|
Click here for meetings with SEC officials)
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Comments have been received from individuals and entities using the following Letter Type
A: 6
B: 16
|
| Jul. 9, 2024 | American Investment Council, Managed Funds Association, Alternative Investment Management Association, National Venture Capital Association, Loan Syndications and Trading Association, and National Association Private Fund Managers |
| Jul. 5, 2024 | Cory Christian Michael Elliott |
| May 28, 2024 | Profs. James Tierney, Chicago-Kent College of Law; Kyle Langvardt, University of Nebraska College of Law; Ben Edwards,
University of Nevada, Las Vegas William S. Boyd School of Law |
| May 23, 2024 | United States Senators M. Michael Rounds, Mike Crapo, Martin Heinrich, and Mark Warner |
| May 20, 2024 | Barbara Comstock, Executive Director, American Consumer and Investor Institute |
| May 10, 2024 | Robert Bishop, Associate Professor, Duke Law School, and Frank Partnoy, Adrian A. Kragen Professor of Law, UC Berkeley School of Law Berkeley Haas (Affiliated Faculty), International Institute of Law and Finance |
| May 8, 2024 | Daniel Winslow, President, New England Legal Foundation |
| May 3, 2024 | Barbara Comstock, Executive Director, American Consumer and Investor
Institute |
| Apr. 30, 2024 | Brad Sherman, Member of Congress, Ranking Member, Subcommittee on Capital Markets and Bill Foster, Member of Congress, Ranking Member, Subcommittee on Financial Institutions
and Monetary Policy |
| Apr. 26, 2024 | Chris Mcentre |
| Apr. 26, 2024 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Apr. 12, 2024 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Apr. 8, 2024 | Cristina Martin Firvida, Director, Office of the Investor Advocate |
| Mar. 31, 2024 | Duane Thompson, Policy Consultant |
| Mar. 26, 2024 | Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc. |
| Mar. 26, 2024 | Barbara Comstock, Executive Director, American Consumer and Investor
Institute |
| Mar. 18, 2024 | Members of Congress, Marilyn Strickland, Wiley Nickel, Stacey E. Plaskett, Steven Horsford, Troy A. Carter, Sr., Sheila
Cherfilus-McCormick |
| Feb. 27, 2024 | Members of Congress, Ritchie Torres, Ann Wagner, Andy Barr, Henry Cuellar, Monica De La Cruz, Byron Donalds, Scott Fitzgerald, Mike Flood, Andrew R. Garbarino, Vicente Gonzalez, Erin Houchin, Michael V. Lawler, Barry Loudermilk, Dan Meuser, Alex X. Mooney, Wiley Nickel, Ralph Norman, Zach Nunn, John Rose, Roger Williams |
| Feb. 8, 2024 | Amaan Ali, Student of Law at National Law Institute University, Bhopal |
| Jan. 8, 2024 | James Fallows Tierney, Assistant Professor, Chicago-Kent College of Law |
| Jan. 8, 2024 | Steven Quirk |
| Jan. 6, 2024 | Travis L. Johnson, Associate Professor of Finance, The University of Texas at Austin, and S.P. Kothari, Gordon Y Billard Professor of Accounting and Finance, MIT Sloan School of Management |
| Nov. 30, 2023 | Ritchie Torres, Member of Congress |
| Nov. 21, 2023 | Noga Rosenthal |
| Nov. 15, 2023 | State Representative Jeffrey Rosario Turco |
| Nov. 14, 2023 | Lauren Lin, Chief Legal Officer, Wealthfront Corporation |
| Oct. 29, 2023 | Javier Limon |
| Oct. 26, 2023 | Yosef Bonaparte, Assocaite Professor of Fianance, Director for External Affairs, University of Colorado at Denver |
| Oct. 25, 2023 | Freddy Lo |
| Oct. 25, 2023 | Naomi Boyd, Ph.D., Dean, Professor of Finance, VCU School of Buisness |
| Oct. 24, 2023 | Harry E. Johnson Sr., President, CEO, The Martin Luther King Memorial Foundation |
| Oct. 24, 2023 | Angel |
| Oct. 23, 2023 | James Kidd |
| Oct. 23, 2023 | Michael Resau |
| Oct. 23, 2023 | Chris Del Valle |
| Oct. 23, 2023 | Kyle Edwards |
| Oct. 22, 2023 | David Gisborn |
| Oct. 22, 2023 | Anonymous |
| Oct. 22, 2023 | Morgan Sickman |
| Oct. 22, 2023 | Michael Mason |
