaro, Director and Professor of Clinical Legal Education; Securities Arbitration Clinic, St. John's University School of Law |
| Aug. 7, 2018 | Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jiří Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Aug. 7, 2018 | Lisa D. Crossley, Executive Director, The National Society of Compliance Professionals |
| Aug. 7, 2018 | Ann M. Kappler, Senior Vice President, Deputy General Counsel, Prudential Financial, Inc. |
| Aug. 7, 2018 | Joseph M. Torsella, Pennsylvania State Treasurer |
| Aug. 7, 2018 | Jon Stein, Founder and CEO, et al., Betterment LLC |
| Aug. 7, 2018 | Chris Remedios |
| Aug. 7, 2018 | Anthony Chereso, President & CEO, Institute for Portfolio Alternatives |
| Aug. 7, 2018 | Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA |
| Aug. 7, 2018 | Charles Ryan |
| Aug. 7, 2018 | George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section |
| Aug. 7, 2018 | Nora M. Everett, President, Retirement and Income Solutions, Principal Financial Group |
| Aug. 7, 2018 | Rob Foregger, Co-Founder, NextCapital |
| Aug. 7, 2018 | Robin C. Swope, Director, Global Product Governance & Support, Invesco Advisers, Inc. |
| Aug. 7, 2018 | Joseph Borg, President, North American Securities Administrators Association, Inc. (NASAA) |
| Aug. 7, 2018 | Eric E. Haas, Member, Altruist Financial Advisors LLC |
| Aug. 7, 2018 | Dennis Kelleher, President & CEO, et al., Better Markets, Inc. |
| Aug. 7, 2018 | Tom Clarke, Managing Director, and Sean Murphy, Vice President, BlackRock, Inc. |
| Aug. 7, 2018 | Anne Tennant, Managing Director and General Counsel, Morgan Stanley Smith Barney LLC |
| Aug. 7, 2018 | David Certner, Legislative Counsel and Legislative Policy Directo, AARP |
| Aug. 7, 2018 | Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA |
| Aug. 7, 2018 | Janice Daunheimer |
| Aug. 7, 2018 | John Neil Conkle, Student, Pepperdine School of Law |
| Aug. 7, 2018 | Ashley O'Kurley, Financial Planner |
| Aug. 7, 2018 | Mark Heckert, Vice President, Pricing and Analytics, ICE Data Services |
| Aug. 7, 2018 | Elizabeth Warren, U.S. Senator |
| Aug. 7, 2018 | Tim Rouse, Executive Director, SPARK Institute, Inc. |
| Aug. 7, 2018 | Tom P. Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Aug. 7, 2018 | Charles Ryan, Atlantic Financial Planning |
| Aug. 7, 2018 | Elliot Ganz, General Counsel, The Loan Syndications and Trading Association |
| Aug. 7, 2018 | Royce A. Charney, J.D., President, Trust Administrators, Inc. |
| Aug. 7, 2018 | Paul Schott Stevens, President and CEO, Investment Company Institute |
| Aug. 7, 2018 | Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network |
| Aug. 7, 2018 | Jon Stein, Founder and CEO, et al., Betterment LLC |
| Aug. 7, 2018 | Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy |
| Aug. 7, 2018 | Mortimer J. Buckley, President and Chief Executive Officer, The Vanguard Group, Inc. |
| Aug. 7, 2018 | Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc. |
| Aug. 7, 2018 | Robert D. Oros, Chief Executive Officer, HD Vest Financial Services |
| Aug. 7, 2018 | R. Scott Henderson, Bank of America |
| Aug. 7, 2018 | Gregory B. McShea, Janney Montgomery Scott LLC |
| Aug. 7, 2018 | David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute |
| Aug. 7, 2018 | Michael F. Anderson, Senior Vice President, Chief Legal Officer, CUNA Mutual Group |
| Aug. 7, 2018 | Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Aug. 7, 2018 | Robert Reynolds, President and CEO, Putnam Investments |
| Aug. 7, 2018 | Paul C. Reilly, Chairman and CEO, Raymond James Financial |
| Aug. 7, 2018 | Phoebe A. Papageorgiou, Vice President, Trust Policy, American Bankers Association |
| Aug. 7, 2018 | R. Keith Overly, President, National Association of Government Defined Contribution Administrators (NAGDCA) |
| Aug. 7, 2018 | Michael Palumbo |
| Aug. 7, 2018 | Brooke Salvini |
| Aug. 7, 2018 | Jennifer Lazarus, Lazarus Financial Planning, LLC |
| Aug. 7, 2018 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Aug. 7, 2018 | James Milne, Milne Financial Planning |
| Aug. 7, 2018 | Brian Jones, NextGen Financial Advice |
| Aug. 7, 2018 | Aron Szapiro, Director of Policy Research, Morningstar, Inc. |
| Aug. 7, 2018 | Jennifer B. Harper |
| Aug. 7, 2018 | William F. Galvin, Secretary of the Commonwealth of Massachusetts |
| Aug. 7, 2018 | Jason Chandler, Group Managing Director, Co-head Investment Platforms and Solutions, UBS Global Wealth Management, and Michael Crowl, Group Managing Director, General Counsel, UBS Group Americas |
| Aug. 6, 2018 | Steve McManus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company |
| Aug. 6, 2018 | Anonymous |
| Aug. 6, 2018 | Lois Basil, Basil Financial Group |
| Aug. 6, 2018 | Hannah Basil Bryant, Basil Financial Group |
| Aug. 6, 2018 | Elise Sanguinetti, President, American Association for Justice |
| Aug. 6, 2018 | Christopher Jones, Chief Investment Officer, Financial Engines |
