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(Click here for meetings with SEC officials)
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Comments have been received from individuals and entities using the following Letter Type
A: 1,381
B: 2,884
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| Jul. 19, 2018 | Karen Telleen-Lawton, CFP, Principal, Decisive Path Fee-only Financial Advisory |
| Jul. 15, 2018 | Anita Schnee, Attorney |
| Apr. 23, 2018 | Robert Botkin, 2018 JD Candidate, Wake Forest University School of Law |
| Apr. 10, 2018 | Matthew Bodziak, Law Student, Georgetown University |
| Apr. 6, 2018 | James Allen, Head, Capital Markets Policy, CFA Institute Advocacy |
| Mar. 31, 2018 | Jared Lytton |
| Mar. 12, 2018 | Timothy D. Armour, Chairman and CEO, The Capital Group Companies, Inc., and Paul F. Roye, Senior Vice President, Capital Research and Management Company |
| Mar. 8, 2018 | Joseph M. Torsella, Pennsylvania State Treasurer, et al. |
| Feb. 22, 2018 | Michelle B. Oroschakoff, Managing Director, Chief Legal and Risk Officer, LPL Financial LLC |
| Feb. 21, 2018 | Knut A. Rostad, President, Institute for the Fiduciary Standard |
| Feb. 15, 2018 | Anthony Cheroso, President & CEO, Investment Program Association |
| Feb. 12, 2018 | Melanie L. Fein, Esquire, Fein Law Offices |
| Feb. 5, 2018 | William Michael Cunningham, Creative Investment Research |
| Feb. 5, 2018 | Paul Schott Stevens, President and CEO, Investment Company Institute |
| Feb. 5, 2018 | Paul C. Reilly, Chairman and CEO, Raymond James Financial |
| Jan. 26, 2018 | Knut A. Rostad, President, Institute for the Fiduciary Standard |
| Jan. 18, 2018 | Kent A. Mason, Davis & Harman LLP |
| Jan. 12, 2018 | Patti Houlihan, Chair, The Committee for the Fiduciary Standard |
| Jan. 10, 2018 | Scott MacKillop, Chief Executive Officer, First Ascent Asset Management |
| Jan. 10, 2018 | Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy |
| Jan. 3, 2018 | Drew G. Marice |
| Jan. 2, 2018 | Melanie Denney |
| Dec. 13, 2017 | Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce |
| Dec. 13, 2017 | Catherine J. Weatherford, President & CEO, Insured Retirement Institute |
| Dec. 10, 2017 | Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc. |
| Dec. 8, 2017 | Dan Thomas |
| Dec. 7, 2017 | Kathleen Nastri, President, American Association for Justice |
| Nov. 20, 2017 | Dave Paulsen, Executive Vice President, Chief Distribution Officer, Transamerica |
| Nov. 8, 2017 | Patricia P. Houlihan, Chair, Steering Group of the Committee for the Fiduciary Standard |
| Nov. 7, 2017 | Kevin R. Keller, Chief Executive Officer, CFP Board, et al., Financial Planning Coalition |
| Nov. 6, 2017 | The Open Architecture 2020 Group |
| Nov. 2, 2017 | Kirt A. Walker, President and Chief Operating Officer, Nationwide Financial |
| Nov. 1, 2017 | David Trainer, CEO, New Constructs, LLC |
| Nov. 1, 2017 | Andrew J. Bowden, Senior Vice President, General Counsel, Jackson National Life Insurance Company |
| Oct. 31, 2017 | David Trainer, CEO, New Constructs, LLC |
| Oct. 30, 2017 | David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute |
| Oct. 27, 2017 | Jean-Luc Bourdon, Chair, Personal Financial Planning Legislative and Regulatory Task Force, AICPA |
| Oct. 25, 2017 | Bryan Daniel, Financial Planner, Financial Advisor, Creative Wealth Management Group |
| Oct. 20, 2017 | Christine Owens, Executive Director, National Employment Law Project |
