(Click here for meetings with SEC officials)
(Click here for SEC Staff Studies and Reports)
|
| Dec. 18, 2018 | Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc. |
| Oct. 4, 2018 | Adrian Griffiths, Assistant General Counsel, Cboe Global Markets |
| Jan. 12, 2018 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Jan. 12, 2018 | Joanne Moffic-Silver, Executive Vice President, General Counsel and Corp, Cboe Global Markets, Inc. |
| Jan. 3, 2018 | Joanne Moffic-Silver, Executive Vice President, General Counsel, Cboe Global Markets, Inc. |
| Dec. 21, 2017 | Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc. |
| Dec. 8, 2017 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Nov. 3, 2017 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Oct. 11, 2017 | Joanne Moffic-Silver, Executive Vice President, General Counsel, and Corporate Secretary, Bats Global Markets, Inc., a CBOE Company |
| Sep. 18, 2017 | Edward S. Knight, Executive Vice President and General Counsel, Nasdaq, Inc. |
| Sep. 12, 2017 | Gabrielle Rabinovitch, VP, Investor Relations, PayPal Holdings, Inc. |
| Aug. 18, 2017 | Sarah A. O'Dowd, Senior Vice President, Chief Legal Officer & Secretary, Lam Research Corporation |
| Aug. 18, 2017 | Donald Bollerman |
| Aug. 18, 2017 | Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Aug. 17, 2017 | Patrick L. Donnelly, Executive Vice President & General Counsel, Sirius XMHoldings Inc. |
| Aug. 17, 2017 | Mike Gregoire, CEO, CA Technologies |
| Aug. 17, 2017 | Cameron Bready, Senior Executive VP, Chief Financial Officer, Global Payments Inc. |
| Aug. 17, 2017 | Ari M. Rubenstein, Co-Founder and Chief Executive Officer, GTS Securities, LLC |
| Aug. 17, 2017 | Theodore Jenkins, Senior Director, Investor Relations and Communications, Corbus Pharmaceuticals, Inc. |
| Aug. 16, 2017 | Steve Paladino, Executive Vice President and Chief Financial Officer, Henry Schein, Inc. |
| Aug. 15, 2017 | Raiford Garrabrant, Director, Investor Relations, Cree, Inc. |
| Aug. 15, 2017 | William A. Backus, Chief Financial Officer and Treasurer, Balchem Corporation |
| Aug. 11, 2017 | Barry Zwarenstein, Chief Financial Officer, Five9, Inc. |
| Aug. 11, 2017 | Micheal J. Chewens, Senior Vice President and Chief Financial Officer, NBT Bancorp Inc. |
| Aug. 9, 2017 | Reps. Sean P. Duffy and Gregory W. Meeks, Members of Congress |
| Aug. 9, 2017 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Aug. 3, 2017 | Charles Beck, Chief Financial Officer, Digimarc Corporation |
| Aug. 3, 2017 | David M. Weisberger, Head of Equities, ViableMkts |
| Aug. 2, 2017 | Joanne Moffic-Silver, Executive Vice President, General Counsel, and Corporate Secretary, Bats Global Markets, Inc. |
| Jul. 31, 2017 | Peter Campbell, Chief Financial Officer, Mimecast Limited |
| Jul. 31, 2017 | Jon Stonehouse, CEO, and Tom Staab, CFO, BioCryst Pharmaceuticals, Inc. |
| Jul. 30, 2017 | James J. Angel, Associate Professor, McDonough School of Business, Georgetown University |
| Jul. 26, 2017 | Jeff Green, Founder, Chief Executive Officer and Chairman of the Board of Directors, The Trade Desk Inc. |
| Jul. 24, 2017 | M. Farooq Kathwari, Chairman, President and CEO, Ethan Allen Interiors, Inc. |
| Jul. 19, 2017 | John L. Killea, Chief Legal Officer, Stewart Information Services |
| Jul. 18, 2017 | Alexander J. Matturri, CEO, SP Dow Jones Indices |
| Jul. 14, 2017 | Mickey Foster, Vice President, Investor Relations, FedEx Corporation |
| Jul. 14, 2017 | Sally J. Curley, Senior Vice President, Investor Relations, Cardinal Health, Inc. |
| Jul. 15, 2017 | Christopher A. Iacovella, Chief Executive Officer, Equity Dealers of America |
| Jul. 12, 2017 | Rob Bernshteyn, Chief Executive Officer, Chairm Board of Directors, Coupa Software Inc. |
| Jul. 12, 2017 | Jon R. Moeller, Vice Chair and Chief Financial Officer, and Deborah J. Majoras, Vice Chair and Chief Financial Officer, The Procter & Gamble Company |
| Jul. 12, 2017 | Mark A. Stegeman, Senior Vice President & CFO, Turning Point Brands, Inc. |
