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(Click here for meetings with SEC officials)
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| Feb. 22, 2019 | Timothy W. Cameron, Esq., Head, and Lindsey Weber Keljo, Esq., Managing Director and Associate General Counsel; Asset Management Group, SIFMA |
| Feb. 4, 2019 | James Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors |
| Nov. 15, 2018 | Kurt N. Schacht, CFA, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets, CFA Institute Advocacy |
| Oct. 29, 2018 | Recommendation of the Fixed Income Market Structure Advisory Committee |
| Oct. 19, 2018 | Jeffrey A. Jacobus, Chief Compliance Officer, Bluefin Trading, LLC |
| Oct. 11, 2018 | Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association |
| Oct. 10, 2018 | Douglas Yones, Head of Exchange Traded Products, New York Stock Exchange |
| Oct. 5, 2018 | Richard F. Morris, General Counsel, ProShare Advisors LLC |
| Oct. 4, 2018 | Thomas E. Faust, Chairman and Chief Executive Officer, Eaton Vance Corp. |
| Oct. 3, 2018 | John DiBacco, Head, ETF Group, Virtu Financial, Inc |
| Oct. 1, 2018 | James J. Angel, Associate Professor, McDonough School of Business, Georgetown University |
| Oct. 1, 2018 | Robert I. Frenkel, Vice President and Deputy General Counsel, Legg Mason, Inc. |
| Oct. 1, 2018 | Reed R. Kathrein, Hagnes Berman Sobol Shapiro LLP |
| Oct. 1, 2018 | Sharon French, Executive Vice President, and Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds |
| Oct. 1, 2018 | Lynn Martin, President and Chief Operating Officer, ICE Data Services, Intercontinental Exchange |
| Oct. 1, 2018 | Bas Tammens, Business Development, Flow Traders US LLC |
| Oct. 1, 2018 | Angela Brickl, General Counsel, Rafferty Asset Management, LLC |
| Oct. 1, 2018 | Frank Liu, Chief Compliance Officer, Jane Street Capital, LLC |
| Oct. 1, 2018 | Andrew G. Arnott, President and CEO, John Hancock Investments |
| Oct. 1, 2018 | Ryan M. Louvar, General Counsel, WisdomTree Asset Management, Inc. |
| Oct. 1, 2018 | ETF BILD LLC |
| Oct. 1, 2018 | James E. Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors |
| Oct. 1, 2018 | Marie Chandoha, Chief Executive Officer, Charles Schwab Investment Management |
| Oct. 1, 2018 | David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum |
| Oct. 1, 2018 | Thompson Hine LLP |
| Oct. 1, 2018 | Laura Morrison, SVP, Global Head of Exchange Traded Products, and Kyle Murray, Assistant General Counsel, Cboe Global Markets, Inc. |
| Oct. 1, 2018 | David Mann, Head of Global ETF Capital Markets, and Gaston Gardey, Vice President, Fund Administration and Reporting, Franklin Resources, Inc. |
| Oct. 1, 2018 | Joanna M. Gallegos, Managing Director, Head of U.S. ETFs, J.P. Morgan Asset Management |
| Oct. 1, 2018 | Aron Szapiro, Director of Policy Research, and Jasmin Sethi, Associate Director of Policy Research, Morningstar, Inc. |
| Sep. 30, 2018 | Richard Redding, CEO, Index Industry Association |
| Sep. 28, 2018 | Gregory Davis, Chief Investment Officer, The Vanguard Group, Inc. |
| Sep. 28, 2018 | Thomas A. Wittman, Executive Vice President, Head of Global Trading a, Nasdaq, Inc. |
| Sep. 28, 2018 | Timothy W. Cameron, Head, and Lindsey Weber Keljo, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association (SIFMA) |
| Sep. 28, 2018 | Dechert LLP |
| Sep. 28, 2018 | Marc R. Bryant, Chief Legal Officer, Fidelity Management Research Company |
| Sep. 27, 2018 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Sep. 27, 2018 | Jeffrey B. McCarthy, CEO, ETF Services, BNY Mellon |
| Sep. 26, 2018 | Gil Baumgarten, President, Segment Wealth Management LLC |
| Sep. 26, 2018 | Anna Paglia, Head of Legal, US ETFs, Invesco Ltd. |
| Sep. 26, 2018 | Samara Cohen, Managing Director, Head of ETF Global Markets, et al., BlackRock |
| Sep. 25, 2018 | Harry Tosten |
| Sep. 23, 2018 | Chandra Sunki |
