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Comments on Proposed Rule: Money Market Fund Reform; Amendments to Form PF

[Release Nos. 33-9408, IA-3616, IC-30551; File No. S7-03-13]


Comments have been received from individuals and entities using the following Letter Type A: 1,163
Comments have been received from individuals and entities using the following Letter Type B: 39
Comments have been received from individuals and entities using the following Letter Type C: 4
Comments have been received from individuals and entities using the following Letter Type D: 4
Comments have been received from individuals and entities using the following Letter Type E: 4
Comments have been received from individuals and entities using the following Letter Type F: 13

Submitted Comments

(Click here for meetings with SEC officials)
Apr. 8, 2014 Hester Peirce, Senior Research Fellow, and Robert Greene, Project Coordinator, The Mercatus Center at George Mason University, Arlington, Virginia
Apr. 4, 2014 David F. Freeman, Jr., Arnold & Porter LLP, on behalf of Federated Investors, Inc.
Mar. 31, 2014 Anthony J. Carfang and Cathryn R. Gregg, Treasury Strategies
Mar. 28, 2014 Robert P. Casey. Jr., United States Senator, et al.
Mar. 28, 2014 Peter J. Wallison, Senior Fellow, AEI, Washington, District of Columbia
Mar. 28, 2014 Peter J. Germain, Federated Investors
Mar. 26, 2014 Bob Fauteux
Mar. 17, 2014 Memorandum from the Division of Economic and Risk Analysis regarding Demand and Supply of Safe Assets in the Economy
Mar. 17, 2014 Memorandum from the Division of Economic and Risk Analysis regarding Municipal Money Market Funds Exposure to Parents of Guarantors
Mar. 17, 2014 Memorandum from the Division of Economic and Risk Analysis regarding Government Money Market Fund Exposure to Non-Government Securities
Mar. 17, 2014 Memorandum from the Division of Economic and Risk Analysis regarding Liquidity Cost During Crisis Periods
Mar. 14, 2014 Melanie L. Fein, Fein Law Offices, District of Columbia
Mar. 5, 2014 J. Charles Cardona, Jr., President, The Dreyfus Corporation, New York, New York
Jan. 24, 2014 Craig M. Lewis, The Economic Implications of Money Market Fund Capital Buffers
Dec. 3, 2013 Senator Jeanne Shaheen, et al., Congress of the United States
Nov. 22, 2013 Stephen A. Keen, Reed Smith LLP
Nov. 21, 2013 John D. Hawke, Jr., Arnold and Porter, LLP on behalf of Federated Investors, Inc., Washington, District of Columbia
Nov. 17, 2013 Kathryn Kerle
Nov. 17, 2013 Jeffrey N. Gordon, Professor of Law, Columbia Law School , New York, New York
Nov. 13, 2013 Melanie Fein, Fein Law Offices, District of Columbia
Nov. 12, 2013 John D. Hawke, Jr., Arnold and Porter, LLP on behalf of Federated Investors, Inc., Washington, District of Columbia
Nov. 6, 2013 John W. McGonigle, Vice Chairman, Federated Investors, Inc., Pittsburgh, Pennsylvania
Nov. 5, 2013 John D. Hawke, Jr., Arnold and Porter, LLP on behalf of Federated Investors, Inc., Washington, District of Columbia
Nov. 4, 2013 Jon Lyons, Lyons & Bolek LLP
Oct. 31, 2013 BlackRock, Inc., Fidelity Investments, Invesco Ltd., Legg Mason & Co, LLC and Western Asset Management Company, Northern Trust Corporation, T. Rowe Price Associates, Inc., Vanguard and Wells Fargo Funds Management, LLC
Oct. 29, 2013 James D. Plummer, Vice President for Finance, University of Cincinnati
Oct. 28, 2013 Tom Reed, et al., Members of Congress
Oct. 11, 2013 Melissa Autry, CMC, Clerk of Council, City of Cincinnati
Oct. 4, 2013 Margaret Wood Hassan, Governor of New Hampshire
Oct. 4, 2013 Anthony J. Carfang, Cathryn R. Gregg, Paul LaRock, and Steven Wiley, TreasuryStrategies, Inc.