| Aug. 6, 2018 | Jennipher Lommen |
| Aug. 6, 2018 | Joe Smith |
| Aug. 6, 2018 | Leisa Aiken |
| Aug. 6, 2018 | Craig S. Tyle, Executive Vice President and General Counsel, Franklin Resources, Inc. |
| Aug. 6, 2018 | Wade S. Wilkinson, President, CEO, Securities Service Network, LLC |
| Aug. 6, 2018 | Karen L. Barr, President and CEO, Investment Adviser Association |
| Aug. 6, 2018 | Sylva Baker |
| Aug. 6, 2018 | John Robinson |
| Aug. 6, 2018 | Knut A. Rostad, President, Institute for the Fiduciary Standard |
| Aug. 6, 2018 | Paula H. Hogan |
| Aug. 6, 2018 | Dan Moisand |
| Aug. 6, 2018 | Anonymous |
| Aug. 6, 2018 | Sean R. Walters, Executive Director and Chief Executive Officer, Investments Wealth Institute |
| Aug. 6, 2018 | Christopher Gilkerson, Senior Vice President and General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab Co. Inc |
| Aug. 6, 2018 | Robert K. Shaw, President, Individual Markets, Great-West Financial |
| Aug. 6, 2018 | Ben Brown, Founder & CEO, Entelechy |
| Aug. 6, 2018 | Douglas M. Ommen, Iowa Insurance Commissioner |
| Aug. 5, 2018 | Deborah Meyer |
| Aug. 4, 2018 | Leo Asen |
| Aug. 3, 2018 | Scott H. Rothstein, Executive Vice President, Deputy General Counsel, Mutual of America Life Insurance Company |
| Aug. 3, 2018 | Julie Mix McPeak, President, et al., National Association of Insurance Commissioners |
| Aug. 3, 2018 | Emanuel Alves, Senior Vice President & General Counsel, John Hancock Life Insurance Company (U.S.A) |
| Aug. 3, 2018 | Brian H. Graff, Esq., Executive Director/CEO, et al., American Retirement Association |
| Aug. 3, 2018 | Robert Lindstrom |
| Aug. 3, 2018 | David Leifer, Vice President & Associate General Counsel, American Council of Life Insurers |
| Aug. 2, 2018 | Keith Gillies, President, National Association of Insurance and Financial Advisors |
| Aug. 2, 2018 | Michael Kitces, Co-Founder, XY Planning Network |
| Aug. 2, 2018 | Teresa J. Verges, Director, Investor Rights Clinic, University of Miami School of Law |
| Aug. 2, 2018 | Edmund F. Murphy, President, Empower Retirement |
| Aug. 1, 2018 | Chester Hawkins |
| Aug. 1, 2018 | Kevin Mahoney, Founder and CEO, Illumint |
| Aug. 1, 2018 | Anandi Krishnamurthy |
| Aug. 1, 2018 | Alexander B. Yeager, Certified Financial Planner |
| Aug. 1, 2018 | Kevin Mahoney, Founder and CEO, Illumint |
| Aug. 1, 2018 | Michael Pace |
| Jul. 31, 2018 | Daniel Wrenne |
| Jul. 31, 2018 | Scott Ela |
| Jul. 31, 2018 | Marge Schiller |
| Jul. 31, 2018 | Ken Fisher, Executive Chairman, Fisher Investments |
| Jul. 31, 2018 | Paul Hynes |
| Jul. 31, 2018 | Marge Schiller |
| Jul. 31, 2018 | Lou Day |
| Jul. 31, 2018 | Spencer Stephens |
| Jul. 31, 2018 | Joe Matelich |
| Jul. 31, 2018 | PJ Wallin |
| Jul. 31, 2018 | Amy Irvine, Irvine Wealth Planning Strategies, LLC |
| Jul. 31, 2018 | Arlene Moss |
| Jul. 31, 2018 | Kyle Mast, Certified Financial Planner, Owner or Clarity Financial LLC |
| Jul. 31, 2018 | Drew Tignanelli |
| Jul. 31, 2018 | Cory Nichols |
| Jul. 30, 2018 | Anonymous |
| Jul. 30, 2018 | Anonymous |
| Jul. 30, 2018 | Anonymous |
| Jul. 30, 2018 | Anonymous |
| Jul. 30, 2018 | Anonymous |
| Jul. 30, 2018 | Anonymous |
| Jul. 30, 2018 | Katherine Philipp |
| Jul. 30, 2018 | John Cooney, Green and Gold Financial Planning, LLC |
| Jul. 30, 2018 | L. A. Schnase, Individual Investor and Attorney at Law |
| Jul. 30, 2018 | Roger Bair |
| Jul. 30, 2018 | Paul Calderon |
| Jul. 30, 2018 | Gerald Lopatin, CFP, EA, CA licensed Investment Advisor, CFP Professional |
| Jul. 29, 2018 | Bob Rall |
| Jul. 29, 2018 | Linda Baumbusch |
| Jul. 28, 2018 | Derieck Hodges |
| Jul. 27, 2018 | Jeffrey Heard |
| Jul. 27, 2018 | Kevin J. Miller, Executive Vice President & General Counsel, Securities America, Inc. |
| Jul. 27, 2018 | Glen Strong |
| Jul. 27, 2018 | Eric S. Westberg, Chairman & CEO, KMS Financial Services, Inc. |
| Jul. 26, 2018 | Rep. David N. Cicilline, Member of Congress, et al. |
| Jul. 26, 2018 | Doug Baxley, Vice President, Fiduciary and Retirement Services, Ladenburg Thalmann Financial Services Inc. |
| Jul. 26, 2018 | Patrick Farrell, President and Chief Executive Officer, Investacorp, Inc. |
| Jul. 26, 2018 | Jeffrey L. Rosenthal, President and CEO, Triad Advisors, LLC |
| Jul. 26, 2018 | Michael Harris, Blue Rock Financial Services, Inc. |
| Jul. 26, 2018 | Laura Mattia |
| Jul. 26, 2018 | Tom Rogers, Portland Financial Planning Group, LLC |
| Jul. 25, 2018 | Lauren Zangardi Haynes |
| Jul. 25, 2018 | Jim McMahon |
| Jul. 25, 2018 | Bob Murphy |
| Jul. 25, 2018 | Abby Kovach |
| Jul. 24, 2018 | Donna Skeels Cygan |
| Jul. 24, 2018 | Mel Lagomasino |
| Jul. 24, 2018 | Adam Leavitt |
| Jul. 24, 2018 | Danielle Seurkamp |
| Jul. 24, 2018 | Mitchell Hockenbury |
| Jul. 24, 2018 | William Cuthbertson |
| Jul. 24, 2018 | Pat Smith |
| Jul. 23, 2018 | Jon Panitzke |
| Jul. 23, 2018 | Kathy Sachs |
| Jul. 23, 2018 | Hugh Caddess |
| Jul. 22, 2018 | Jennifer Mellgren |