| Oct. 22, 2023 | Matthew Egan |
| Oct. 22, 2023 | Tim Kornegay |
| Oct. 22, 2023 | Paul J. |
| Oct. 22, 2023 | Kevin Houben |
| Oct. 22, 2023 | Scott Fiore |
| Oct. 22, 2023 | Deepi Singh |
| Oct. 22, 2023 | Mamedov Aziz |
| Oct. 22, 2023 | Ben Mason, Historical Masonry Restoration |
| Oct. 22, 2023 | Anonymous |
| Oct. 22, 2023 | Saul Pennington |
| Oct. 21, 2023 | Sahail Turkmani |
| Oct. 21, 2023 | Anonymous |
| Oct. 21, 2023 | Nick Coronado |
| Oct. 21, 2023 | Pedro Sobral |
| Oct. 18, 2023 | Michele Dibert |
| Oct. 18, 2023 | Jay H. Knight, Chair, Federal Regulation of Securities Committee, American Bar Association Business Law Section |
| Oct. 11, 2023 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel |
| Oct. 11, 2023 | Eric Grossman, Chief Legal Officer and Chief Administrative Officer, Morgan Stanley |
| Oct. 11, 2023 | Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP |
| Oct. 11, 2023 | Melissa MacGregor and Kevin Ehrlich, SIFMA and SIFMA AMG |
| Oct. 11, 2023 | Susan Oberlies SVP, Corporate Counsel & Secretary, Lincoln Investment Companies |
| Oct. 11, 2023 | Amanda Hawley, Managing Director, General Counsel, Atria Wealth Solutions |
| Oct. 11, 2023 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Oct. 11, 2023 | James Angel, Associate Professor of Finance, Georgetown University |
| Oct. 10, 2023 | Public Citizen |
| Oct. 10, 2023 | David R. Burton, The Heritage Foundation |
| Oct. 10, 2023 | Joe Sweeney, President - Advice Wealth Management, Products and Service Delivery, Ameriprise Financial Services, LLC |
| Oct. 10, 2023 | Danielle Nicholson Smith, Vice President & Managing Legal Counsel, and Jonathan Siegel, Vice President & Managing Legal Counsel, T. Rowe Price |
| Oct. 10, 2023 | James Broughel and John Berlau, Competitive Enterprise Institute |
| Oct. 10, 2023 | Erika Moore, Vice President and Corporate Secrectary, Nasdaq, Inc. |
| Oct. 10, 2023 | Committee of Annuity Insurers |
| Oct. 10, 2023 | Americans for Financial Reform Education Fund, Consumer Federation of America, and Economic Policy Institute |
| Oct. 10, 2023 | Ronald C. Parker, President & CEO, National Association of Securities Professionals |
| Oct. 10, 2023 | Stephen W. Hall, Legal Director and Securities Specialist, Better Markets, Inc. |
| Oct. 10, 2023 | Alaska Commissioner of Revenue Adam Crum, Arizona Treasurer Kimberly Yee, Indiana Treasurer Dan Elliott, Iowa Treasurer Roby Smith, Kansas Treasurer Steven Johnson, Louisiana Treasurer John Schroder, Nebraska Auditor Mike Foley, Nevada Controller Andy Matthews, North Carolina Treasurer Dale Folwell, Oklahoma Auditor & Inspector Cindy Byrd, Oklahoma Treasurer Todd Russ, Pennsylvania Treasurer Stacy Garrity, South Carolina Treasurer Curtis Loftis, South Dakota Treasuer Josh Haeder, Utah Treasurer Marlo Oaks, Wyoming Treasurer Curt Meier, State Financial Officers Foundation |
| Oct. 10, 2023 | Jonathan Chiel, Fidelity Investments |
| Oct. 10, 2023 | John L, Thorton, Co-Chair, Hal S. Scott, President, and R. Glenn Hubbard Co-Chair, Committee on Capital Markets Regulation |
| Oct. 10, 2023 | Kevin R. Keller, CEO, CFP Board |
| Oct. 10, 2023 | Jennifer McAdam, Associate General Counsel, and Madison Ward, Counsel, American Council of Life Insurers |
| Oct. 10, 2023 | David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute |
| Oct. 10, 2023 | Seward & Kissel LLP |
| Oct. 10, 2023 | Peter Morgan, Managing Director, General Counsel & Corporate Secretary, The Charles Schwab Corporation |
| Oct. 10, 2023 | Althea Brown, Managing Director, Chief Legal Officer, LPL Financial LLC |
| Oct. 10, 2023 | Susan Olson, General Counsel, and Sarah Bessin, Deputy General Counsel, Investment Company Institute |
| Oct. 10, 2023 | Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Oct. 10, 2023 | Stradley Ronon Stevens and & Young, LLP |