Oct. 3, 2013 Drew B. Winters, PhD, Texas Tech University, Lubbock, Texas
Oct. 1, 2013 William J. Farrell, Executive Vice President, M&T Bank Corporation
Sep. 30, 2013 Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, American Bar Association
Sep. 24, 2013 Kathryn L. Quirk, Chair, Committee on Investment Management Regulation, New York City Bar
Sep. 24, 2013 Stephanie D. Neely, Treasurer, City of Chicago, Illinois
Sep. 23, 2013 Linda M. Balzotti, Mayor, Brockton, Massachusetts
Sep. 21, 2013 Dorothy B. Sherry
Sep. 19, 2013 Jesse Hill, Government and Regulatory Relations, Edward Jones
Sep. 19, 2013 Janet Cowell, Treasurer of North Carolina
Sep. 19, 2013 Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute
Sep. 19, 2013 Jorge H. Coloma, Managing Director, TCG Financial Services LLC
Sep. 18, 2013 Stephen C. Hooley, Chief Executive Officer and President, DST Systems, Inc., Kansas City, Missouri
Sep. 18, 2013 Steven Grossman, State Treasurer and Receiver General, Boston, Massachusetts
Sep. 18, 2013 Edward P. Cernocky, Houston, Texas
Sep. 17, 2013 Dennis M. Kelleher, President & CEO; Stephen Hall, Securities Specialist; and Katelynn Bradley, Attorney; Better Markets, Inc.
Sep. 17, 2013 Spectrem Group
Sep. 17, 2013 Thomas P. Koch, Mayor, Quincy, Massachusetts
Sep. 17, 2013 Lu Ann S. Katz, Head of Global Liquidity, Invesco Ltd.
Sep. 17, 2013 Cathy Santoro
Sep. 17, 2013 David Hirschmann, CEO, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce, Washington, District of Columbia
Sep. 17, 2013 Ari Gabinet, General Counsel, OppenheimerFunds, New York, New York
Sep. 17, 2013 James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania
Sep. 17, 2013 Americans for Financial Reform
Sep. 17, 2013 Peter G. Crane, President, Crane Data, Westborough, Massachusetts
Sep. 17, 2013 John D. Hawke, Jr., Arnold and Porter LLP on behalf of Federated Investors, Washington, District of Columbia
Sep. 17, 2013 Jeffery Flynn, TRACs Financial / The Institute of Public Investment Management, La Quinta, California
Sep. 17, 2013 Manju Ganeriwala, Virginia Department of the Treasury, Richmond, Virginia
Sep. 17, 2013 Noreen Roche-Carter, Chair, Tax & Finance Task Force, Large Public Power Council, Sacramento, California
Sep. 17, 2013 Mary Beth Rhoden Albaneze, Secretary and Chief Legal Officer, Russell Investment Company,
Sep. 17, 2013 Dustin T. McDonald, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
Sep. 17, 2013 Jonathan Curry, Global Chief Investment Officer, Liquidity, and Chris Cheetham, Global Chief Investment Officer, HSBC Global Asset Management
Sep. 17, 2013 Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Sep. 17, 2013 Deval L. Patrick, Governor, Commonwealth of Massachusetts
Sep. 17, 2013 Denise L. Nappier, Treasurer, State of Connecticut, Hartford, Connecticut
Sep. 17, 2013 William A. Chapman, Board President, Texas Short Term Asset Reserve Program
Sep. 17, 2013 Manisha Kimmel, Executive Director, Financial Information Forum
Sep. 17, 2013 Joe Benevento, Managing Director; Joe Sarbinowski, Managing Director; and Kevin Bannerton, Managing Director; Deutsche Investment Management Americas Inc.
Sep. 17, 2013 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Sep. 17, 2013 R. Glenn Hubbard, Co-Chair; John L. Thornton, Co-Chair; and Hal S. Scott, Director; Committee on Capital Markets Regulation
Sep. 17, 2013 Adam C. Dean, Managing Director, Square 1 Asset Management; Stefan A. Fencl, CFA, Director of Investment Strategy, Square 1 Asset Management; and Michael T. Nguyen, Director of Credit Risk & Research, Square 1 Asset Management
Sep. 17, 2013 Walt Lukken, President, Futures Industry Association, Washington, District of Columbia
Sep. 17, 2013 Edward Bernard, Director and Vice President, ofT. Rowe Price Associates, Inc. and Joseph Lynagh, Vice President, ofT. Rowe Price Associates, Inc.
