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(Click here for meetings with SEC officials)
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| Oct. 30, 2018 | Jeff Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab and Co. |
| Oct. 23, 2018 | Stephen Berger, Managing Director, Government and Regulatory Policy, Citadel Securities |
| Dec. 8, 2017 | Andres A. Casellas, University of Notre Dame |
| Dec. 8, 2017 | Taylor Klawunder |
| Dec. 8, 2017 | Paul LoVullo, Student, University of Notre Dame |
| Dec. 8, 2017 | Carlos Covarrubias |
| Dec. 8, 2017 | Christopher W. Flood, Student, University of Notre Dame |
| Dec. 8, 2017 | Evan Feeney, Student, University of Notre Dame |
| Dec. 8, 2017 | Nicholas C. Homolka, Finance Major, University of Notre Dame |
| Dec. 8, 2017 | James Y. Jang, Student, University of Notre Dame |
| Dec. 8, 2017 | Kaitlin R. Klawunder, University of Notre Dame |
| Dec. 7, 2017 | Juan C. Mendez, Student, University of Notre Dame |
| Dec. 7, 2017 | Maria F. Alfaro, Student |
| Dec. 7, 2017 | Austin G. Yellen, Student, University of Notre Dame |
| Dec. 7, 2017 | William Carney |
| Dec. 7, 2017 | Maria P. Morales, Student, University of Notre Dame |
| Dec. 6, 2017 | Abigail Mines, Finance Major, University of Notre Dame |
| Dec. 6, 2017 | John Travisano |
| Dec. 6, 2017 | John Walsh, Student, University of Notre Dame |
| Dec. 6, 2017 | John F O'Brien, Student, University of Notre Dame |
| Dec. 3, 2017 | Kyle Crotty |
| Dec. 2, 2017 | Joseph Krause |
| Dec. 1, 2017 | Andrew C. Foster, Student, University of Notre Dame |
| Dec. 1, 2017 | Kai Yun Toh |
| Dec. 1, 2017 | Casey Dugan, Student, University of Notre Dame |
| Nov. 29, 2017 | Stephen Muldoon |
| May 18, 2017 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Apr. 11, 2017 | Jon Schneider, Chairman of the Board, and James Toes, President & CEO, Security Traders Association |
| Feb. 3, 2017 | David M. Weisberger, President, Exquam LLC |
| Jan. 24, 2017 | Suzanne Shatto |
| Jan. 6, 2017 | Tyler Gellasch, and Chris Nagy, Director, Healthy Markets Association |
| Dec. 8, 2016 | Patrick J. Darché, University of Notre Dame Class of 2017 |
| Dec. 8, 2016 | Robert B. Butler, Student, University of Notre Dame, South Bend, Indiana |
| Dec. 8, 2016 | Devon Roura |
| Dec. 8, 2016 | Matthew Noone |
| Dec. 8, 2016 | David Harvan, Student, University of Notre Dame, Notre Dame, Indiana |
| Dec. 8, 2016 | Michelle Lacouture |
| Dec. 8, 2016 | Morgan M. Kavanaugh, University of Notre Dame |
| Dec. 8, 2016 | Paul Seo, University of Notre Dame |
| Dec. 7, 2016 | Sarah F. Haley, Notre Dame, Indiana |
| Dec. 7, 2016 | Kevin A. Hart, University of Notre Dame, South Bend, Indiana |
| Dec. 7, 2016 | Michaela McInerney |
| Nov. 22, 2016 | Adam C. Turner, Notre Dame, Indiana |
| Nov. 7, 2016 | Mary Lou Von Kaenel, Managing Director, Financial Information Forum |
| Oct. 31, 2016 | John A. McCarthy, General Counsel, KCG Holdings, Inc. |
| Oct. 31, 2016 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Oct. 18, 2016 | Joseph J. Kinahan, Managing Director, Client Advocacy and Market Structure, TD Ameritrade, Chicago, Illinois |
| Oct. 17, 2016 | Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA) |
| Oct. 13, 2016 | Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel Securities, Chicago, Illinois |
| Oct. 7, 2016 | Timothy J. Mahoney, CEO, BIDS Trading L.P., New York, New York |
| Sep. 30, 2016 | Matt D. Lyons, Global Trading Manager, et al., The Capital Group Companies |
| Sep. 28, 2016 | Abraham Kohen, President, AK Financial Engineering Consultants, LLC, New York, New York |
| Sep. 26, 2016 | Jeff Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab, Washington, District of Columbia |
| Sep. 26, 2016 | Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
| Sep. 26, 2016 | Nathaniel Evarts, State Street Global Advisors |
| Sep. 26, 2016 | John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association, New York, New York |
| Sep. 26, 2016 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Sep. 26, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
| Sep. 26, 2016 | Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc. |
| Sep. 26, 2016 | Mary Lou Von Kaenel, Managing Director, Financial Information Forum |
| Sep. 26, 2016 | Greg Babyak Head, Global Regulatory and Policy Group, Bloomberg LP, and Gary Stone, Market Structure Strategy, Bloomberg Tradebook and Bloomberg LP |
| Sep. 26, 2016 | Erin K. Preston, CCO/Associate General Counsel, Dash Financial LLC, New York, New York |
| Sep. 26, 2016 | David Weisberger, Managing Director, IHS Markit, New York, New York |
| Sep. 26, 2016 | Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York |
| Sep. 26, 2016 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Sep. 26, 2016 | Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia |
| Sep. 26, 2016 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC |
| Sep. 26, 2016 | Richie Prager, Senior Managing Director, Head of Trading, Liquidity & Investments Platform, et al., BlackRock, Inc. |
| Sep. 26, 2016 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Sep. 26, 2016 | David W. Blass, General Counsel, Investment Company Institute |