| Oct. 10, 2023 | Tim Rouse, Executive Director, SPARK Institute, Inc. |
| Oct. 10, 2023 | Anya Coverman, President & CEO, Institute for Portfolio Alternatives |
| Oct. 10, 2023 | Kristin C. Lemkau, Chief Executive Officer, J.P. Morgan Wealth Management, and George C.W. Gatch, Chief Executive Officer, J.P. Morgan Asset Management |
| Oct. 10, 2023 | Daniel M. Gallagher, Chief Legal and Corporate Affairs Officer, Robinhood Markets, Inc. |
| Oct. 10, 2023 | Shawnna Hoffman, President, Guardrail Technologies Inc. |
| Oct. 10, 2023 | Lisa Bertain, Interim General Counsel, Edward D. Jones & Co., L.P. |
| Oct. 10, 2023 | Michael Underhill, President, ADISA |
| Oct. 10, 2023 | Jennifer J. Schulp and Jack Solowey, Cato Institute Center for Monetary and Financial
Alternatives |
| Oct. 10, 2023 | Amber Allen, President and General Counsel, Fairview Cyber, LLC |
| Oct. 10, 2023 | Nicolas Morgan, Founder and President, Investor Choice Advocates
Network (ICAN) |
| Oct. 10, 2023 | James Tierney, Assistant professor, Chicago-Kent College of Law, Kyle Langvardt, Assistant Professor of Law, University of Nebraska College of Law, and Benjamin P. Edwards
Professor of Law, William S. Boyd School of Law, University of Nevada–Las Vegas |
| Oct. 10, 2023 | Jai Ramaswamy, Chief Legal Officer and Scott Walker, Chief Compliance Officer, A.H. Capital Management, L.L.C. |
| Oct. 10, 2023 | Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, and Emily Micale, Director, Federal Regulatory Affairs, Insured Retirement Institute |
| Oct. 10, 2023 | Barbara Comstock, Executive Director, American Consumer and Investor
Institute |
| Oct. 10, 2023 | Justin Danhof, EVP, Corporate Governance, and Elijah Allen, Associate, Corporate Governance, Strive Asset Management, LLC |
| Oct. 10, 2023 | Rebekah Goshorn Jurata, General Counsel, American Investment Council, and Elliot Ganz, Head of Advocacy & Co-Head Policy Group, Loan Syndications and Trading Association |
| Oct. 10, 2023 | Gail C. Bernstein, General Counsel, and Sanjay Lamba, Associate General Counsel, Investment Advisers Association |
| Oct. 10, 2023 | Cynthia Jeffries, VP, Compliance, Commonwealth Financial Network |
| Oct. 10, 2023 | Micah Hauptman, Director of Investor Protection, and Dylan Bruce, Financial Services Counsel, Consumer Federation of America |
| Oct. 10, 2023 | Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors LP |
| Oct. 10, 2023 | Matthew Benchener, Managing Director, Personal Investor, The Vanguard Group, Inc. |
| Oct. 10, 2023 | Amanda Hindlian, President, ICE Fixed Income and Data Services, Intercontinental Exchange, Inc. |
| Oct. 10, 2023 | William Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts |
| Oct. 10, 2023 | Joseph Brady, Executive Director, North American Securities Administrators Association, Inc. |
| Oct. 10, 2023 | John C. Tolla, Executive Vice President, Chief Risk Officer, Axos Financial, Inc. |
| Oct. 10, 2023 | Gentry Collins, Chief Executive Officer, American Free Enterprise Chamber of Commerce |
| Oct. 10, 2023 | Alternative Investment Management Association |
| Oct. 10, 2023 | Penny Lee, President and Chief Executive Officer, Financial Technology Association |
| Oct. 10, 2023 | Stephanie Nicolas, WilmerHale on behalf of a Group of Broker-Dealer Clients |
| Oct. 10, 2023 | Seth A. Miller, President Advocacy & Administration, General Counsel, Cambridge Investment Research Advisors, Inc. |
| Oct. 10, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Oct. 10, 2023 | Tom Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| Oct. 10, 2023 | Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association |
| Oct. 9, 2023 | Sergio Alberto Gramitto Ricci, Associate Professor of Law, UMKC School of Law, and Christina M. Sautter, Professor of Law, SMU Dedman School of Law |
| Oct. 9, 2023 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Oct. 9, 2023 | Morningstar, Inc. |