Sep. 17, 2013 Steven Alan Bennett, Executive Vice President, General Counsel & Corporate Secretary
Sep. 17, 2013 Joseph J. Castiglia, Chairman of the Board of Trustees, Wilmington Funds
Sep. 17, 2013 Paul Schott Stevens, President and CEO, Investment Company Institute
Sep. 17, 2013 Timothy W. Cameron, Managing Director, SIFMA Asset Management Group; John Maurello, Managing Director, SIFMA Private Client Group; and Matthew J. Nevins, Managing Director and Associate General Counsel, SIFMA Asset Management Group
Sep. 17, 2013 Squam Lake Group
Sep. 17, 2013 Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Sep. 17, 2013 The County of San Diego Treasurer Tax Collector
Sep. 17, 2013 Thomas P. Hollowell, Independent Trustees of the The North Carolina Capital Management Trust
Sep. 17, 2013 James A. McNamara, Managing Director, President, Goldman Sachs Mutual Funds and David Fishman, Managing Director, Co-Head of Global Liquidity Management, Goldman Sachs Asset Management
Sep. 17, 2013 Tishaura O. Jones, Treasurer, City of St. Louis and Darlene Green, Comptroller, City of St. Louis
Sep. 17, 2013 Marty Margolis, Managing Director, PFM Asset Management LLC
Sep. 17, 2013 Richard Johns, Structured Finance Industry Group, Washington, District of Columbia
Sep. 17, 2013 Joan Ohlbaum Swirsky, Esquire, Stradley Ronon Stevens & Young, LLP
Sep. 17, 2013 Michael P. Lydon, CEO, Reich & Tang Asset Management, LLC
Sep. 17, 2013 Government Finance Officers Association, Dustin McDonald; International City/County Management Association, Beth Kellar; National Association of State Auditors, Comptrollers and Treasurers, Cornelia Chebinou; National Association of State Treasurers, Peter Barrett; National Association of Counties, Mike Belarmino; U.S. Conference of Mayors, Larry Jones; National League of Cities, Carolyn Coleman; American Public Power Association, John Godfrey; Council of Infrastructure Financing Authorities, Rick Farrell; National Association of Health and Educational Facilities Finance Authorities, Chuck Samuels; Airports Council International – North America, Annie Russo; and Large Public Power Council, Noreen Roche-Carter
Sep. 17, 2013 John W. McGonigle, Vice Chairman, Federated Investors, Inc., Pittsburgh
Sep. 17, 2013 Mira Stevovich, CFA, Vice President – Portfolio Mgr. and Sabrina Saxer, Vice President- Asst. Portfolio Mgr., Waddell & Reed Investment Management Company
Sep. 17, 2013 KPMG LLP
Sep. 17, 2013 Stephen E. Roth and Frederick R. Bellamy, Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers
Sep. 17, 2013 Dechert LLP
Sep. 17, 2013 Cecelia Calaby, Senior Vice President, Center of Securities Trusts & Investments, American Bankers Association
Sep. 17, 2013 Lew Minsky, Executive Director, Defined Contribution Institutional Investment Association (DCIIA), Washington, District of Columbia
Sep. 17, 2013 F. William McNabb III, Chairman and Chief Executive Officer, Vanguard
Sep. 17, 2013 Rose M. Oswald Poels, President/CEO, Wisconsin Bankers Association
Sep. 17, 2013 Phillip S. Gillespie, Executive Vice President and General Counsel, State Street Global Advisors
Sep. 17, 2013 Stefan M. Gavell, Executive Vice President and Head of Regulatory, Industry and Government Affairs, State Street Corporation
Sep. 17, 2013 Clarence E. Anthony, Executive Director, National League of Cities
Sep. 17, 2013 John D. Hawke, Jr., Arnold and Porter, LLP, Washington, District of Columbia
Sep. 17, 2013 David T. Bellaire, Esq, Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Sep. 17, 2013 Kathryn L. Hewitt, CPA, Treasurer, Harford County, Maryland, Bel Air, Maryland
Sep. 17, 2013 John W. Gerstmayr and Bryan Chegwidden, Ropes & Gray LLP
Sep. 17, 2013 John D. Perdue, Chairman, WV Board of Treasury Investments, Charleston, West Virginia
Sep. 17, 2013 Mark Hepsworth, President, Interactive Data Pricing and Reference Data, Bedford, Massachusetts
Sep. 17, 2013 John C. Cardona, President, The Dreyfus Corporation, New York, New York
Sep. 17, 2013 Robert Frenkel, Managing Director and General Counsel - Mutual Funds, Legg Mason and Co., LLC and Charles A. Tony) Ruys de Perez, General Counsel, Western Asset Management Company
Sep. 17, 2013 Russell W. Swansen, Chief Investment Officer, Thrivent Financial for Lutherans, Minneapolis, Minnesota
Sep. 17, 2013 John Walda, President and Chief Executive Officer, National Association of College and University Business Officers
Sep. 17, 2013 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Sep. 17, 2013 James P. Gilligan, CTP, Assistant Treasurer, Great Plains Energy, Inc., Chairman, Government Relations Committee, Association for Financial Professionals and James A. Kaitz, President and CEO, Association for Financial Professionals (AFP)
Sep. 17, 2013 Carol Deckbar, Executive Vice President and Chief Operating Officer, Asset Management, TIAA-CREF
Sep. 17, 2013 Adam C. Dean, CFA,Managing Director, Square 1 Asset Management; Stefan A. Fencl, CFA, Director of Investment Strategy, Square 1 Asset Management; and Michael T. Nguyen, Director of Credit Risk & Research, Square 1 Asset Management
Sep. 17, 2013 Deloitte & Touche LLP
Sep. 17, 2013 Hester Peirce, Senior Research Fellow, Mercatus Center at George Mason University and Robert Greene, Research Associate, Mercatus Center at George Mason University
Sep. 17, 2013 John T. Donohue, Chief Investment Officer and Head of Global Liquidity, J.P. Morgan Investment Management Inc.