| Jul. 22, 2018 | Alan Stamm |
| Jul. 21, 2018 | Juanita Fontaine |
| Jul. 21, 2018 | Mark Winsor |
| Jul. 20, 2018 | Kent A. Mason, Davis & Harman LLP |
| Jul. 20, 2018 | Anthony Hicks |
| Jul. 20, 2018 | Daniel Schuman |
| Jul. 20, 2018 | John Liechty, Integrated Financial Planning Solutions, LLC |
| Jul. 18, 2018 | Scott MacKillop,CEO, First Ascent Asset Management |
| Jul. 19, 2018 | Richard Salkowitz |
| Jul. 19, 2018 | Chelsea Matvey |
| Jul. 14, 2018 | Craig Guinn |
| Jul. 18, 2018 | Huelien Pham |
| Jul. 18, 2018 | Jay Thompson |
| Jul. 18, 2018 | Mahesh Bhupalam |
| Jul. 18, 2018 | Loizos Prodromou |
| Jul. 18, 2018 | Steven Miller |
| Jul. 17, 2018 | Anonymous |
| Jul. 17, 2018 | Anonymous |
| Jul. 17, 2018 | Anonymous |
| Jul. 17, 2018 | Anonymous |
| Jul. 17, 2018 | Anonymous |
| Jul. 17, 2018 | Anonymous |
| Jul. 17, 2018 | Lloyd Coleman |
| Jul. 17, 2018 | Kevin McGuire |
| Jul. 16, 2018 | John L. Thornton, Co-Chair; Hal S. Scott, Director; and R. Glenn Hubbard, Co-Chair; Committee on Capital Markets Regulation |
| Jul. 16, 2018 | Sean E. Walters, Executive Director/CEO, Investments & Wealth Institute |
| Jul. 16, 2018 | Jim Morris |
| Jul. 15, 2018 | Mary Malone |
| Jul. 14, 2018 | Tony Greiner |
| Jul. 13, 2018 | Frederick Greene |
| Jul. 12, 2018 | Barbara Greenwald |
| Jul. 10, 2018 | Rod Carroll |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Marcus Paredes |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Mary Newton |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Robert Carr |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Mike Keeler |
| Jul. 10, 2018 | Jeffrey T. |
| Jul. 6, 2018 | Darren Markle |
| Jun. 30, 2018 | Dr. Dwight Sanders |
| Jun. 30, 2018 | Tom Nowak, Quantum Financial Planning LLC |
| Jun. 28, 2018 | Gerald B. Levin |
| Jun. 28, 2018 | Ivan M. Illan, Founder and CIO, Aligne Wealth Preservation and Insurance Services, LLC. |
| Jun. 28, 2018 | Mary Margolis, MBR Financial |
| Jun. 27, 2018 | Leslie Bloomer |
| Jun. 26, 2018 | Amy McCloud |
| Jun. 22, 2018 | Richard Rohr |
| Jun. 22, 2018 | Charles Christine |
| Jun. 20, 2018 | Ron Shepherd |
| Jun. 19, 2018 | Catherine Shea |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Rob Seits |
| Jun. 18, 2018 | Joker Jenkins |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Lee Baird |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Mark Shaffer |
| Jun. 18, 2018 | Don Parsons, President, BBB of Houston |
| Jun. 18, 2018 | Angela Montellano |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Brian Hobbs |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | George Durgin |
| Jun. 18, 2018 | Malia Starmer |
| Jun. 18, 2018 | Karean Hoggan |
| Jun. 18, 2018 | Jason Starmer |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | David Schreiner |
| Jun. 18, 2018 | James Davis |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Mike Brantley |
| Jun. 18, 2018 | Anonymous |
| Jun. 15, 2018 | Anonymous |
| Jun. 8, 2018 | Dwight Sanders |
| Jun. 8, 2018 | Peter E. Bulger, Front Street Consulting |
| Jun. 6, 2018 | Brenda Winslow |
| Jun. 4, 2018 | M.T. Bowling |
| Jun. 2, 2018 | George Macke |
| Jun. 1, 2018 | M.T. Bowling |
| May 30, 2018 | David S. Addington, Senior Vice President, General Counsel, National Federation of Independent Business (NFIB) |
| May 25, 2018 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| May 25, 2018 | Robert N. Veres, Publisher, Inside Information |
| May 21, 2018 | AARP, et al. |
| May 1, 2018 | Julian Heron |
| Apr. 28, 2018 | Jennifer Lee |
| Apr. 28, 2018 | Craig Martin, President, Family Wealth Consultants, Inc. |
| Apr. 26, 2018 | David John Marotta, Columnist and Registered Investment Advisor |
| Apr. 25, 2018 | Brandon Grundy |
| Apr. 23, 2018 | John Wahh |
| Apr. 21, 2018 | Matthew G. Ely |
| Apr. 20, 2018 | Renee Hall, President, Registered Advisor Services |
| Apr. 19, 2018 | Jay R. |
| Apr. 19, 2018 | Sheri J. Mushel, Compliance Consultant |
Transcripts from Investor Roundtables
(Click here for submitted comments from the public)
|
| Oct. 30, 2018 | Roundtable on September 20, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 10, 2018 | Roundtable on July 25, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 9, 2018 | Roundtable on July 12, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 6, 2018 | Roundtable on July 17, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 6, 2018 | Roundtable on July 9, 2018 Regarding Standards of Conduct for Investment Professionals |
| Jul. 31, 2018 | Roundtable on June 13, 2018 Regarding Standards of Conduct for Investment Professionals |
| Jul. 31, 2018 | Roundtable on June 4, 2018 Regarding Standards of Conduct for Investment Professionals |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Jun. 4, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 9, 2019, meeting with representatives of the American Council of Life Insurers |