| Oct. 9, 2023 | Andrew Banducci, Senior Vice President, Retirement and Compensation Policy, The ERISA Industry Committee |
| Oct. 9, 2023 | Patrick M. Ryle, Assistant Professor, Bryson Cornelison, Isaac Lacle`, Ian Lazo, Jose Garcia, BBA Finance and Applied Economics, and Kieran Jackson, BS in Mathematics in Actuarial Science, Wright School of Business, Dalton State College |
| Oct. 9, 2023 | Seth Rosenbloom, General Counsel, Joshua Rubin, Vice President, Legal, and Megan Fitzgerald, Director, Legal, Betterment LLC |
| Oct. 9, 2023 | Jonathan N. Santelli, Executive Vice President & General Counsel, Raymond James Financial, Inc. |
| Oct. 9, 2023 | Don Rolfe, Senior Vice President & Senior Counsel, Nelson Lee, Senior Vice President & Senior Counsel, and Katie Gorham, Associate Counsel, The Capital Group Companies, Inc. |
| Oct. 8, 2023 | Edmund F. Murphy, III, President & CEO, Empower |
| Oct. 6, 2023 | Mitch Ackles, President, Hedge Fund Association, President |
| Oct. 5, 2023 | Bryon Holz, President, National Association of Insurance and Financial Advisors |
| Oct. 4, 2023 | Nicole A. Elam, Esq., President & CEO, National Bankers Association |
| Sep. 29, 2023 | Public Citizen |
| Sep. 29, 2023 | Andrew N. Vollmer, Scholar with the Mercatus Center at George Mason University |
| Sep. 26, 2023 | PK Jain |
| Sep. 22, 2023 | Ann Wagner, Chairman, Subcommittee on Capital Markets, House Committee on Financial Services; French Hill, Chairman, Subcommittee on Digital Assets, Financial Technology and Inclusion, House Committee on Financial Services; M. Michael Rounds, Ranking Member, Subcommittee on Securities, Insurance, and Investment, Senate Banking Committee; Bill Hagerty, United States Senator; Andy Barr, Chairman, Subcommittee on Financial Institutions and Monetary Policy, House Committee on Financial Services; Bill Huizenga, Chairman, Subcommittee on Oversight & Investigations, House Committee on Financial Services; Blaine Luetkemeyer, Chairman, Subcommittee on National Security, Illicit Finance, and International Financial Institutions, House Committee on Financial Services; Frank Lucas, Member of Congress; Dan Meuser, Member of Congress; William Timmons, Member of Congress; Mike Flood, Member of Congress; Zach Nunn, Member of Congress; Scott Fitzgerald, Member of Congress; Young Kim, Member of Congress; Byron Donalds, Member of Congress; John Rose, Member of Congress; Bryan Steil, Member of Congress; Barry Loudermilk, Member of Congress; Monica De La Cruz, Member of Congress; Roger Williams, Member of Congress; Alex X. Mooney, Member of Congress |
| Sep. 21, 2023 | Lynn Dudley, Senior Vice President, Global Retirement & Compensation Policy, American Benefits Council |
| Sep. 19, 2023 | Finseca; Institute for Portfolio Alternatives; American Securities Association; Insured Retirement Institute; National Association of Insurance and Financial Advisors; and American Benefits Council |
| Sep. 19, 2023 | Cory |
| Sep. 12, 2023 | Penny Lee, President and Chief Executive Officer, Financial Technology Association; Elliot Ganz Head of Advocacy, LSTA; David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute, Inc. (FSI); Armstrong Robinson, Chief Advocacy Officer, Finseca; Jennifer W. Han, Executive Vice President Chief Counsel & Head of Regulatory Affairs, Managed Funds Association; Jirí Król, Deputy CEO, Global Head of Government Affairs, AIMA; Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, Insured Retirement Institute; Anya Coverman, President & CEO, Institute for Portfolio Alternatives; Robert Greene, President & CEO, National Association of Investment Companies; Chris A. Iacovella, Chief Executive Officer, American Securities Association; Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce; Rebekah Goshorn Jurata, General Counsel, American Investment Council; Byron Holz, President, National Association of Insurance and Financial Advisors; Jennifer M. McAdam, Associate General Counsel, American Council of Life Insurers; Susan Olson, General Counsel, Investment Company Institute; Lisa Crossley, Executive Director and CEO, National Society of Compliance Professionals |
