(Click here for meetings with SEC officials)
(Click here for SEC Staff Studies and Reports)
|
| Oct. 10, 2022 | Jason Seligman, Senior Economist, Investment Company Institute and Matthew Thornton, Associate General Counsel, Investment Company Institute |
| Oct. 7, 2022 | Mo Abdullah |
| Jun. 2, 2022 | Billy Dogwhistle |
| Dec. 29, 2021 | Ryan O'Malley |
| Jun. 21, 2021 | M. Yass |
| Jun. 2, 2021 | Tom Riker |
| May 21, 2021 | Rosanne D. Balfour |
| Apr. 6, 2021 | Diamond |
| Mar. 18, 2021 | Anonymous |
| Mar. 12, 2021 | James McRitchie, Shareholder Advocate, CorpGov.net |
| Jan. 15, 2021 | Stradley Ronon Stevens & Young, LLP |
| Jan. 6, 2021 | James J. Angel, Ph.D., CFP®, CFA,
Associate Professor of Finance, Georgetown University, McDonough School of Business |
| Jan. 5, 2021 | Robert Rutkowski |
| Jan. 5, 2021 | Vicki Booth, Senior Legal Counsel, T. Rowe Price Associates, Inc.,
Laura Chasney, Managing Legal Counsel, T. Rowe Price Associates, Inc.,
Fran Pollack-Matz, Managing Legal Counsel, T. Rowe Price Associates, Inc. and
Bob Grohowski, Senior Legal Counsel,
VP Legislative & Regulatory Affairs, T. Rowe Price Associates, Inc. |
| Jan. 4, 2021 | Proskauer Rose LLP |
| Jan. 4, 2021 | Marc Bryant, Chief Legal Officer and Michael F. Gerber, Chief Corporate Affairs Officer, FS Investments |
| Jan. 4, 2021 | Americans for Financial Reform Education Fund |
| Jan. 4, 2021 | Kingsley Fong, Associate Professor, School of Banking & Finance, UNSW Business School |
| Jan. 4, 2021 | Lisa Hopkins, President, NASAA |
| Jan. 4, 2021 | David P. Cohen, Executive Director, Coalition for Business Development |
| Jan. 4, 2021 | Christopher M. Rohrbacher, TIAA |
| Jan. 4, 2021 | Andrew G. Arnott , President and Chief Executive Officer, John Hancock |
| Jan. 4, 2021 | Peter J. Germain, Chief Legal Officer and General Counsel, Federated Hermes |
| Jan. 4, 2021 | Timothy McHale, Senior Vice President & Senior Counsel, and Walter Burkley Senior Vice President & Senior Counsel, Capital Research and Management Company |
| Jan. 4, 2021 | Jonathan de St. Paer, President, Charles Schwab Investment Management, Inc. |
| Jan. 4, 2021 | IHS Markit |
| Jan. 4, 2021 | Tab Stewart, Senior Vice President, Financial Services Standards, American Bankers Association |
| Jan. 4, 2021 | Katherine S. McKinley, Senior Vice President and General Counsel, State Street Global Advisors |
| Jan. 4, 2021 | Barbara Roper, Director of Investor Protection, CFA |
| Jan. 4, 2021 | Insured Retirement Institute |
| Jan. 4, 2021 | Dechert LLP |
| Jan. 4, 2021 | Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors |
| Jan. 4, 2021 | Cynthia Lo Bessette, Fidelity Investments, SVP, Deputy General Counsel |
| Jan. 4, 2021 | Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc. |
| Jan. 4, 2021 | Campbell Pryde, President and CEO, XBRL US |
| Jan. 4, 2021 | Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness |
| Jan. 4, 2021 | Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc. |
| Jan. 4, 2021 | David B. Smith, Jr., General Counsel, Mutual Fund Directors Forum |
| Jan. 4, 2021 | Rick Redding, Chief Executive Officer, Index Industry Association |
| Jan. 4, 2021 | Aron Szapiro, Head of Policy Research, Morningstar Inc. |
| Jan. 3, 2021 | Fatih Inçka |
| Jan. 3, 2021 | Lisa Barker, investor / plan administrator |
| Jan. 3, 2021 | Jill D. |
| Jan. 3, 2021 | Frank Dalton |
| Dec. 31, 2020 | CUSIP Global Services |
| Dec. 30, 2020 | Eric J. Johnson, President, Global Investment Companies, Donnelley Financial Solutions |
| Dec. 30, 2020 | David Marlboro |
| Dec. 30, 2020 | Stephen Deane, CFA, Senior Director, Capital Markets Policy – Americas, CFA Institute |