Sep. 17, 2013 James B. Lewis, President, National Association of State Auditors, Comptrollers and Treasurers
Sep. 17, 2013 Christopher C. Finger, Executive Director, Applied Research, MSCI Inc.
Sep. 16, 2013 John J. Geraghty, Executive Vice President, SunTrust Bank
Sep. 16, 2013 Peter E. Madden, Chairman, Independent Trustees of the Federated Funds
Sep. 16, 2013 Joe Morgan, Chief Investment Officer, SVB Asset Management, Silicon Valley Bank
Sep. 16, 2013 James L. McIntire, State Treasurer, State of Washington
Sep. 16, 2013 Robert Sabatino, Managing Director, Head of US Taxable Money Markets, UBS Global Asset Management (Americas) Inc. and Keith A. Weller, Executive Director & Senior Associate General Counsel, UBS Global Asset Management (Americas) Inc.
Sep. 16, 2013 Scott C. Goebel, Senior Vice President and General Counsel, FMR Co., Fidelity Investments
Sep. 16, 2013 Karla M. Rabusch, President, Wells Fargo Funds Management, LLC
Sep. 16, 2013 John D. Hawke, Jr. on behalf of Federated Investors, Inc., Arnold and Porter, LLP
Sep. 16, 2013 Anchard Scott, Josh Snodgrass, Akshat Tewary, et al., Occupy the SEC
Sep. 16, 2013 Steve McCoy, State Treasurer, Georgia
Sep. 16, 2013 James E. Roselle, EVP, Associate General Counsel, The Northern Trust Company
Sep. 16, 2013 Lincoln D. Chafee, Governer, State of Rhode Island
Sep. 16, 2013 Beth Ford, Pima County Treasurer, Arizona Association of County Treasurer’s, President Elect
Sep. 16, 2013 PricewaterhouseCoopers LLP
Sep. 16, 2013 Samuel Hanson,Assistant Professor of Finance, Harvard Business School; David Scharfstein, Edmund Cogswell Converse Professor of Finance and Banking, Harvard Business School; and Adi Sunderam, Assistant Professor of Finance, Harvard Business School
Sep. 16, 2013 David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Sep. 16, 2013 Richard Paul, Chairman, AICPA FinREC and Rajan Chari, Chair, Money Market Fund Reform, Comment Letter Task Force
Sep. 16, 2013 Jos h M. Ulrey III, CEO, U.S. Bancorp Asset Management, Inc., President, First American Funds
Sep. 16, 2013 Lynn D. Dudley, Senior Vice President, Retirement and International Benefits Policy
Sep. 16, 2013 Deloitte & Touche LLP
Sep. 16, 2013 Randy Wood, Managing Director, iMoneyNet
Sep. 16, 2013 John C. Barber, KeyBank, NA
Sep. 16, 2013 Sheila Bair, The Systemic Risk Council
Sep. 16, 2013 John W. McGonigle, Vice Chairman, Federated Investors, Inc.
Sep. 16, 2013 Joseph S. Castellon, Treasurer and Secretary, Plan Investment Fund, Inc.
Sep. 16, 2013 John W. McGonigle, Vice Chairman, Federated Investors, Inc., Pittsburgh, Pennsylvania
Sep. 16, 2013 Larry H. Goldbrum, General Counsel, The SPARK Institute, Inc.
Sep. 13, 2013 I. Lee Chapman, IV, CEO & President, Davenport & Company LLC
Sep. 13, 2013 Robert A. Santella, President & Chief Executive Officer, Sungard Institutional Brokerage Inc.