| Sep. 7, 2023 | Tom Jacobson, Principal, High Country Strategies, Inc. |
| Aug. 23, 2023 | Rob McKee |
| Aug. 17, 2023 | Eric J. Pan, President & CEO, and Susan Olson, General Counsel, Investment Company Institute |
| Aug. 15, 2023 | Trade Associations |
| Aug. 8, 2023 | Rebekah Goshorn Jurata, General Counsel, American Investment Council |
| Aug. 8, 2023 | Dennis Wilson |
| Jul. 28, 2023 | Shaun Vendryes |
| Jul. 28, 2023 | Amanda |
| Jul. 28, 2023 | Amanda Blackwell |
| Jul. 27, 2023 | Michael DiDomenico |
| Jul. 27, 2023 | Glenn Runyan |
| Jul. 27, 2023 | Anonymous |
| Jul. 27, 2023 | Don Morris |
| Jul. 27, 2023 | Pavel Laputski |
| Jul. 27, 2023 | Anonymous |
| Jul. 27, 2023 | Cody Honeycutt |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Aug. 6, 2024 | Memorandum from the Office of Chair regarding an August 6, 2024 meeting with Better Markets |
| Jul. 11, 2024 | Memorandum from the Division of Investment Management regarding a July 11, 2024 meeting with BlackRock, Inc. |
| Jun. 25, 2024 | Memorandum from the Office of the Chair regarding a June 25, 2024 meeting with BlackRock, Inc. |
| Jun. 25, 2024 | Memorandum from the Office of Chief Counsel, Division of Trading and Markets regarding a June 13, 2024 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) Private Client Services Committee |
| Jun. 14, 2024 | Memorandum from the Division of Investment Management regarding a June 14, 2024 meeting with Investment Advisers Association (IAA) |
| Jun. 13, 2024 | Memorandum from the Division of Investment Management regarding a May 16, 2024 Conference on Emerging Trends In Asset Management |
| Jun. 12, 2024 | Memorandum from the Office of the Chair regarding a June 12, 2024 meeting with representatives of the Investment Adviser Association (IAA) |
| Jun. 11, 2024 | Memorandum from the Office of Public Engagement regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors |
| Jun. 10, 2024 | Memorandum from the Office of the Chair regarding a June 10, 2024 meeting with representatives of SIFMA |
| Jun. 10, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 4, 2024 meeting with representatives and members of the Investment Adviser Association ("IAA") |
| Jun. 4, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors |
| May 28, 2024 | Memorandum from the Office of the Chair regarding a May 28, 2024 meeting with Fidelity |
| May 28, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an April 26, 2024 meeting with representatives of Nationwide Mutual Insurance Company |
| May 16, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 16, 2024 meeting with representatives of the European Banking Federation (EBF) |
| May 14, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 14, 2024 meeting with representatives of LSTA |
| May 13, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 13, 2024 meeting with representatives of Robinhood
|
| May 2, 2024 | Memorandum from the Division of Investment Management regarding a May 2, 2024 meeting with the Investment Adviser Association |
| May 1, 2024 | Memorandum from the Office of Public Engagement regarding a May 1, 2024 meeting with the Institute for Portfolio Alternatives |
| Apr. 29, 2024 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 29, 2024 meeting with Investment Company Institute (ICI) |
| Apr. 29, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 29, 2024 meeting with the Investment Company Institute ("ICI") and its members |
