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(Click here for meetings with SEC officials)
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| Sep. 14, 2023 | Kosha Dalal, Vice President and Associate General Counsel,
Office of General Counsel, FINRA |
| Aug. 15, 2023 | Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association |
| Aug. 1, 2023 | Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association |
| Aug. 1, 2023 | Jim McHale, Executive Vice President, Head of WIM Compliance and Peter Macchio, Executive Vice President, Head of CIB Compliance |
| Aug. 1, 2023 | Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments |
| Aug. 1, 2023 | Mark Seffinger, Chief Compliance Officer, LPL Financial |
| Aug. 1, 2023 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| Jul. 31, 2023 | Hugh Berkson, President, Public Investors Advocate Bar Association |
| Jul. 30, 2023 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Jul. 29, 2023 | Jennifer Szaro, CRCP, Chief Compliance Officer, XML Securities, LLC, et al. |
| Jul. 26, 2023 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc. |
| Jul. 25, 2023 | Sarah Kwak, Associate General Counsel, Office of General Counsel, FINRA |
| Jul. 24, 2023 | Michael Friedman, Head of Broker Dealer, Albert Securities, LLC |
| Jul. 13, 2023 | Compliance Officer, SEB Securities, Inc., |
| May 25, 2023 | Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association |
| May 25, 2023 | Mark Segginger, Chief Compliance Officer, LPL Financial |
| Apr. 28, 2023 | Scott C. Kursman, Managing Director & Chief Compliance Officer, Citigroup Global Markets, Inc. |
| Apr. 27, 2023 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Apr. 27, 2023 | Eversheds Sutherland LLP |
| Apr. 27, 2023 | Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association |
| Apr. 27, 2023 | Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments; Janet Dyer, Chief Compliance Officer, National Financial Services LLC; and John McGinty, Chief Compliance Officer, Fidelity Distributors Company LLC |
| Apr. 27, 2023 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Apr. 27, 2023 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc. |
| Apr. 27, 2023 | Theresa J. Manderski, SVP, Chief Compliance Officer - BD, Davenport & Company LLC |
| Apr. 26, 2023 | Hugh Berkson, President, Public Investors Advocate Bar Association |
| Apr. 25, 2023 | Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group, MML Investors Services, LLC |
| Apr. 24, 2023 | James Rabenstine, Vice President, NISC and NSLLC Chief Compliance Officer, Nationwide Office of the Chief Legal Officer, Nationwide Financial Services, Inc. and Holly Butson, Chief Compliance Officer, Nationwide Fund Distributors, LLC, Nationwide Financial Services, Inc. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Nov. 21, 2023 | Memorandum from the Office of the Investor Advocate regarding a November 15, 2023, virtual meeting with representative of the XML Financial Group |
| Oct. 20, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 20, 2023 meeting with representatives of SIFMA |
| Oct. 19, 2023 | Memorandum from the Office of the Investor Advocate regarding a October 12, 2023 virtual meeting with representatives of LPL Financial |
| Aug. 16, 2023 | Memorandum from the Office Of the Investor Advocate regarding an August 10, 2023 virtual meeting with representatives of North American Securities Administrators Association |
| Jun. 6, 2023 | Memorandum from the Division of Trading and Markets regarding a May 31, 2023, meeting with representatives of NASAA |