Sep. 13, 2013 John D. Hawke, Jr., on behalf of Federated Investors, Inc., Arnold & Porter LLP
Sep. 13, 2013 John D. Hawke, Jr., on behalf of Federated Investors, Inc., Arnold & Porter LLP
Sep. 13, 2013 J. Huston McCulloch, Professor Emeritus, Economics and Finance, Ohio State University
Sep. 13, 2013 John Friedrich
Sep. 12, 2013 Shari Schapmire, President, California Association of County Treasurers and Tax Collectors
Sep. 12, 2013 Jeff Atwater, Chief Financial Officer, State of Florida
Sep. 12, 2013 Barry E. DuVal, President & CEO, Virginia Chamber of Commerce
Sep. 12, 2013 Anthony J. Carfang, Partner; Cathryn R. Gregg, Partner; Paul LaRock, Principal; and Steven Wiley, Manager; Treasury Strategies, Inc.
Sep. 12, 2013 Mayor Beth Van Duyne, Irving, Texas, et al.
Sep. 12, 2013 Airgas, Inc., et al.
Sep. 12, 2013 Barbara G. Novick, Vice Chairman, and Richard K. Hoerner, CFA, Managing Director, Head of Global Cash Management, BlackRock, New York, New York
Sep. 12, 2013 Craig Adamson
Sep. 12, 2013 Eric S. Rosengren, President, Federal Reserve Bank of Boston, et al.
Sep. 12, 2013 Ernst & Young LLP
Sep. 12, 2013 Marie Chandoha, President, Charles Schwab Investment Management
Sep. 11, 2013 John D. Hawke, Jr., Arnold and Porter, LLP on behalf of Federated Investors, Washington, District of Columbia
Sep. 10, 2013 Melanie L. Fein, Fein Law Offices, District of Columbia
Sep. 10, 2013 Maurine Day, Executive Director, Government Investment Officers Association, et al.
Sep. 10, 2013 Albert R. Gamper, Jr., Chairman of the Independent Trustees, The Fidelity Fixed-Income and Asset Allocation Funds, Boston, Massachusetts
Sep. 10, 2013 Brian Smith
Sep. 10, 2013 George Blumel
Sep. 9, 2013 David Dohnalek, Vice President of Finance & Treasurer, The Boeing Company
Sep. 9, 2013 William Burns
Sep. 9, 2013 Nadine Refsell
Sep. 9, 2013 Geoffrey C. Beckwith, Executive Director, Massachusetts Municipal Association
Sep. 9, 2013 Myrna L. Grigsby
Sep. 6, 2013 Catherine A. Provencher, New Hampshire State Treasurer
Sep. 6, 2013 Thomas R. Horgan, President and CEO, New Hampshire College & University Council
Sep. 6, 2013 John W. Thurber, Division Manager, Finance, Omaha Public Power District
Sep. 6, 2013 Ryan Barrow, Secretary to the State Investment Commission, Commonwealth of Kentucky
Sep. 6, 2013 John D. Hawke, Jr., Arnold and Porter, LLP on behalf of Federated Investors, Washington, District of Columbia
Sep. 5, 2013 David Merkel, CFA, Principal, Aleph Investments, LLC, Ellicott City, Maryland
Sep. 3, 2013 Lance Pan, CFA, Director of Investment Research and Strategy, Capital Advisors Group, Newton, Massachusetts
Sep. 3, 2013 Helen Pantazakos, Operations & Compliance Director, Lexington, Kentucky
Sep. 2, 2013 Whitney Sisson, SVP, Cumberland Valley National Bank & Trust
Sep. 1, 2013 Jane Augustus
Aug. 30, 2013 Tom P. Garst, Vice President and Investment Manager, Home Federal Bank of Tennessee
Aug. 29, 2013 Artie Green, CFP, Palo Alto, California
Aug. 28, 2013 R. Bruce Alderman II, President & CEO, Chapin Davis Inc.
Aug. 28, 2013 William G. Dressel, Jr., Executive Director, New Jersey League of Municipalities
Aug. 28, 2013 DeWitt Peart
Aug. 28, 2013 Bruce Runciman, Senior Vice President, Axiom SL
Aug. 27, 2013 Gina M. Raimondo, General Treasurer, State of Rhode Island
Aug. 27, 2013 Chris Barnard, Germany
Aug. 26, 2013 Richard K. Ellis, Utah State Treasurer
Aug. 26, 2013 Jane E. Coffey, CFP®, CTFA, Vice President - Trust, TheBANK of Edwardsville, Edwardsville, Illinois
Aug. 23, 2013 R. Mark Keener
Aug. 23, 2013 Michael A. Egenton, Senior Vice President, Government Relations, New Jersey State Chamber of Commerce
Aug. 22, 2013 John White, Director of Public Policy, The Greater Durham Chamber of Commerce, Durham, North Carolina
Aug. 20, 2013 Daniel F. Anderson, CTFA, Senior Vice President, MainSource Bank
Aug. 20, 2013 Thomas B. Burkholder, Vice President & Trust Officer, Woodlands Bank
Aug. 19, 2013 Dustin McDonald, Government Finance Officers Association, et al.