| Jun. 3, 2019 | Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of AFL-CIO, et al. |
| May 28, 2019 | Memorandum from the Division of Investment Management regarding a May 28, 2019, telephone meeting with representatives of Edelman Financial Engines |
| May 21, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 20, 2019, meeting with a representative of the Institute for the Fiduciary Standard |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding a May 8, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding an April 15, 2019, meeting with representatives ofthe National Association of Insurance and Financial Advisors (NAIFA) |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA) |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding an April 10, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA) |
| Apr. 30, 2019 | Memorandum from the Divisions of Trading and Markets and Investment Management regarding the April 4, 2019, SEC Investor Advocacy Clinic Summit |
| Apr. 22, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 22, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Apr. 16, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 16, 2019, meeting with representatives of Janney Montgomery Scott |
| Apr. 15, 2019 | Memorandum from the Division of Economic and Risk Analysis regarding an April 3, 2019, phone meeting with Department of Labor economists |
| Apr. 12, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 12, 2019, meeting with representatives of the the Investment Adviser Association (IAA) |
| Apr. 12, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 9, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA) |
| Apr. 11, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA) |
| Apr. 11, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 9, 2019, meeting with representatives of Institute for Portfolio Alternatives (IPA) |
| Apr. 11, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 8, 2019, meeting with representatives of the Institute for the Fiduciary Standard |
| Apr. 10, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 9, 2019, meeting with representatives of the Institute for Portfolio Alternatives |
| Apr. 5, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 4, 2019 meeting with representatives of the Investment Company Institute (ICI) |
| Apr. 2, 2019 | Memorandum from the Office of the Chairman regarding a March 18, 2019, meeting with representatives of the American Council of Life Insurers |
| Mar. 29, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 5, 2019, meeting with representatives of the Financial Services Institute |
| Mar. 26, 2019 | Memorandum from the Office of the Chairman regarding a March 7, 2019, call with a representative of the Investment Company Institute |
| Mar. 20, 2019 | Memorandum from the Division of Trading and Markets regarding a March 20, 2019, meeting with representatives of the American Retirement Association |
| Mar. 20, 2019 | Memorandum from the Division of Investment Management regarding a March 20, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Mar. 18, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 18, 2019, meeting with representatives of the American Council of Life Insurers (ACLI) |
| Mar. 15, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson Jr. regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery |
| Mar. 15, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 5, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Mar. 13, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 13, 2019, meeting with representatives of the Investment Adviser Association |
| Mar. 12, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 12, 2019, meeting with representatives of the Investment Company Institute |
| Mar. 11, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2019, meeting with representatives of the SEC's Fort Worth Regional Office Risk Mitigation Forum |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a November 28, 2018, meeting with representatives of the Managed Funds Association |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard |
| Mar. 8, 2019 | Memorandum from the Office of the Chairman regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery |
| Mar. 6, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 6, 2019, meeting with representatives of the American Securities Association |
| Mar. 6, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 5, 2019, meeting with representatives of of the North American Securities Administrators Association |
| Mar. 5, 2019 | Memorandum from the Division of Trading and Markets regarding a March 4, 2019, meeting with representatives of SIFMA and members |
| Feb. 28, 2019 | Memorandum from the Office of the Investor Advocate regarding a February 28, 2019, meeting with representatives of AARP |
| Feb. 26, 2019 | Memorandum from the Division of Economic and Risk Analysis regarding a February 21, 2019, meeting with Chester Spratt and Mark Flannery |