| Dec. 29, 2020 | William A. Jacobson, Esq., Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic |
| Dec. 29, 2020 | Nathan J. Greene and Jesse C. Kean, Sidley Austin LLP |
| Dec. 23, 2020 | James Angel, PhD, CFP, CFA, Associate Professor of Finance, Georgetown University |
| Dec. 22, 2020 | Stephen E. Roth, Eversheds Sutherland (US) LLP, Counsel to the Committee of Annuity Insurers |
| Dec. 22, 2020 | Thomas T. Kim, Managing Director, Independent Directors Council (IDC) |
| Dec. 22, 2020 | Timothy W. Cameron, Esq., Lindsey Weber Keljo, Esq., Asset Management Group, SIFMA |
| Dec. 22, 2020 | Anne E. Robinson, General Counsel and Managing Director, The Vanguard Group, Inc. |
| Dec. 21, 2020 | Susan Olson, General Counsel, Investment Company Institute and Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Dec. 21, 2020 | Eric J. Pan, President & CEO, Investment Company Institute (ICI) |
| Dec. 20, 2020 | Average investor |
| Dec. 15, 2020 | Barbara Roper, Director of Investor Protection, Consumer Federation of America (CFA) |
| Dec. 15, 2020 | Barry Westfield |
| Dec. 4, 2020 | Brett Palmer, President, SBIA |
| Nov. 28, 2020 | N. Johnson |
| Nov. 24, 2020 | Olivia Brightly |
| Nov. 11, 2020 | Kylelane Purcell, President, Purcell Communications |
| Nov. 6, 2020 | Tyler Gellasch, Executive Director
Healthy Markets Association |
| Nov. 2, 2020 | Jon Fulkerson, Professor of Finance |
| Oct. 30, 2020 | Anonymous |
| Oct. 28, 2020 | Adam Horn |
| Oct. 27, 2020 | Anonymous |
| Oct. 27, 2020 | Anne Hampshire |
| Oct. 20, 2020 | Robert Walker, Series 65, 7, etc. Writer and Instructor |
| Oct. 20, 2020 | Theresa Hamacher, Chair, Barry Benjamin, Linda Davis Taylor and Enrique Vasquez, Independent Trustees of the Morningstar Funds Trust |
| Oct. 12, 2020 | Donald, Attorney |
| Oct. 7, 2020 | Ilene Mayola |
| Oct. 2, 2020 | Judith Katz |
| Sep. 29, 2020 | Christina Zhu, Ph.D., Assistant Professor of Accounting, The Wharton School, University of Pennsylvania |
| Sep. 22, 2020 | Justin Robert Hill, Global Financial Solutions |
| Sep. 21, 2020 | Janice Omelvany |
| Sep. 16, 2020 | Dominic Rosa, Academic |
| Sep. 14, 2020 | Ubiquity |
| Sep. 10, 2020 | Louisa Denrico |
| Sep. 7, 2020 | Jason Weiss |
| Aug. 31, 2020 | Tracy Shillman |
| Aug. 25, 2020 | Sandra Degan |
| Aug. 23, 2020 | Jake Kronish |
| Aug. 20, 2020 | Deborah S. Bosley |
| Aug. 20, 2020 | Karen Heston |
| Aug. 18, 2020 | Julie Maxwell |
| Aug. 17, 2020 | Anonymous |
| Aug. 16, 2020 | Daniel M. Lee |
| Aug. 12, 2020 | Lexi McVeigh |
| Aug. 12, 2020 | Tom and Mary, Retired Attorneys |
| Aug. 10, 2020 | Frank Tempor |
| Aug. 7, 2020 | Molly A. Gilmour, Investor |
| Aug. 7, 2020 | Jake Stroh |
| Aug. 6, 2020 | Tom Williams |
SEC Staff Studies and Reports
(Click here for submitted comments from the public)
(Click here for meetings with SEC officials)
|
| Sep. 15, 2022 | SEC Office of the Investor Advocate’s Research Regarding Performance Benchmarks |
Meetings with SEC Officials
(Click here for submitted comments from the public)
(Click here for SEC Staff Studies and Reports)
|
| Nov. 14, 2022 | Memorandum from the Office of the Chairman regarding a November 14, 2022 meeting with the Small Business Investor Alliance |
| Aug. 26, 2022 | Memorandum from the Office of the Investor Advocate regarding an August 23, 2022 meeting with representatives of Broadridge Financial Solutions |
| Aug. 18, 2022 | Memorandum from the Division of Investment Management regarding an August 17, 2022 meeting with representatives of Broadridge Financial Solutions |