Aug. 15, 2013 Darby A. McCarty, President and CEO, Smithville
Aug. 15, 2013 Winford Case, Florida
Aug. 9, 2013 Linda Pearson Vieser
Aug. 9, 2013 Lawrence S. York, Investment Advisor, Lexington, Kentucky
Aug. 8, 2013 Ira M. Shapiro, Owner, Ira M. Shapiro, L.L.C.
Aug. 8, 2013 Chad A. Harpole, Vice President, Government Affairs, Kentucky Chamber of Commerce
Aug. 8, 2013 Michael Gauding
Aug. 7, 2013 Stephen J. Acquario, Executive Director, New York State Association of Counties
Aug. 7, 2013 Robert A. Woeber
Aug. 7, 2013 Laird Hepburn
Aug. 7, 2013 Darren Bramen
Aug. 7, 2013 Richard Buchan
Aug. 6, 2013 Kathy Smith, United Bank, Inc., Charleston, West Virginia
Aug. 2, 2013 Andrew B. Patterson, Senior Vice President, Hefren-Tillotson, Inc.
Aug. 1, 2013 David Hirschmann, CEO, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce, Washington, District of Columbia
Jul. 31, 2013 Melinda Sartori, Executive Vice President & Division Manager, Chemung Canal Trust Company
Jul. 26, 2013 Gregg Murphey, Global Treasury Manager, Novelis, CTP, Atlanta, Georgia
Jul. 25, 2013 Linda Budge, AICP, Mayor, City of Rancho Cordova, California
Jul. 25, 2013 Institutional Cash Distributors, LLC, San Francisco, California
Jul. 24, 2013 Raleigh Mayor Nancy McFarlane, Chair, and Huntersville Mayor Jill Swain, Vice-Chair, N.C. Metropolitan Mayors Coalition
Jul. 23, 2013 Henry J. Bilyk, Senior Vice President, Farmers Trust Company
Jul. 20, 2013 Maneesh Pangasa, Yuma, Arizona
Jul. 19, 2013 Myra Page
Jul. 18, 2013 Scott Smith, President, United States Conference of Mayors
Jul. 18, 2013 Mary N. Covington, CTP, Administrator, Cash Management Services, Cleco Corporation
Jul. 16, 2013 Joseph Ratto, Newbury Park, California
Jul. 10, 2013 Michael K. Karry
Jul. 9, 2013 John Sklar
Jul. 2, 2013 Association for Financial Professionals, Financial Executives International’s Committee on Corporate Treasury, National Association of Corporate Treasurers, National Association of Manufacturers, National Retail Federation, Retail Industry Leaders Association, and U.S. Chamber of Commerce
Jun. 29, 2013 Susanne Lomatch
Jun. 27, 2013 John Chang
Jun. 27, 2013 Richard B. Peters, Oakland, California
Jun. 25, 2013 Ralph S. Saul
Jun. 24, 2013 Milton Ryalls
Jun. 18, 2013 Gregory Ugwi, Strategist, ThinkNum, Newark, New Jersey
Jun. 17, 2013 Thomas Lupinacci, Arlington, Texas
Jun. 14, 2013 Robert Comment, Ph.D., Bethesda, Maryland
Jun. 6, 2013 BlackRock client letter submitted to SEC staff
Jun. 6, 2013 Mark Dempsey, Orangevale, California
Jun. 6, 2013 Harry Kluger, York Beach, Maine
Jun. 5, 2013 Peter Christensen, Alexandria, Virginia
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Apr. 4, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a March 14, 2014, meeting with representatives of HSBC
Mar. 26, 2014 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a March 26, 2014, meeting with representatives of BlackRock, Inc. and Rich Feuer Anderson
Mar. 26, 2014 Memorandum from the Division of Investment Management regarding a March 26, 2014, meeting with representatives of BlackRock, Inc.