| Feb. 20, 2019 | Memorandum from the Office of the Chairman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute (ICI) |
| Feb. 14, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute |
| Feb. 14, 2019 | Memorandum from the Division of Economic and Risk Analysis regarding a February 13, 2019, phone meeting with former SEC Chief Economist, Craig Lewis |
| Feb. 12, 2019 | Memorandum from the Division of Investment Management regarding a February 12, 2019, meeting with representatives of AARP |
| Dec. 11, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a December 10, 2018, meeting with representatives of AARP |
| Dec. 10, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 10, 2018, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) and SIFMA Member Firms |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 30, 2018, meeting with representatives of Jackson National, et al. |
| Nov. 29, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America |
| Nov. 29, 2018 | Memorandum from the Office of the Chairman regarding a November 20, 2018, meeting with representatives of the American Retirement Association |
| Nov. 29, 2018 | Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America |
| Nov. 29, 2018 | Memorandum from the Office of the Chairman regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America |
| Nov. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 28, 2018, meeting with representatives of Wells Fargo Advisors |
| Nov. 20, 2018 | Memorandum from the Division of Investment Management regarding a November 20, 2018, meeting with representatives of American Investment Council |
| Nov. 20, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a November 20, 2018, meeting with representatives of the American Retirement Association |
| Nov. 19, 2018 | Memorandum from the Division of Investment Management regarding an October 30, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Nov. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Nov. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a November 13, 2018, meeting with representatives of Mass Mutual Financial Group |
| Nov. 14, 2018 | Memorandum from the Office of the Chairman regarding a November 13, 2018, meeting with representatives of MassMutual |
| Nov. 13, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 13, 2018, meeting with representatives of MassMutual |
| Nov. 13, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 13, 2018, meeting with representatives of MassMutual |
| Nov. 13, 2018 | Memorandum from the Division of Trading and Markets regarding a November 9, 2018, telephone meeting with representatives of the Investment Company Institute |
| Nov. 6, 2018 | Memorandum from the Office of the Investor Advocate regarding an October 31, 2018, meeting with representatives of the North American Securities Administrators Association |
| Nov. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 31, 2018, meeting with with representatives of the North American Securities Administrators Association (NASAA) |
| Oct. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 31, 2018, meeting with with representatives of the CFA Institute |
| Oct. 31, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 30, 2018, meeting with representatives of North American Securities Administrators Association (NASAA) |
| Oct. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 30, 2018, meeting with representatives of the Investments & Wealth Institute |
| Oct. 30, 2018 | Memorandum from the Division of Investment Management regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU) |
| Oct. 30, 2018 | Memorandum from the Division of Trading and Markets regarding an October 30, 2018, meeting with representatives of the Investment Company Institute |
| Oct. 30, 2018 | Memorandum from the Office of the Chairman regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU) |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 29, 2018, meeting with representatives of AIG and others |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 29, 2018, meeting with with representatives of the Association for Advanced Life Underwriting (AALU) |
| Oct. 26, 2018 | Memorandum from the Office of the Chairman regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks |
| Oct. 26, 2018 | Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of New York Life Insurance Company |
| Oct. 26, 2018 | Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of the Institutional Limited Partners Association |
| Oct. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 19, 2018, meeting with representatives of Transamerica, Lincoln Financial, Jackson Financial, and Pacific Life |
| Oct. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 26, 2018, meeting with representatives of the Public Investors Arbitration Bar Association (PIABA) |
