|
|
| Dec. 12, 2019 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Dec. 10, 2019 | Ray Ross, Chief Technology Officer, Clearpool Group |
| Dec. 10, 2019 | Derrick Chan, Head of Equities Trading and Sales, Fidelity Capital Markets |
| Dec. 10, 2019 | Greg Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. |
| Dec. 10, 2019 | Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq |
| Dec. 10, 2019 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Dec. 10, 2019 | Dorothy M. Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Dec. 10, 2019 | Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets Inc. |
| Dec. 10, 2019 | Rich Steiner, Head of Client Advocacy and Market Innovation, RBC Capital Markets |
| Dec. 9, 2019 | Howard Kramer and James Dombach, Murphy & McGonigle; Robert B. Wilcox, Jr. and Chris L. Bollinger, Schiff Hardin LLP |
| Dec. 6, 2019 | Mark D. Epley, Executive Vice President & Managing Director, General Counsel, and Jennifer W. Han, Associate General Counsel; Managed Funds Association |
| Dec. 6, 2019 | Theodore D. Lazo, Managing Director, Associate General Counsel, SIFMA |
| Dec. 5, 2019 | Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors |
| Nov. 3, 2019 | Ruben Castro Medina, Student, Metropolitan State University of Denver |
Meetings with SEC Officials
|
| Dec. 17, 2019 | Memorandum from the Office of the Investor Advocate regarding a December 10, 2019, meeting with representatives of Healthy Markets Association |
| Oct. 28, 2019 | Memorandum from the Office of the Chairman regarding an October 28, 2019, meeting with representatives of the Managed Funds Association |
| Oct. 3, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 3, 2019, meeting with representatives of Nasdaq |
