(Click here for meetings with SEC officials)
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| Oct. 25, 2023 | Kosha Dalal, Vice President, Associate General Counsel, Office of General Counsel, FINRA |
| Aug. 29, 2023 | Scott C. Kursman, Managing Director and Chief Compliance Officer, Citigroup Global Markets, Inc. |
| Aug. 29, 2023 | Jim McHale, Executive Vice President, Head of WIM Compliance and Peter Macchio, Executive Vice President, Head of CIB Compliance, Wells Fargo |
| Aug. 29, 2023 | Tara Gilchrist, SVP, Head of Branch Exams, LPL Financial |
| Aug. 29, 2023 | Jessica Giroux |
| Aug. 29, 2023 | Gail Merken, Chief Compliance Officer, Janet Dyer, Chief
Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments |
| Aug. 29, 2023 | Sarah Kwak, Associate General Counsel, FINRA |
| Aug. 29, 2023 | Andrew Hartnett, NASAA President and Deputy Commissioner, North American Securities Administrators Association |
| Aug. 28, 2023 | Hugh D. Berkson, President, Public Investors Advocate Bar Association |
| Aug. 28, 2023 | Gavin Lucca,
Manager, Branch Audit, Commonwealth Financial Network |
| Aug. 17, 2023 | Dee O'Neill, SVP, Head of Branch Examinations, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. |
| Aug. 16, 2023 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| May 25, 2023 | Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association |
| May 25, 2023 | Mark Quinn, Director of Regulatory Affrairs, Cetera Financial Group |
| May 25, 2023 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division |
| May 25, 2023 | Eversheds Sutherland LLP for the Committee of Annuity Insurers |
| May 26, 2023 | Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry Financial Markets Association |
| May 25, 2023 | Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments |
| May 25, 2023 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| May 25, 2023 | Barbara Armeli, Managing Director, Chief Compliance Officer,
Charles Schwab & Co., Inc. and Lynn Konop, Managing Director, Chief Compliance Officer, TD Ameritrade, Inc. |
| May 25, 2023 | Mark Segginger, Chief Compliance Officer, LPL Financial |
| May 24, 2023 | Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group |
| May 24, 2023 | Hugh Berkson, President, Public Investors Advocate Bar Association |
| May 23, 2023 | Dee O'Neill, SVP, Head of Branch Examinations, Raymond James & Associates, Inc., Raymond James Financial Services, Inc. |
| May 9, 2023 | Anonymous |
Meetings with SEC Officials
(Submitted Comments )
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| Nov. 21, 2023 | Memorandum from the Office of the Investor Advocate regarding a November 15, 2023, virtual meeting with representatives of the XML Financial Group |
| Oct. 26, 2023 | Memorandum from the Office of the Chair regarding an October 25, 2023 meeting with representatives of the North American Securities Administrators Association |
| Oct. 25, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 25, 2023 meeting with North American Securities Administrators Association |
| Oct. 20, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 20, 2023 meeting with representatives of SIFMA |
| Oct. 19, 2023 | 1Memorandum from the Office of the Investor Advocate regarding an 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 the North American Securities Administrators Association |
| Jun. 29, 2023 | Memorandum from the Division of Trading and Markets regarding a June 15, 2023
meeting with representatives of the Securities Industry and Financial Markets Association Private Client Services Committee |