Mar. 20, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 20, 2014, meeting with representatives of the National Association of State Treasurers
Mar. 20, 2014 Memorandum from the Office of the Chair regarding a March 14, 2014, meeting with representatives of Fidelity Investments
Mar. 14, 2014 Memorandum from the Office of Commissioner Daniel M. Gallagher a March 14, 2014, meeting with representatives of Fidelity Investments
Mar. 14, 2014 Memorandum from the Office of Commissioner Daniel M. Gallagher a March 14, 2014, meeting with representatives of HSBC
Mar. 14, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a March 14, 2014, meeting with representatives of Fidelity Investments
Mar. 14, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 14, 2014, meeting with representatives of Fidelity Investments
Mar. 11, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 11, 2014, telephone call with a representative of BlackRock, Inc.
Mar. 11, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 11, 2014, meeting with representatives of the Investment Company Institute
Mar. 11, 2014 Memorandum from the Division of Investment Management regarding a March 11, 2014, meeting with representatives of Federated Investors, Inc.
Feb. 20, 2014 Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a February 19, 2014, meeting with representatives of the Offices of Senator Edward Markey and Senator Elizabeth Warren
Feb. 20, 2014 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a February 4, 2014, meeting with representatives of the U.S. Chamber of Commerce, The Boeing Company, and United Parcel Service, Inc.
Feb. 20, 2014 Memorandum from the Division of Investment Management regarding a February 10, 2014, meeting with representatives of Bloomberg
Feb. 20, 2014 Memorandum from the Division of Investment Management regarding a February 19, 2014, meeting with representatives of the Government Finance Officers Association
Feb. 20, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a February 19, 2014, meeting with representatives of the National Association of State Treasurers
Feb. 6, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a February 6, 2014, meeting with representatives of The Boeing Company
Feb. 5, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a February 4, 2014, meeting with a representative of the U.S. Chamber of Commerce and Corporate Treasurers
Feb. 4, 2014 Memorandum from the Division of Investment Management regarding a February 4, 2014, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Jan. 31, 2014 Memorandum from the Office of the Chair regarding a January 26, 2014, meeting with representatives of the Corporate Directors Forum
Jan. 30, 2014 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a January 30, 2014, meeting with representatives of Goldman Sachs
Jan. 30, 2014 Memorandum from the Division of Investment Management regarding a January 30, 2014, meeting with representatives of Goldman Sachs
Jan. 30, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a January 30, 2014, meeting with representatives of Goldman Sachs
Jan. 30, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 30, 2014, meeting with representatives of Goldman Sachs
Jan. 28, 2014 Memorandum from the Division of Investment Management regarding a January 28, 2014, meeting with representatives of Fidelity
Jan. 27, 2014 Memorandum from the Division of Investment Management regarding a January 27, 2014, meeting with representatives of The Dreyfus Corporation
Jan. 8, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 8, 2014, meeting with representatives of Federated Investors, Inc.
Dec. 18, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a December 18, 2013, meeting with representatives of HSBC Global Asset Management
Dec. 18, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a December 18, 2013, meeting with representatives of HSBC Global Asset Management
Dec. 17, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a December 17, 2013, meeting with representatives of the Government Finance Officers Association
Dec. 17, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a December 17, 2013, meeting with a representative of Government Finance Officers Association
Dec. 3, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a December 3, 2013, meeting with a representative of Stroock & Stroock & Lavan LLP
Nov. 24, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a November 19, 2013, meeting with representatives of Federated Investors, Inc.
Nov. 20, 2013 Memorandum from the Office of the Chair regarding a November 19, 2013, meeting with a representative of Pew Charitable Trusts
Nov. 20, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 19, 2013, meeting with representatives of Federated Investors, Inc.
Nov. 19, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 19, 2013, meeting with representatives of Federated Investors, Inc.
Nov. 14, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 14, 2013, meeting with representatives of Goldman Sachs
Nov. 5, 2013 Memorandum from the Office of the Chair regarding a November 1, 2013, meeting with representatives of the Investment Company Institute
Nov. 4, 2013 Memorandum from the Office of Commissioner Kara Stein regarding an November 4, 2013, meeting with representatives of the Investment Company Institute
Nov. 4, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an November 4, 2013, meeting with representatives of the Investment Company Institute
Nov. 1, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding an November 1, 2013, meeting with representatives of the Investment Company Institute
Oct. 31, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding an October 30, 2013, meeting with representatives of BlackRock
Oct. 29, 2013 Memorandum from the Division of Investment Management regarding an October 29, 2013, meeting with representatives of Federated
Oct. 23, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 11, 2013, meeting with representatives of the American Bankers Association
Oct. 16, 2013 Memorandum from the Division of Investment Management regarding an October 16, 2013, meeting with representatives of BlackRock, Inc., Fidelity Investments, and Vanguard
Oct. 4, 2013 Memorandum from the Division of Investment Management regarding an October 4, 2013, meeting with representatives of Charles Schwab Investment Management, Inc. and Charles Schwab & Co., Inc.