| Jul. 7, 2017 | David L. Dragics, Senior Vice President, Investor Relations, CACI International Inc. |
| Jul. 7, 2017 | Mehmet Kinak, Head of Global Equity Market Structure & Electroni, et al., T. Rowe Price Associates, Inc. |
| Jul. 6, 2017 | Cole Stevens, Investor Relations Associate, Nobilis Health |
| Jul. 5, 2017 | Daniel S. Tucker, Senior Vice President and Treasurer, Southern Company |
| Jun. 30, 2017 | Andrew Stevens, General Counsel, IMC Financial Markets |
| Jun. 29, 2017 | Robert F. McCadden, Executive Vice President and Chief Financial Officer, Pennsylvania Real Estate Investment Trust |
| Jun. 29, 2017 | Steven C. Lilly, Chief Financial Officer, Triangle Capital Corporation |
| Jun. 29, 2017 | Sherri Brillon, Executive Vice-President & Chief Financial Officer, Encana Corporation |
| Jun. 28, 2017 | Kieran O'Sullivan, Chairman, President and CEO, CTS Corporation |
| Jun. 27, 2017 | Joanne Freiberger, Vice president, Treasurer, Masonite International Corporation |
| Jun. 27, 2017 | David B. Griffith, Investor Relations Manager, Orion Group Holdings, Inc. |
| Jun. 27, 2017 | Jay S. Sidhu, Chairman, Chief Executive Officer, Customers Bancorp, Inc. |
| Jun. 23, 2017 | John Ramsay, Chief Market Policy Officer, Investors Exchange LLC |
| Jun. 22, 2017 | Ari M. Rubenstein, Co-Founder and Chief Executive Officer, GTS Securities LLC |
| Jun. 16, 2017 | Fady Tanios, Chief Executive Officer, and Brian Fraioli, Compliance Officer, Americas Executions, LLC |
| Jun. 16, 2017 | Jonathan D. Corpina, Senior Managing Partner, Meridian Equity Partners |
| Jun. 14, 2017 | John M. Bowers, Bowers Securities |
| Jun. 13, 2017 | Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Jun. 13, 2017 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Jun. 12, 2017 | Venu Palaparthi, SVP, Compliance, Regulatory and Government Affairs, Virtu Financial |
| Jun. 12, 2017 | Ray Ross, Chief Technology Officer, Clearpool Group |
| Jun. 12, 2017 | Edward S. Knight, Executive Vice President and General Counsel, Nasdaq, Inc. |
| Jun. 6, 2017 | Donald K. Ross, Jr., Executive Chairman, PDQ Enterprises, LLC |
SEC Staff Studies and Reports
(Click here for submitted comments from the public)
|
| Dec. 1, 2017 |
Memorandum from the Division of Economic and Risk Analysis |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Jan. 12, 2018 | Memorandum from the Office of Commissioner Kara Stein regarding a January 10, 2018, meeting with representatives of NASDAQ |
| Jan. 5, 2018 | Memorandum from the Division of Trading and Markets regarding a January 5, 2018, conference call with representatives of Nasdaq |
| Dec. 22, 2017 | Memorandum from the Division of Trading and Markets regarding a December 21, 2017, meeting with representatives of Cboe Global Markets |
| Nov. 3, 2017 | Memorandum from the Division of Trading and Markets regarding a November 3, 2017, meeting with representatives of Cboe Global Markets |
| Oct. 25, 2017 | Memorandum from the Division of Trading and Markets regarding an October 25, 2017, meeting with representatives of Nasdaq |
| Oct. 11, 2017 | Memorandum from the Division of Trading and Markets regarding an October 11, 2017, meeting with representatives of Nasdaq |
| Aug. 17, 2017 | Memorandum from the Office of the Chairman regarding an August 16, 2017, meeting with representatives of CBOE |
| Aug. 17, 2017 | Memorandum from the Office of the Chairman regarding a July 20, 2017, meeting with representatives of GTS Securities LLC |
| Aug. 17, 2017 | Memorandum from the Office of the Chairman regarding a June 28, 2017, meeting with representatives of GTS Securities LLC |
| Aug. 9, 2017 | Memorandum from the Division of Trading and Markets regarding an August 9, 2017, conference call with representatives of Bats Global Markets, Inc. |
| Aug. 8, 2017 | Memorandum from the Division of Trading and Markets regarding an August 8, 2017, meeting with representatives of Global Trading Systems |
