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(Click here for meetings with SEC officials)
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| Jun. 6, 2025 | Joseph Corcoran, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant
General Counsel, SIFMA |
| May 19, 2025 | Andy Kim, United States Senator, Jack Reed, United States Senator, Elizabeth Warren, Ranking Member, Committee on Banking, Housing, and Urban Affairs, and Chris Van Hollen, United States Senator |
| May 16, 2025 | Ty Finch |
| Apr. 28, 2025 | Howard Meyerson, Managing Director, Financial Information Forum |
| Apr. 24, 2025 | John A. Zecca, Executive Vice President, Global Chief Legal, Risk & Regulatory Officer, Nasdaq, and Patrick Sexton, Executive Vice President, General Counsel & Corporate Secretary, Cboe |
| Apr. 24, 2025 | Jaime Klima, General Counsel, New York Stock Exchange |
| Mar. 28, 2025 | Howard Meyerson, Managing Director, Financial Information Forum |
| Mar. 5, 2025 | Howard Meyerson, Managing Director, Financial Information Forum |
| Feb. 28, 2025 | Bill Hagerty, United States Senator; Barry Loudermilk, Member of Congress; French Hill, Chairman, House Committee on Financial Services; John Boozman, United States Senator; John Kennedy, United States Senator; Ann Wagner, Member of Congress; Bill Huizenga, Member of Congress; Tom Cotton, United States Senator; Tim Scott, Chairman, Senate Committee on Banking, Housing, and Urban Affairs |
| Feb. 14, 2025 | Ellen Greene, Managing Director, Equities & Options Market Structure, Securities Industry and Financial Markets Association and Joseph Corcoran, Managing Director, Associate General Counsel, Securities Industry and Financial Markets Association |
| Aug. 15, 2024 | Doris Tan |
| May 6, 2024 | Cheryl Paul |
| Aug. 30, 2022 | David A. |
| Aug. 4, 2021 | Anonymous |
| Jul. 6, 2021 | Brian Der Garabedian |
| Jul. 6, 2021 | Adam Poole, Engineer |
| Jul. 6, 2021 | Christopher David Campbell |
| Jul. 6, 2021 | Christopher J. Smith |
| Jul. 6, 2021 | F. Brandt |
| Jul. 6, 2021 | David M Diaz |
| Jul. 6, 2021 | Matthew Elmore |
| Jul. 5, 2021 | Rianna R. Vilaire, Retail Investor |
| Jul. 5, 2021 | Dan Heise, Licensed Insurance Producer |
| Jul. 5, 2021 | Greg Gurta |
| Jul. 5, 2021 | Justin F. |
| Jul. 5, 2021 | Jeremy Harper |
| Jul. 5, 2021 | Alan K. |
| Jul. 5, 2021 | Trenton Vogt |
| Jul. 5, 2021 | Anonymous |
| Jul. 5, 2021 | Rob Doherty |
| Sep. 25, 2018 | Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc. |
| Nov. 30, 2017 | William H. Hebert, Managing Director, Financial Information Forum |
| Nov. 13, 2017 | Michael Simon, Authorized Representative, CAT NMS, LLC |
| Oct. 23, 2017 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| May 8, 2017 | Bats Exchange, Inc., et al. |
| Nov. 14, 2016 | Bats Exchange, Inc., et al. |
| Nov. 2, 2016 | Bats Exchange, Inc., et al. |
| Oct. 14, 2016 | Rep. Scott Garrett, et al., Members of Congress |
| Oct. 7, 2016 | Bats Exchange, Inc., et al. |
| Sep. 23, 2016 | Bats Exchange, Inc., et al. |
| Sep. 2, 2016 | Bats Exchange, Inc., et al. |
| Aug. 12, 2016 | Anonymous |
| Jul. 25, 2016 | John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association |
| Jul. 21, 2016 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Jul. 21, 2016 | Joanne Moffic-Silver, Chicago Board Options Exchange, Chicago, Illinois |
| Jul. 20, 2016 | John McCarthy, General Counsel, KCG Holdings, Inc. |
| Jul. 20, 2016 | Industry Participants of the Development Advisory Group |
| Jul. 18, 2016 | Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc. |
| Jul. 18, 2016 | Bloomberg, L.P. |
| Jul. 18, 2016 | Mark Husler, CEO, UnaVista, and Jonathan Jachym, Head of North America Regulatory Strategy & Government Relations, London Stock Exchange Group, London, United Kingdom |
| July 18, 2016 | Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
| Jul. 18, 2016 | Mary Lou Von Kaenel, Managing Director, Financial Information Forum |
| Jul. 18, 2016 | Anonymous |
| Jul. 18, 2016 | Theodore R. Lazo, Managing Director and Associate General Counsel, and Ellen Greene, Managing Director, Financial Services Operations, SIFMA |
| Jul. 18, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
| Jul. 18, 2016 | Larry E. Thompson, Vice Chairman and General Counsel, DTCC, New York, New York |
| Jul. 18, 2016 | David W. Blass, General Counsel, Investment Company Institute , Washington, District of Columbia |
| Jul. 18, 2016 | Wachtel & Co. Inc. |
| Jul. 18, 2016 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jul. 18, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Jul. 15, 2016 | Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia |
| Jul. 15, 2016 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Jul. 14, 2016 | Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York |
| Jul. 12, 2016 | Kathleen Weiss Hanley, Bolton-Perella Chair in Finance, Lehigh University, and Jay R. Ritter, Joseph B. Cordell Eminent Scholar Chair, University of Florida |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| April 29, 2025 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 29, 2025 meeting with representatives of Consolidated Audit Trail ("CAT") LLC |
| Apr. 17, 2025 | Memorandum from the Office of Commissioner Hester Peirce regarding an April 17, 2025 meeting with representatives of JP Morgan |
| Nov. 10, 2016 | Memorandum from the Division of Trading and Markets regarding a November 10, 2016 meeting with representatives of Better Markets |
| Oct. 26, 2016 | Memorandum from the Division of Trading and Markets regarding an October 5, 2016, meeting with representatives of the Financial Information Forum |
| Oct. 12, 2016 | Memorandum from the Office of the Chair regarding an October 12, 2016, meeting with representatives of Better Markets |
| Oct. 12, 2016 | Memorandum from the Office of the Chair regarding an August 11, 2016, meeting with representatives of the New York Stock Exchange (NYSE) |
| Sep. 26, 2016 | Memorandum from the Office of the Chair regarding a September 26, 2016, meeting with representatives of the D.E. Shaw Group, Millennium Management LLC, Davidson Kempner Capital Management, and the Managed Funds Association |
| Sep. 13, 2016 | Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of Thomson Reuters and clients |
| Sep. 13, 2016 | Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Sep. 13, 2016 | Memorandum from the Division of Trading and Markets regarding a September 8, 2016 meeting with representatives of the Better Markets |
| Aug. 19, 2016 | Memorandum from the Division of Trading and Markets regarding an August 16, 2016 meeting with representatives of the Financial Services Roundtable |
| Aug. 19, 2016 | Memorandum from the Division of Trading and Markets regarding an August 15, 2016, meeting with representatives of FINRA |
| Aug. 1, 2016 | Memorandum from the Division of Trading and Markets regarding a July 26, 2016, meeting with representatives of the Financial Industry Regulatory Authority |