| Oct. 25, 2018 | Memorandum from the Office of the Chairman regarding an October 25, 2018, meeting with representatives of the Public Investors Arbitration Bar Association |
| Oct. 25, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 24, 2018, meeting with representatives of of New York Life Insurance Company |
| Oct. 24, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 24, 2018, meeting with representatives of the Managed Funds Association |
| Oct. 24, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 24, 2018, meeting with representatives of Primerica |
| Oct. 24, 2018 | Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of Primerica |
| Oct. 24, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks |
| Oct. 22, 2018 | Memorandum from the Division of Investment Management regarding an October 22, 2018, meeting with representatives of SIFMA |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 19, 2018, meeting with representatives of Transamerica, Lincoln Financial, Jackson National, and Pacific Life |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an October 17, 2018, meeting with representatives of SIFMA |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 17, 2018, meeting with Representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Oct. 18, 2018 | Memorandum from the Office of the Chairman regarding a September 14, 2018, conference call with representatives of AFL-CIO |
| Oct. 12, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an August 16, 2018, meeting with representatives of Charles Schwab |
| Oct. 11, 2018 | Memorandum from the Division of Trading and Markets regarding an October 10, 2018, meeting with representatives of the American Retirement Association |
| Oct. 4, 2018 | Memorandum from the Division of Investment Management regarding an October 4, 2018, meeting with representatives of LPL Financial |
| Oct. 3, 2018 | Memorandum from the Office of the Chairman regarding a September 20, 2018, meeting with representatives of Investments & Wealth Institute |
| Sep. 28, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 26, 2018, meeting with representatives of the American Retirement Association |
| Sep. 18, 2018 | Memorandum from the Office of the Chairman regarding a September 13, 2018, meeting with representatives of Better Markets: |
| Sep. 18, 2018 | Memorandum from the Office of the Chairman regarding a September 17, 2018, meeting with representatives of AARP |
| Sep. 17, 2018 | Memorandum from the Office of the Investor Advocate regarding a September 17, 2018, meeting with representatives of Betterment |
| Sep. 17, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 14, 2018, meeting with representatives of the U.S. Chamber of Commerce |
| Sep. 17, 2018 | Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of the Investment Adviser Association |
| Sep. 17, 2018 | Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of Betterment |
| Sep. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the the Institute for Portfolio Alternatives |
| Sep. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness |
| Sep. 13, 2018 | Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives |
| Sep. 13, 2018 | Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Sep. 12, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 10, 2018, meeting with representatives of Institute for Portfolio Alternatives, et al. |
| Sep. 6, 2018 | Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO |
| Aug. 30, 2018 | Memorandum from the Division of Investment Management regarding an August 30, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA) |
| Aug. 23, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute |
| Aug. 21, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity |
| Aug. 17, 2018 | Memorandum from the Office of the Chairman regarding an August 16, 2018, meeting with representatives of Charles Schwab |
| Aug. 17, 2018 | Memorandum from the Office of the Chairman regarding an August 15, 2018, meeting with representatives of Morningstar |
| Aug. 16, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 15, 2018, meeting with representatives of Morningstar |
| Aug. 14, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 26, 2018, meeting with representatives of AARP |
| Aug. 14, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 26, 2018, meeting with representatives of the Insured Retirement Institute |
| Aug. 9, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 9, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA) |
| Aug. 9, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 1, 2018, meeting with representatives of the Capital Group |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Services Institute |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of The Institute for the Fiduciary Standard |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a June 5, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Industry Regulatory Authority |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of the U.S. Chamber of Commerce |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Investment Adviser Association |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding an April 26, 2018, meeting with representatives of the Consumer Federation of America |