| Apr. 23, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 23, 2024 meeting with representatives of Panorama Financial Markets |
| Apr. 22, 2024 | Memorandum from the Division of Investment Management regarding an April 22, 2024 meeting with Vanguard |
| Apr. 18, 2024 | Memorandum from the Office of the Chair regarding an April 18, 2024 meeting with BlackRock, Inc. |
| Mar. 28, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2024 meeting with Dalton State College Students |
| Mar. 22, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 22, 2024 meeting with representatives of the Investment Company Institute |
| Mar. 21, 2024 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a March 21, 2024 meeting with Alternative Credit Council |
| Mar. 21, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2024 meeting with members of the Investment Company Institute ("ICI") |
| Mar. 18, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 18, 2024 meeting with representatives of Ropes and Gray |
| Mar. 15, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 15, 2024 conference call with Charles Schwab |
| Mar. 14, 2024 | Memorandum from the Office of Public Engagement regarding a March 4, 2024 meeting with SEC Investor Advisory Committee |
| Mar. 13, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 11, 2024 meeting with representatives SIFMA |
| Mar. 12, 2024 | Memorandum from the Office of the Chair regarding a Match 11, 2024 meeting with representatives of ICI |
| Mar. 12, 2024 | Memorandum from the Office of the Chair regarding a March 6, 2024 meeting with representatives of Public |
| Mar. 11, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2024 meeting with representatives of Fidelity |
| Mar. 8, 2024 | Memorandum from the Division of Investment Management regarding a March 5, 2024 meeting with representatives of Robinhood |
| Mar. 7, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 7, 2024 meeting with representatives of Public |
| Mar. 7, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 7, 2024 meeting with representatives of Public |
| Feb. 29, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 29, 2024 meeting with representatives of Charles Schwab |
| Feb. 28, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 28, 2024 meeting with representatives of the Schwab Corporation ("Schwab") |
| Feb. 28, 2024 | Memorandum from the Division of Investment Management regarding a February 27, 2024 meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA") and member firms |
| Feb. 26, 2024 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a February 26, 2024 meeting with representatives of SIFMA |
| Feb. 23, 2024 | Memorandum from the Office of the Chair regarding a February 22, 2024 meeting with MFA |
| Feb. 21, 2024 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a February 21, 2024 meeting with representatives from Charles Schwab |
| Feb. 15, 2024 | Memorandum from the Division of Investment Management regarding a February 14, 2024 meeting with representatives of the Managed Funds Association ("MFA") and member firms |
| Feb. 15, 2024 | Memorandum from the Division of Investment Management regarding a February 14, 2024 meeting with representatives of Paul Weiss |
| Feb. 14, 2024 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a February 14, 2024 meeting with Managed Funds Association |
| Feb. 14, 2024 | Memorandum from the Office of the Investor Advocate regarding a February 13, 2024 meeting with representatives of the Consumer Federation of America |
| Feb. 13, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 13, 2024 meeting with representatives of Nasdaq |
| Feb. 13, 2024 | Memorandum from the Division of Investment Management regarding a February 13, 2024 video conference with representatives of Schulte |
| Feb. 13, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 13, 2024 meeting with representatives of Federated |