| Sep. 23, 2016 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Sep. 23, 2016 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Aug. 26, 2016 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 31, 2018 | Memorandum from the Division of Trading and Markets regarding an October 23, 2018, call with representatives of Citadel Securities |
| Oct. 31, 2018 | Memorandum from the Division of Trading and Markets regarding an October 23, 2018, call with representatives of Charles Schwab & Co. |
| Oct. 31, 2018 | Memorandum from the Office of Commissioner Stein regarding an October 30, 2018, meeting with representatives of RBC Capital Markets, et al. |
| Oct. 30, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 30, 2018, meeting with representatives of RBC and others |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 27, 2018, meeting with a representative of the American Securities Association |
| Oct. 3, 2018 | Memorandum from the Division of Trading and Markets regarding an October 3, 2018, meeting with representatives of SIFMA and SIFMA Member Firms |
| Sep. 21, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 5, 2018, meeting with representatives of Healthy Markets |
| Jul. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of Fidelity |
| Jul. 23, 2018 | Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of Fidelity Investments |
| Jun. 29, 2018 | Memorandum from the Division of Trading and Markets regarding a June 28, 2018, meeting with representatives of Security Traders Association |
| Jun. 19, 2018 | Memorandum from the Division of Trading and Markets regarding a June 19, 2018, meeting with representatives of Investment Company Institute and AssetManagement Representatives |
| Jun. 5, 2018 | Memorandum from the Division of Trading and Markets regarding a June 5, 2018, meeting with representatives of Rosenblatt Securities and Asset Management Representatives |
| May 31, 2018 | Memorandum from the Division of Trading and Markets regarding a May 31, 2018, meeting with representatives of Charles Schwab & Co., Inc. |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding a May 10, 2018, meeting with representatives of Royal Bank of Canada and Buy-Side Representatives |
| May 1, 2018 | Memorandum from the Division of Trading and Markets regarding a May 1, 2018, meeting with representatives of Morgan Stanley |
| Apr. 26, 2018 | Memorandum from the Division of Trading and Markets regarding an April 26, 2018, meeting with representatives of Virtu Financial |
| Mar. 16, 2018 | Memorandum from the Division of Trading and Markets regarding a March 16, 2018, meeting with representatives of Better Markets, Inc. |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a March 14, 2018, meeting with representatives of Healthy Markets |
| Feb. 28, 2018 | Memorandum from the Division of Trading and Markets regarding a February 28, 2018, meeting with representatives of Clearpool Group, Inc. |
| Feb. 28, 2018 | Memorandum from the Division of Trading and Markets regarding a February 26, 2018, with representatives of Morgan Stanley |
| Jun. 6, 2017 |
Memorandum from the Division of Trading and Markets regarding a June 6, 2017, meeting with representatives of Rosenblatt Securities Inc., et al.
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| May 17, 2017 |
Memorandum from the Division of Trading and Markets regarding a May 17, 2017, meeting with representatives of the Healthy Markets Association, et al.
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| Feb. 6, 2017 |
Memorandum from the Office of the Chairman regarding a February 2, 2017, meeting with representatives of Clearpool Group, Inc.
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| Nov. 30, 2016 |
Memorandum from the Office of Commissioner Kara Stein regarding a November 30, 2016, meeting with representatives of Healthy Markets
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| Nov. 23, 2016 |
Memorandum from the Office of Commissioner Kara Stein regarding a November 22, 2016, meeting with representatives of the Security Traders Association
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| Nov. 22, 2016 |
Memorandum from the Division of Trading and Markets regarding a November 22, 2016, meeting with representatives of the Security Traders Association
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| Oct. 18, 2016 |
Memorandum from the Division of Trading and Markets regarding an October 18, 2016, conference call with members of the Customer Issues Subcommittee of the Equity Market Structure Advisory Committee
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| Sep. 27, 2016 |
Memorandum from the Division of Trading and Markets regarding a September 27, 2016, meeting with representatives of Royal Bank of Canada and buy-side representatives
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| Sep. 27, 2016 |
Memorandum from the Division of Trading and Markets regarding a September 26, 2016, meeting with representatives of Managed Funds Association and institutional investors
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| Sep. 21, 2016 |
Memorandum from the Division of Trading and Markets regarding a September 21, 2016, meeting with representatives of BIDS Trading, L.P.
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| Sep. 13, 2016 |
Memorandum from the Office of the Investor Advocate regarding a September 13, 2016, conference call with representatives of Investment Company Institute
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