| Sep. 22, 2018 | Dan James |
| Sep. 21, 2018 | Susan Olson, General Counsel, Investment Company Institute |
| Aug. 28, 2018 | Dave Nadig, Managing Director, ETF.com |
| Aug. 27, 2018 | Henry Hu, Allan Shivers Chair in the Law of Banking and Finance, University of Texas Law School and John Morley, Professor of Law, Yale Law School |
| Aug. 10, 2018 | Amitkumar Patel |
| Aug. 9, 2018 | Tim Jong |
| Jul. 31, 2018 | Chaz Falcone |
| Jul. 24, 2018 | Joel Malmgren |
| Jul. 23, 2018 | Gary M. Feuerman, Esq. |
| Jul. 22, 2018 | Andrew Rodwin, CEO, Boston Cryptoassets Training |
| Jul. 22, 2018 | Vijay Singh Gusain |
| Jul. 21, 2018 | Rick K. La Lane |
| Jul. 20, 2018 | James Johnson |
| Jul. 20, 2018 | Wayne T. Lloyd |
| Jul. 19, 2018 | Matevz Krajnc |
| Jul. 19, 2018 | Chinedu Nwagbo |
| Jul. 18, 2018 | Jamie Navarrette |
| Jul. 18, 2018 | Darcy Munger |
| Jul. 18, 2018 | James Arthur |
| Jul. 17, 2018 | Raj Chowdary |
| Jul. 17, 2018 | Dene Smith |
| Jul. 17, 2018 | Samsuddoha Khondokar |
| Jul. 16, 2018 | Sara Booker |
| Jul. 14, 2018 | Jitendra Pal |
| Jul. 14, 2018 | Lars Hoffmann |
| Jul. 13, 2018 | Thomas Duhon |
| Jul. 13, 2018 | Joe Van |
| Jul. 12, 2018 | Charles M. Brown |
| Jul. 12, 2018 | Jack Reagan |
| Jul. 12, 2018 | James H. |
| Jul. 12, 2018 | Todd N. Handel, Finance consultant |
| Jul. 12, 2018 | Blaine E. Hess |
| Jul. 12, 2018 | Christopher J Brodkey, Associate Analyst, Ernst Young |
| Jul. 11, 2018 | Michael Roger |
| Jul. 11, 2018 | Lee N. Shank |
| Jul. 11, 2018 | Leon Gaban, 1978 |
| Jul. 11, 2018 | Kelvin Wilson |
| Jul. 11, 2018 | Sanjeev Ramlochan |
| Jul. 11, 2018 | Tom Harrison |
| Jul. 11, 2018 | Josh K. Osborne |
| Jul. 11, 2018 | Mitch van den Akker |
| Jul. 11, 2018 | J. Mack |
| Jul. 11, 2018 | Dheeraj Nagdev |
| Jul. 11, 2018 | Lisa Schumaker |
| Jul. 10, 2018 | Anonymous |
| Jul. 5, 2018 | Matevz Krajnc |
| Jul. 5, 2018 | James A. Eason |
| Jul. 3, 2018 | Stuart Cary |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Sep. 23, 2019 | Memorandum from the Office of the Chairman regarding a September 23, 2019, meeting with representatives of the Investment Company Institute |
| Aug. 27, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 26, 2019 meeting with representatives of the Investment Company Institute (ICI) |
| Aug. 9, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 6, 2019, meeting with representatives of Blackrock |
| Aug. 1, 2019 | Memorandum from the Division of Investment Management regarding a July 31, 2019, meeting with representatives of Flow Traders |
| Jul. 22, 2019 | Memorandum from the Division of Investment Management regarding a July 19, 2019, meeting with representatives of Flow Traders |
| Jul. 22, 2019 | Memorandum from the Division of Investment Management regarding a July 17, 2019, meeting with representatives of Nasdaq |
| Jul. 15, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a July 15, 2019, meeting with representatives of State Street |
| Jun. 13, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 13, 2019, meeting with representatives of Innovator Capital Management, LLC |
| Apr. 11, 2019 | Memorandum from the Division of Investment Management regarding an April 11, 2019, meeting with representatives of Innovator Capital Management, LLC |
| Apr. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 2, 2019, meeting with representatives of SIFMA AMG |
| Apr. 3, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 2, 2019, meeting with representatives of SIFMA AMG |
| Apr. 3, 2019 | Memorandum from the Division of Investment Management regarding an April 2, 2019, meeting with representatives of SIFMA AMG |
| Apr. 3, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 2, 2019, meeting with representatives of SIFMA |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a December 18, 2018, meeting with representatives of Vanguard |