| Aug. 6, 2018 | Memorandum from the Office of the Chairman regarding an August 6, 2018, meeting with with Teresa J. Verges (Director, Investor Rights Clinic, University of Miami School of Law) and Christine Lazaro (Director, Securities Arbitration Clinic, St. John's University School of Law) |
| Aug. 6, 2018 | Memorandum from the Office of the Chairman regarding an August 1, 2018, meeting with representatives of Capital Group |
| Aug. 3, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an August 1, 2018 meeting with representatives of Capital Group |
| Aug. 1, 2018 | Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of Capital Group |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with SIFMA |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 1, 2018, meeting with representatives of Capital Group |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of FINRA Board of Governors |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 5, 2018, meeting with representatives of the Financial Services Institute Board of Directors |
| Jul. 31, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 31, 2018, telephone meeting with a representative of the Investment Adviser Association |
| Jul. 31, 2018 | Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 31, 2018 | Memorandum from the Office of the Commissioner Hester M. Peirce regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 30, 2018 | Memorandum from the Division of Trading and Markets regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 30, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 30, 2018, meeting with the Investment Adviser Association |
| Jul. 30, 2018 | Memorandum from the Division of Investment Management Division of Investment Management regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions |
| Jul. 30, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 30, 2018, meeting with representatives of the Investment Adviser Association |
| Jul. 26, 2018 | Memorandum from the Division of Investment Management regarding a July 25, 2018, meeting with representatives of Fidelity Investments |
| Jul. 26, 2018 | Memorandum from the Office of the Chairman regarding a July 24, 2018, meeting with representatives of Insured Retirement Institute |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 14, 2018, meeting with the Consumer Federation of America |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an April 24, 2018, meeting with the Certified Financial Planner Board of Standards |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an April 24, 2018, meeting with the SIFMA Board of Governors |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 10, 2018, meeting with representatives of the Investment Company Institute |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 253, 2018, discussion with representatives of the Institute for the Fiduciary Standard |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 23, 2018, discussion with representatives of Consumer Federation of America |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 23, 2018, discussion with representatives of the Institute for the Fiduciary Standard |
| Jul. 24, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 24, 2018, meeting with the Insured Retirement Institute |
| Jul. 24, 2018 | Memorandum from the Office of the Chairman regarding a July 23, 2018, meeting with representatives of AALU |
| Jul. 24, 2018 | Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of SIFMA |
| Jul. 24, 2018 | Memorandum from the Division of Trading and Markets regarding a July 23, 2018, telephone meeting with representatives of Iowa Insurance Division |
| Jul. 24, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a July 23, 2018, meeting with representatives of AALU |
| Jul. 24, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a July 23, 2018, meeting with representatives of SIFMA |
| Jul. 24, 2018 | Memorandum from the Division of Investment Management regarding a July 24, 2018, meeting with representatives of Charles Schwab & Co. |
| Jul. 23, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of SIFMA |
| Jul. 23, 2018 | Memorandum from the Office Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of the Association for Advanced Life Underwriting |
| Jul. 23, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 17, 2018, meeting with representatives the American Securities Association |
| Jul. 18, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of Jane Street |
| Jul. 17, 2018 | Memorandum from the Office of the Chairman regarding a July 17, 2018, meeting with representatives of American Securities Association |
