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(Click here for meetings with SEC officials)
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| Jul. 14, 2021 |
J. Brent Burkholder, CEO and Treasurer, N.I.S. Financial Services, Inc. |
| Apr. 24, 2018 | Henry Ward, Chief Executive Officer, Carta, Inc. |
| Nov. 23, 2016 | Eric T. Anderson, Pottsboro, Texas |
| Sep. 23, 2016 | Keith Paul Bishop, Former California Commissioner of Corporations, Trabuco Canyon, California |
| Aug. 19, 2016 |
Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones & Co., LP |
| Apr. 15, 2016 |
Niels Holch, Executive Director, Coalition of Mutual Fund Directors |
| Apr. 15, 2016 |
J. Steven Duncan, President, American Funds Service Company, et al. |
| Apr. 14, 2016 |
Paul Ellenbogen, Director, Board Consulting Services, and Scott Cooley, Director of Policy Research; Morningstar, Inc. |
| Apr. 14, 2016 |
Anne Sheehan, Director of Corporate Governance, California State Teachers’ Retirement System |
| Apr. 14, 2016 |
Cristeena Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investments, American Bankers Association, Washington, District of Columbia |
| Apr. 14, 2016 |
Stefan M. Gavell, Executive Vice President and Head of
Regulatory, Industry and Government Affairs, State Street Corporation |
| Apr. 14, 2016 |
Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA |
| Apr. 14, 2016 |
Erik S. Nelson, Coral Capital Partners, Inc., Atlanta, Georgia |
| Apr. 14, 2016 |
Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc. |
| Apr. 14, 2016 |
Marshal Shichtman, Esq., Marshal Shichtman & Associates, P.C. |
| Apr. 14, 2016 |
Tammy Virnig, Principal, Vanguard |
| Apr. 14, 2016 |
Niels Holch, Executive Director, Shareholder Communications Coalition |
| Apr. 14, 2016 |
Marco A. Santori, Pillsbury Winthrop Shaw Pittman LLP, on behalf of Symbiont, Inc. |
| Apr. 14, 2016 |
Martin J. McHale, Jr., President, U.S. Equity Services, Computershare Inc., President, Computershare Trust Company, N.A., et al. |
| Apr. 14, 2016 |
Campbell Pryde, President and CEO, XBRL US, Inc. |
| Apr. 14, 2016 |
Tim Rouse, Executive Director, SPARK Institute |
| Apr. 14, 2016 |
Daniel Thieke, Managing Director, General Manager Settlement and Asset Services, The Depository Trust and Clearing Corporation |
| Apr. 14, 2016 |
Erik S. Nelson, Mountain Share Transfer, LLC, Atlanta, Georgia |
| Apr. 14, 2016 |
Glenn Davis, Director of Research, Council of Institutional Investors |
| Apr. 14, 2016 |
Marisa Choy and Carmen Lu, Students, Yale Law School Financial Markets and Corporate Law Clinic, New Haven, Connecticut |
| Apr. 14, 2016 |
Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Apr. 14, 2016 |
Alvin Santiago, President, and Bernadette V. Maffei, Vice President, Shareholder Services Association |
| Apr. 14, 2016 |
Susan Ferris Wyderko, President, CEO, Mutual Fund Directors Forum, Washington, District of Columbia |
| Apr. 14, 2016 |
Brian H. Graff, Esq., APM, Executive Director/CEO, American Retirement Association, et al. |
| Apr. 13, 2016 |
Lori Livingston, CEO, Transfer Online, Portland, Oregon |
| Apr. 13, 2016 |
J. L. Zorab |
| Apr. 13, 2016 |
Stephen P. Norman, Chairman, Independent Steering Committee of Broadridge, Edgewood, New York |
| Apr. 13, 2016 |
Michael Manton, Head of Securities Information Center, Thomson Reuters |
| Apr. 13, 2016 |
William J. Speirs, President, Securities Transfer Association of Canada |
| Apr. 13, 2016 |
Charles V. Rossi, Chairman, Advisory Board, The Securities Transfer Association, Inc., Hazlet, New Jersey |
| Apr. 13, 2016 |
Carl T. Hagberg, Carl T. Hagberg and Associates, Jackson, New Jersey |
| Apr. 12, 2016 |
Kara Kennedy, Executive Director, ClearTrust, LLC |
| Apr. 12, 2016 |
Jeff Cook, Director of Regulatory Compliance, DST Systems, Inc. |
| Mar. 10, 2016 |
David Blass, General Counsel, Investment Company Institute |