| Feb. 27, 2019 | Memorandum from the Division of Investment Management regarding a February 27, 2019, meeting with representatives of Nasdaq, Inc. |
| Dec. 19, 2018 | Memorandum from the Division of Investment Management regarding a December 18, 2018, meeting with representatives of Vanguard |
| Dec. 19, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 19, 2018, meeting with representatives of Vanguard |
| Dec. 14, 2018 | Memorandum from the Division of Investment Management regarding a December 12, 2018, meeting with representatives of ETP Resources |
| Dec. 4, 2018 | Memorandum from the Division of Investment Management regarding a December 3, 2018, meeting with representatives of NYSE Arca, Inc. |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 3, 2018, meeting with representatives of the New York Stock Exchange |
| Dec. 3, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 3, 2018, meeting with representatives of ProShares Advisors LLC |
| Nov. 30, 2018 | Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of Fidelity Investments |
| Nov. 29, 2018 | Memorandum from the Office of the Chairman regarding a November 29, 2018, meeting with representatives of Fidelity Investments |
| Nov. 20, 2018 | Memorandum from the Office of the Chairman regarding a November 14, 2018, meeting with representatives of ProShares |
| Nov. 9, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Oct. 30, 2018 | Memorandum from the Office of the Chairman regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association's Asset Management Group |
| Oct. 29, 2018 | Memorandum from the Division of Investment Management regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association's Asset Management Group |
| Oct. 12, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an October 4, 2018, meeting with representatives of Fidelity Investments |
| Oct. 4, 2018 | Memorandum from the Office of Commissioner Elad Roisman regarding an October 4, 2018, meeting with representatives of BlackRock |
| Oct. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 3, 2018, meeting with representatives of ProShares |
| Oct. 3, 2018 | Memorandum from the Office of the Chairman regarding a September 26, 2018, meeting with representatives of State Street Global Advisors |
| Oct. 2, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an October 1, 2018, meeting with representatives of ProShares |
| Sep. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 26, 2018, meeting with representatives of State Street |
| Sep. 27, 2018 | Memorandum from the Office of Commissioner Elad Roisman regarding a September 26, 2018, meeting with representatives of State Street Financial Services Inc. |
| Sep. 21, 2018 | Memorandum from the Division of Investment Management regarding a September 21, 2018, meeting with representatives of BlackRock Inc. |
| Aug. 30, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 24, 2018, meeting with representatives of Jane Street |
| Aug. 23, 2018 | Memorandum from the Division of Investment Management regarding an August 23, 2018, meeting with representatives of the Deutsche Bank Securities Inc. and DWS Group ("Deutsche Bank") |
| Aug. 3, 2018 | Memorandum from the Division of Investment Management regarding an August 3, 2018, meeting with representatives of the Subcommittee on Investment Companies and
Investment Advisers of the Committee on Federal Regulation of Securities of the
American Bar Association’s Business Law Section |
| Aug. 1, 2018 | Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of NASDAQ |
| Jul. 26, 2018 | Memorandum from the Division of Investment Management regarding a July 25, 2018, meeting with representatives of Fidelity Investments |
| Jul. 17, 2018 | Memorandum from the Division of Investment Management regarding a July 16, 2018, meeting with representatives of Invesco Ltd. |