| May 3, 2022 | Memorandum from the Division of Investment Management regarding an April 19, 2022 teleconference with representatives of the Investment Company Institute |
| Dec. 8, 2021 | Memorandum from the Division of Investment Management regarding a December 8, 2021 teleconference with representatives of the Investment Company Institute |
| Oct. 20, 2021 | Memorandum from the Division of Investment Management regarding an October 12, 2021 meeting with representatives of Broadridge Financial Solutions |
| Oct. 18, 2021 | Memorandum from the Office of Commissioner Caroline A. Crenshaw regarding an October 8 and 15, 2021 meetings with representatives of Broadridge Financial Solutions |
| Jul. 22, 2021 | Memorandum from the Division of Investment Management regarding a July 15, 2021 teleconference with representatives of the Investment Company Institute |
| Jul. 7, 2021 | Memorandum from the Office of Commissioner Caroline A. Crenshaw regarding a July 7, 2021, meeting with representatives of the Investment Company Institute |
| Jun. 29, 2021 | Memorandum from the Division of Investment Management regarding a June 23, 2021, teleconference with representatives of Fidelity |
| Jun. 28, 2021 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 28, 2021, meeting with representatives of Investment Company Institute |
| Jun. 23, 2021 | Memorandum from the Division of Investment Management regarding a June 23, 2021, teleconference with representatives of Vanguard |
| Jun. 15, 2021 | Memorandum from the Division of Investment Management regarding a June 15, 2021, conference call with representatives from Charles Schwab Investment Management, Inc. |
| Jun. 16, 2021 | Memorandum from the Division of Investment Management regarding a June 16, 2021, conference call with representatives from John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC |
| Jun. 14, 2021 | Memorandum from the Division of Investment Management regarding a May 24, 2021, teleconference with representatives of the Financial Industry Regulatory Authority |
| Jun. 14, 2021 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 14, 2021 meeting with representatives from the Investment Company Institute |
| Jun. 01, 2021 | Memorandum from the Division of Investment Management regarding a June 1, 2021, teleconference with representatives from T. Rowe Price Associates, Inc. |
| May 17, 2021 | Memorandum from the Division of Investment Management regarding a May 17, 2021, teleconference with representatives of Capital Group. |
| Mar. 8, 2021 | Memorandum from the Office of the Investor Advocate regarding a March 3, 2021, meeting with representatives of Broadridge Financial Solutions, Inc. |
| Feb. 22, 2021 | Memorandum from the Division of Investment Management regarding a February 22, 2021, teleconference with representatives of Morningstar |
| Nov. 19, 2020 | Memorandum from the Division of Investment Management regarding an October 29, 2020, meeting with representatives of Broadridge Financial Solutions, Inc. |
| Nov. 19, 2020 | Memorandum from the Office of Chairman Clayton regarding a November 19, 2020, meeting with representatives of Broadridge Financial Solutions |
| Nov. 12, 2020 | Memorandum from the Division of Investment Management regarding a September 1, 2020, meeting with representatives of Proskauer |
| Oct. 13, 2020 | Memorandum from the Division of Investment Management regarding an October 13, 2020, meeting with representatives of the Committee of Annuity Insurers |
| Sep. 4, 2020 | Memorandum from the Offices of Commissioners Peirce and Roisman regarding a September 4, 2020, meeting with representatives of Ropes & Gray |
