| May 1, 2020 | Robert Colby,
Executive Vice President & Chief Legal Officer, FINRA |
| Apr. 23, 2020 | Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE |
| Apr. 9, 2020 | John A. Zecca, Executive Vice President and Chief Legal Officer, Nasdaq, Inc. |
| Mar. 29, 2020 | Dan Jamieson |
| Mar. 20, 2020 | Kermit R. Kubitz |
| Mar. 4, 2020 | John Ramsay, Chief Market Policy Officer, Investors Exchange LLC |
| Mar. 3, 2020 | Christopher Solgan, VP, Senior Counsel, MIAX Exchange Group |
| Mar. 2, 2020 | Daniel Keegan, Head of North America Market Securities Services, Co-Head of Global Equities & Securities Services, Citigroup Global Markets Inc. |
| Feb. 28, 2020 | John L. Thornton, Co-Chair, Hal S. Scott, President, and R. Glenn Hubbard, Co-Chair; Committee on Capital Markets Regulation |
| Feb. 28, 2020 | Joe Wald, Chief Executive Officer, and Ray Ross, Chief Technology Officer; Clearpool Group |
| Feb. 28, 2020 | Ellen Greene, Managing Director, Equity & Options Market Structure, SIFMA |
| Feb. 28, 2020 | Michael Blasi, SVP, Enterprise Infrastructure, and Krista Ryan, VP, Associate General Counsel; Fidelity Investments |
| Feb. 28, 2020 | Jennifer W. Han, Associate General Counsel, Managed Funds Association, (MFA), and Adam Jacobs-Dean, Managing Director, Global Head of Markets Regulation, Alternative Investment Management Association (AIMA) |
| Feb. 28, 2020 | Rich Steiner, Head of Client Advocacy and Market Innovation, RBC Capital Markets, LLC |
| Feb. 28, 2020 | Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. |
| Feb. 28, 2020 | Anders Franzon, General Counsel, MEMX LLC |
| Feb. 28, 2020 | Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq Stock Market LLC |
| Feb. 28, 2020 | Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq Stock Market LLC |
| Feb. 28, 2020 | Patrick Sexton, EVP, General Counsel & Corporate Secretary, Cboe Global Markets, Inc. |
| Feb. 28, 2020 | Nathaniel N. Evarts, Managing Director, Head of Trading, Americas, et al., State Street Global Advisors |
| Feb. 28, 2020 | Jeffrey T. Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab Co. |
| Feb. 28, 2020 | Hubert De Jesus, Managing Director, Global Head of Market Structure, and Joanne Medero, Managing Director, Global Public Policy; BlackRock, Inc. |
| Feb. 28, 2020 | Lisa Mahon Lynch, Asc. Director, Global Trading, Wellington Management Company LLP |
| Feb. 28, 2020 | Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Feb. 27, 2020 | Allison Bishop, President, Proof Trading |
| Feb. 27, 2020 | Sherry Madera, Chief Industry & Government Affairs Officer, Refinitiv |
| Feb. 25, 2020 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| Feb. 24, 2020 | Joseph Kinahan, Managing Director, TD Ameritrade, Inc. |
| Feb. 24, 2020 | Mehmet Kinak, Vice President & Global Head of Systematic Trading & Market Structure, and Jonathan D. Siegel, Senior Legal Counsel; T. Rowe Price |
| Feb. 20, 2020 | Jeff Mahoney, General Counsel, The Council of Institutional Investors |
| Feb. 20, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Feb. 5, 2020 | Elizabeth K. King, Chief Regulatory Officer, ICE; and General Counsel and Corporate Secretary, NYSE |
| Feb. 4, 2020 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
Meetings with SEC Officials
(See submitted comments from the public)
|
| Oct. 30, 2024 | Memorandum from the Division of Trading and Markets regarding an October 28, 2024 telephone call with James P. Dombach, Davis Wright Tremaine LLP |
| Sep. 16, 2024 | Memorandum from the Division of Trading and Markets
regarding a September 16, 2024, telephone call with representatives of with MEMX LLC
|
| Jun. 11, 2024 | Memorandum from the Office of Market Supervision, Division of Trading and Markets, regarding a June 11, 2024, meeting with SIFMA and SIFMA members |
| Jan. 5, 2021 | Memorandum from the Office of Acting Chairman Roisman regarding a January 5, 2021, meeting with representatives from Data Boiler Technologies, LLC |
| Dec. 7, 2020 | Memorandum from the Division of Trading and Markets regarding a December 7, 2020, meeting with representatives from Data Boiler Technologies, LLC |
| Dec. 4, 2020 | Memorandum from the Division of Trading and Markets regarding a December 4, 2020, meeting with representatives from RBC and Other Equity Market Participants |
| Nov. 9, 2020 | Memorandum from the Division of Trading and Markets regarding a November 9, 2020, meeting with representatives from the Financial Industry Regulatory Authority |
| Nov. 5, 2020 | Memorandum from the Office of Market Supervisor, Division of Trading and Markets regarding a November 5, 2020, meeting with Representatives from the Investment Company Institute (“ICI”) |
| May 5, 2020 | Memorandum from the Office of Commissioner Roisman regarding a May 5, 2020, meeting with representatives of Healthy Markets Association |
| May 5, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regading a May 5, 2020 telephone call with representatives of Healthy Markets |
| May 5, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regading a May 4, 2020 telephone call with members of SIFMA |
| May 1, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce, regarding a May 1, 2020, telephone call with representatives of SIFMA |
| May 1, 2020 | Memorandum from the Division of Trading and Markets, regarding a May 1, 2020, meeting with representatives from FINRA |
| Apr. 2, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman, regarding a March 30, 2020, meeting with representatives of RBC and Buy Side |
| Mar. 30, 2020 | Memorandum from the Division of Trading and Markets regarding a March 11, 2020, call with the Equity Markets Advisory Committee of the Investment Company Institute |
| Mar. 9, 2020 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a February 4, 2020, meeting with market participants |
| Mar. 9, 2020 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a January 29, 2020, meeting with representatives of CBOE |
| Mar. 9, 2020 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a January 29, 2020, meeting with representatives of ICE and NYSE |
| Mar. 2, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 4, 2020, meeting with representatives of various market participants |
| Feb. 27, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 4, 2020, meeting with representatives from T. Rowe Price |
| Feb. 12, 2020 | Memorandum from the Office of the Chairman regarding a February 4, 2020, meeting with representatives from several equity market participants |
| Feb. 5, 2020 | Memorandum from the Office of Commissioner Commissioner Allison Herren Lee regarding a February 4, 2020, meeting with representatives from several equity market participants |
| Feb. 5, 2020 | Memorandum from the Division of Trading and Markets regarding a February 4, 2020, meeting with representatives from Charles Schwab & Co., Inc., Citigroup Inc., Fidelity Investments, Glenmede Investment Management LP, Ontario Teachers’ Pension Plan Board, Securities Traders Association, State Street Global Advisors, T. Rowe Price Group, Inc., TD Ameritrade, Inc., and Two Sigma Securities, LLC |
| Jan. 16, 2020 | Memorandum from the Division of Trading and Markets regarding a January 16, 2020, meeting with representatives of Investors Exchange LLC |