| Feb. 12, 2024 | Memorandum from the Office of the Chair regarding a February 12, 2024 meeting with ICI |
| Feb. 11, 2024 | Memorandum from the Division of Investment Management regarding a February 9, 2024 meeting with representatives of the Investment Company Institute ("ICI") and member firms |
| Feb. 8, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 8, 2024 meeting with representatives of Better Markets |
| Feb. 8, 2024 | Memorandum from the Division of Investment Management regarding a February 8, 2024 meeting with BlackRock, Inc. |
| Feb. 7, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding February 7, 2024 meeting with representatives of Vanguard |
| Feb. 7, 2024 | Memorandum from the Office of the Chair regarding a February 7, 2024 meeting with James Tierney |
| Feb. 5, 2024 | Memorandum from the Office of Public Engagement regarding a February 5, 2024 meeting with Fidelity |
| Jan. 19, 2024 | Memorandum from the Division of Trading and Markets regarding a January 11, 2024 meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA") |
| Jan. 2, 2024 | Memorandum from the Division of Economic and Risk Analysis regarding a December 29, 2023 meeting with James Tierney, Kyle Langvardt, and Benjamin Edwards |
| Jan. 2, 2024 | Memorandum from the Division of Economic and Risk Analysis regarding a December 29, 2023 meeting with John Campbell |
| Jan. 2, 2024 | Memorandum from the Division of Economic and Risk Analysis regarding a December 28, 2023 meeting with Paul Weiss |
| Dec. 21, 2023 | Memorandum from the Division of Investment Management regarding an October 11, 2023 meeting with Independent Directors Council, Governing Council |
| Dec. 20, 2023 | Memorandum from the Office of the Chair regarding a December 20, 2023 meeting with Fidelity |
| Dec. 19, 2023 | Memorandum from the Division of Trading and Markets regarding a December 19, 2023 meeting with Panorama Financial Markets Advisory |
| Dec. 19, 2023 | Memorandum from the Division of Investment Management regarding a December 19, 2023 meeting with representatives of the Vanguard Group, Inc. |
| Dec. 15, 2023 | Memorandum from the Division of Investment Management regarding a December 15, 2023 meeting with representatives of The Vanguard Group, Inc. |
| Dec. 15, 2023 | Memorandum from the Office of the Chair regarding a December 15, 2023 meeting with representatives of the from Paul, Weiss, Rifkind, Wharton & Garrison LLP |
| Dec. 7, 2023 | Memorandum from the Division of Investment Management regarding a December 7, 2023 meeting with Federal Regulation of Securities Committee, American Bar Association Business Law Section |
| Dec. 7, 2023 | Memorandum from the Office of the Chair regarding a December 7, 2023 meeting with Fidelity |
| Dec. 6, 2023 | Memorandum from the Office of Public Engagement regarding a December 6, 2023 meeting with representatives of Edward Jones |
| Dec. 5, 2023 | Memorandum from the Office of Public Engagement regarding a December 5, 2023 meeting with representatives of Public Citizen |
| Nov. 30, 2023 | Memorandum from the Office of Public Engagement regarding a November 30, 2023 meeting with representatives of SIFMA and SIFMA AG |
| Dec. 4, 2023 | Memorandum from the Office of the Chair regarding a December 4, 2023 meeting with representatives of the IAC Executive Committee |
| Dec. 4, 2023 | Memorandum from the Office of the Chair regarding a meeting with representatives of Standards Board for Alternative Investments ("SBAI") |
| Dec. 1, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 1, 2023 meeting with representatives of the Chamber of Commerce |
| Nov. 30, 2023 | Memorandum from the Office of the Chair regarding a November 30, 2023 meeting with Investment Advisers Association |
| Nov. 28, 2023 | Memorandum from the Office of the Chair regarding a November 28, 2023 meeting with Paul Roye |