| Mar. 1, 2016 |
Elliot Grossman, Managing Director, Dinosaur Financial Group, LLC |
| Feb. 29, 2016 |
Joshua A. Joyce, President and Arizona Department of Revenue, Unclaimed Property Administrator, et al.; National Association of Unclaimed Property Administrators (NAUPA) |
| Feb. 29, 2016 |
Michael J. Hogan, Esq., CEO and President, FOLIOfn Investments, Inc., McLean, Virginia |
| Feb. 26, 2016 |
Jack Sunday, Group Five LLC |
| Feb. 26, 2016 |
Kevin B. Halter, Jr., President, Securities Transfer Corporation |
| Feb. 26, 2016 |
Gary Retelny, President and CEO, Institutional Shareholder Services Inc. |
| Feb. 26, 2016 |
Erik S. Nelson, Mountain Share Transfer, LLC., Atlanta, Georgia |
| Feb. 10, 2016 |
Sullivan & Cromwell LLP |
| Feb. 1, 2016 |
Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA |
| Jan. 27, 2016 |
Alvin Santiago, President, Shareholder Services Association |
| Jan. 26, 2016 |
James P. Ferguson, Pleasant Dale |
| Jan. 22, 2016 |
Cristeena Naser, American Bankers Association, Vice President and Senior Counsel, Center for Securities, Trust & Investment, Washington, District of Columbia |
| Jan. 18, 2016 |
Brenda Hamilton, Esq., Hamilton & Associates Law Group |
| Jan. 15, 2016 |
Martin J. McHale, Jr., President, U.S. Equity Services, Computershare Inc. |
| Jan. 7, 2016 |
Richard Pickering |
| Jan. 7, 2016 |
Todd J. May, President, The Securities Transfer Association, Inc. |
| Dec. 28, 2015 |
Sharon E. Gardner, Tucson, Arizona |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| May 30, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 30, 2023, meeting with representatives of the Securities Transfer Association |
| Dec. 28, 2020 | Memorandum from the office of Commissioner Hester M. Peirce regarding a December 28, 2020 call with representatives of the Securities Transfer Association |
| Dec. 18, 2020 | Memorandum from the office of Commissioner Hester M. Peirce regarding a December 11, 2020 call with representatives of the Securities Transfer Association |
| May 22, 2020 |
Memorandum from the Office of Commissioner Hester Peirce regarding an April 30, 2020 telephone call with representatives of the Investment Company Institute |
| May 22, 2020 |
Memorandum from the Office of Commissioner Hester Peirce regarding a May 1, 2020 telephone call with representatives of the Securities Transfer Association |
| Oct. 18, 2016 |
Memorandum from the Division of Trading and Markets regarding an October 12, 2016 meeting with representatives of the Investment Company Institute
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| Sep. 12, 2016 |
Memorandum from the Division of Trading and Markets regarding a September 9, 2016 meeting with representatives of the Securities Transfer Association
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| May 11, 2016 |
Memorandum from the Division of Trading and Markets regarding an April 12, 2016 meeting with representatives of Seward & Kissel LLP
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| May 11, 2016 |
Memorandum regarding from the Division of Trading and Markets regarding a March 24, 2016 meeting with representatives of the American Bankers Association
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| May 3, 2016 |
Memorandum regarding from the Division of Trading and Markets regarding an April 4, 2016 meeting with representatives of Computershare
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| May 3, 2016 |
Memorandum regarding from the Division of Trading and Markets regarding a February 17, 2016 meeting with representatives of the Shareholders Services Association
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| May 3, 2016 |
Memorandum regarding from the Division of Trading and Markets regarding a March 15, 2016 meeting with representatives of the Securities Transfer Association
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