Oct. 4, 2013 Memorandum from the Division of Investment Management regarding an October 2, 2013, meeting with a representative of CFA Institute
Oct. 3, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 3, 2013, meeting with representatives of Charles Schwab
Sep. 26, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 29, 2013, meeting with representatives of Federated Investors, Inc.
Sep. 26, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 25, 2013, meeting with representatives of BlackRock
Sep. 26, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 26, 2013, meeting with representatives of the National Association of Corporate Treasurers
Sep. 25, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 25, 2013, meeting with representatives of BlackRock
Sep. 18, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Sep. 16, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of SIFMA
Sep. 16, 2013 Memorandum from the Division of Investment Management regarding a September 10, 2013, meeting with representatives of the Structured Finance Industry Group
Sep. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Sep. 13, 2013 Memorandum from the Office of the Chairman regarding a September 5, 2013, meeting with representatives of USAA and Locke Lord LLP
Sep. 12, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 12, 2013, meeting with representatives of the American Bankers Association
Sep. 11, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 11, 2013, meeting with representatives of Fidelity
Sep. 9, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 5, 2013, meeting with representatives of USAA and Locke Lord LLP
Sep. 6, 2013 Memorandum from the Office of the Chairman regarding a September 3, 2013, meeting with representatives of Fidelity
Sep. 5, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a September 5, 2013, meeting with representatives of USAA and Locke Lord LLP
Sep. 5, 2013 Memorandum from the Division of Investment Management regarding a September 5, 2013, meeting with representatives of USAA and Locke Lord LLP
Sep. 5, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 5, 2013, meeting with representatives of USAA and Locke Lord LLP
Sep. 4, 2013 Memorandum from the Office of Commissioner Piwowar regarding a September 4, 2013, meeting with representatives of Fidelity
Sep. 4, 2013 Memorandum from the Office of the Chief Accountant regarding a September 4, 2013, meeting with representatives of the Financial Services Roundtable
Aug. 29, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding an August 29, 2013, meeting with representatives of Fidelity Investments
Aug. 27, 2013 Memorandum from the Division of Investment Management regarding an August 27, 2013, meeting with representatives of Fidelity
Aug. 16, 2013 Memorandum from the Division of Investment Management regarding an August 16, 2013, meeting with representatives of Fidelity
Aug. 14, 2013 Memorandum from the Division of Investment Management regarding an August 14, 2013, teleconference with representatives of the Investment Company Institute and Fidelity
Aug. 8, 2013 Memorandum from the Office of the Chairman regarding an August 6, 2013, meeting with a representative of Vanguard
Jul. 30, 2013 Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee
Jul. 29, 2013 Memorandum from the Division of Trading regarding a July 29, 2013 meeting with representatives of the Federal Reserve Bank of New York
Jul. 25, 2013 Clarification to Memorandum from the Division of Economic and Risk Analysis to the Office of the Chairman: The Exposure Money Market Funds Have to the Parents of Issuers
Jul. 15, 2013 Memorandum from the Office of the Chairman regarding a July 9, 2013 meeting with representatives of Fidelity
Jul. 11, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 9, 2013 meeting with representatives of the European Fund and Asset Management Association
Jul. 11, 2013 Memorandum from the Division of Investment Management regarding a July 9, 2013 meeting with representatives of the Albuquerque Chamber Of Commerce
Jul. 10, 2013 Memorandum from the Office of Commissioner Walter regarding a July 10, 2013 meeting with a representative of Vanguard
Jul. 10, 2013 Memorandum from the Division of Economic and Risk Analysis to the Office of the Chairman: The Exposure Money Market Funds Have to the Parents of Guarantors
Jul. 10, 2013 Memorandum from the Division of Economic and Risk Analysis to the Office of the Chairman: The Exposure Money Market Funds Have to the Parents of Issuers
Jun. 19, 2013 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of TD Ameritrade
Jun. 18, 2013 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Jun. 18, 2013 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA
Jun. 14, 2013 Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with a representative of the AFL-CIO
Jun. 11, 2013 Memorandum from the Office of the Chair regarding a June 7, 2013, meeting with a representative of Goldman Sachs
May 28, 2013 Memorandum from the Office of the Chairman regarding a May 24, 2013, meeting with representatives of the Systemic Risk Council

 

http://www.sec.gov/comments/s7-03-13/s70313.shtml

Modified: 04/17/2014