| Nov. 14, 2023 | Memorandum from the Division of Trading and Markets regarding a November 8, 2023 meeting with Securities Industry and Financial Markets Association |
| Nov. 9, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 3, 2023 meeting with representatives of the of the Alternative Investment Management Association |
| Nov. 7, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a November 7, 2023 meeting with representatives of Charles Schwab |
| Nov. 7, 2023 | Memorandum from the Office of Public Engagement regarding a November 6, 2023 meeting with Vanguard
|
| Nov. 3, 2023 | Memorandum from the Office of the Chair regarding a November 3, 2023 meeting with Morningstar, Inc. |
| Nov. 1, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 20, 2023 meeting with Nationwide Insurance |
| Oct. 27, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 27, 2023 meeting with representatives of Managed Funds Association |
| Oct. 27, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 25, 2023 meeting with representatives of Schulte Roth and Zabel |
| Oct. 19, 2023 | Memorandum from the Office of the Investor Advocate regarding a October 12, 2023 virtual meeting with representatives of LPL Financial (LPL) |
| Oct. 19, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 19, 2023 meeting with the the Board of Directors of the Insured Retirement Institute (IRI) |
| Oct. 16, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 16, 2023 meeting with representatives of Edward Jones |
| Oct. 6, 2023 |
Memorandum from the Office Of Public Engagement regarding a October 5, 2023 virtual meeting with Committee on Capital Markets Regulation |
| Oct. 10, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 10, 2023 meeting with the Society for Corporate Governance |
| Sep. 29, 2023 | Memorandum from the Office Of the Chair regarding a September 29, 2023 meeting with representatives of the CFA Institute |
| Sep. 25, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 25, 2023 meeting with representatives of the Committee on Capital Markets Regulation |
| Sep. 21, 2023 |
Memorandum from the Division of Trading and Markets regarding a September 21, 2023 meeting with representatives of the Financial Industry Regulatory Authority |
| Sep. 12, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 12, 2023 meeting with representatives of the State Financial Officers Foundation |
| Sep. 1, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 1, 2023 meeting with representatives of Edward Jones |
| Aug. 22, 2023 | Memorandum from the Office of the Investor Advocate regarding a July 27, 2023 virtual meeting with representatives of the CATO Institute |
| Aug. 16, 2023 | Memorandum from the Office Of the Investor Advocate regarding an August 10, 2023 virtual meeting with representatives of North American Securities Administrators Association |
| Aug. 9, 2023 | Memorandum from the Office Of the Chair regarding a August 4, 2023 meeting with representatives of Consumer Federation of America |
| Aug. 7, 2023 | Memorandum from the Office of the Investor Advocate regarding an August 3, 2023 virtual meeting with representatives of the Managed Funds Association |
| Aug. 7, 2023 | Memorandum from the Office of the Investor Advocate regarding an August 2, 2023 virtual meeting with representatives of the Consumer Federation of America |
| Aug. 3, 2023 | Memorandum from the Office Of the Chair regarding a August 3, 2023 meeting with representatives of Better Markets |
| Aug. 3, 2023 | Memorandum from the Office Of the Chair regarding a August 3, 2023 meeting with representatives of the CFA Institute |
| Aug. 2, 2023 | Memorandum from the Office of Chair man regarding an August 1, 2023 meeting with representatives of the North American Securities Administrators Association |