| Jul. 16, 2018 | Memorandum from the Division of Trading and Markets regarding a July 12, 2018, meeting with representatives of Eversheds Sutherland (US) LLP on behalf of the Committee of Annuity Insurers |
| Jul. 16, 2018 | Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2018, meeting with representatives of Morningstar, Inc. |
| Jul. 16, 2018 | Memorandum from the Division of Trading and Markets regarding a July 11, 2018, meeting with representatives of Fidelity Investments |
| Jul. 16, 2018 | Memorandum from the Office of the Chairman regarding a July 13, 2018, meeting with representatives of New York Life Insurance Company |
| Jul. 13, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions |
| Jul. 12, 2018 | Memorandum from the Division of Investment Management regarding a July 12, 2018, meeting with representatives of New York Life |
| Jul. 12, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions |
| Jul. 12, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Fidelity Investments |
| Jul. 12, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 12, 2018, meeting with representatives of New York Life Insurance Company |
| Jul. 12, 2018 | Memorandum from the Office of Chairman Jay Clayton regarding a July 11, 2018, meeting with representatives of Fidelity Investments |
| Jul. 6, 2018 | Memorandum from the Division of Investment Management regarding a June 22, 2018, meeting with representatives of the Investment Adviser Association |
| Jun. 28, 2018 | Memorandum from the Division of Investment Management regarding a June 27, 2018, meeting with representatives of the Investment Company Institute |
| Jun. 28, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 27, 2018, telephone meeting with representatives of the North American Securities Administrators Association |
| Jun. 22, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 21, 2018, meeting with representatives of the Investment Adviser Association |
| Jun. 20, 2018 | Memorandum from the Division of Investment Management regarding a June 20, 2018, meeting with representatives of Financial Engines |
| Jun. 20, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a June 20, 2018, meeting with representatives of Financial Engines |
| Jun. 20, 2018 | Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the Boston Asset Management Association |
| Jun. 20, 2018 | Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the CFA Institute |
| Jun. 20, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Jun. 19, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Jun. 19, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a June 4, 2018, meeting with a representative of the Consumer Federation of America |
| Jun. 12, 2018 | Memorandum from the Division of Investment Management regarding a June 4, 2018, meeting with representatives of the North American Securities Administrators Association |
| Jun. 11, 2018 | Memorandum from the Office of the Chairman regarding a June 11, 2018, meeting with representatives of the Investment Company Institute |
| Jun. 7, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 6, 2018, meeting with representatives of the Investment Company Institute |
| Jun. 6, 2018 | Memorandum from the Office of the Chairman regarding a June 6, 2018, meeting with representatives of the Financial Planning Association and the Certified Financial Planner Board of Standards, Inc. |
| May 24, 2018 | Memorandum from the Office of the Chairman regarding a May 24, 2018, meeting with representatives of the National Association of Insurance Commissioners |
| May 18, 2018 | Memorandum from the Office of the Investor Advocate regarding a May 18, 2018, telephone meeting with representatives of Donnelley Financial Solutions |
| May 18, 2018 | Memorandum from the Division of Trading and Markets regarding a May 16, 2018, meeting with representatives of Empower Retirement |
| May 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company |
| May 10, 2018 | Memorandum from the Office of the Chairman regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company |
| May 10, 2018 | Memorandum from the Office of the Investor Advocate regarding a May 10, 2018, meeting with a representative of the Institute for the Fiduciary Standard |
| May 10, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a May 10, 2018, meeting with representatives of Americans for Financial Reform, Public Citizen, the American Federation of State, County and Municipal Employees and the AFL-CIO |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of Primerica |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding a May 9, 2018, meeting with representatives of AIG |
| May 9, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a May 9, 2018, meeting with representatives of AARP |
| May 9, 2018 | Memorandum from the Office of the Chairman regarding a May 7, 2018, meeting with representatives of AARP |