| Oct. 19, 2017 | Clifford Kirsch, et al., Eversheds Sutherland (US) LLP, on behalf of the Committee of Annuity Insurers |
| Oct. 17, 2017 | Richard Foster, Senior Vice President, Financial Services Roundtable |
| Oct. 16, 2017 | Sharon A. Cheever, Senior Vice President and General Counsel, Pacific Life |
| Oct. 13, 2017 | Gretchen Cepek, Senior Vice President and General Counsel, and Stewart D. Gregg, Senior Counsel, Allianz Life Insurance Company of North America |
| Oct. 12, 2017 | Robert Grohowski, Vice President, Senior Legal Counsel, Legislative, T. Rowe Price |
| Oct. 11, 2017 | Christopher Jones, Executive Vice President of Investment Management and Chief Investment Officer, Financial Engines |
Oct. 5, 2017 | Monique Morrissey, Ph.D., Economist, and Heidi Shierholz, Economist and Director of Policy; Economic Policy Institute |
| Oct. 4, 2017 | James E. Ballowe, Senior Vice President and Senior Counsel, E*TRADE Financial Corporation |
| Oct. 3, 2017 | Carl Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Sep. 29, 2017 | F. William McNabb, Chairman and CEO, The Vanguard Group, Inc. |
| Sep. 26, 2017 | Derek B. Dorn, Managing Director, Regulatory Engagement & Policy, TIAA |
| Sep. 22, 2017 | Americans for Financial Reform |
| Sep. 20, 2017 | David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company |
| Sep. 15, 2017 | Senator Elizabeth Warren, United States Senate |
| Sep. 14, 2017 | Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Sep. 14, 2017 | D.M. Safian |
| Sep. 13, 2017 | Catherine A. Flax, CEO, Pefin |
| Sep. 11, 2017 | Ronald P. Bernardi, President & CEO, Bernardi Securities, Inc. |
| Sep. 11, 2017 | Chrisopher A. Iacovella, Chief Executive Officer, Equity Dealers of America |
| Sep. 7, 2017 | Aron Szapiro, Director of Policy Research, Morningstar, Inc. |
| Sep. 6, 2017 | David Certner, Legislative Counsel & Legislative Policy Director, Government Affairs, AARP |
| Sep. 5, 2017 | Senator Elizabeth Warren, United States Senate |
| Sep. 1, 2017 | Timothy E. Keehan, Vice President, Senior Counsel, American Bankers Association |
| Aug. 31, 2017 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Aug. 31, 2017 | Deneen L. Donnley, Executive Vice President, Chief Legal Officer Corp, USAA |
| Aug. 31, 2017 | Craig M. Lewis, Madison S. Wigginton Professor of Finance, Vanderbilt University, and Senior Advisor, Patomak Global Partners, LLC |
| Aug. 25, 2017 | James D. Gallagher, Executive Vice President and General Counsel, John Hancock Life Insurance Company (U.S.A.) |
| Aug. 24, 2017 | Anne Sheehan, Chair, SEC Investor Advisory Committee |
| Aug. 21, 2017 | AFL-CIO, AFSCME, Alliance for Retired Americans, et al. |
| Aug. 21, 2017 | Stephen McManus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company |
| Aug. 19, 2017 | Philp Mitzkavich |
| Aug. 11, 2017 | Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments |
| Aug. 11, 2017 | Marnie C. Lambert, President, Public Investors Arbitration Bar Association |
| Aug. 10, 2017 | Theodore K. Nickel, President, et al., National Association of Insurance Commissioners |
| Aug. 8, 2017 | Carol Levenson, Director of Research, Gimme Credit |
| Aug. 7, 2017 | Barbara Novick, Vice Chairman, and Nicole Rosser, Vice President, BlackRock, Inc. |
| Aug. 7, 2017 | Dorothy M. Donohue, Acting General Counsel, Investment Company Institute |
| Aug. 7, 2017 | Craig S. Tyle, Executive Vice President and General Counsel, Franklin Templeton Investments |
| Aug. 7, 2017 | Cody Siebert |
| Jul. 27, 2017 | Mark J. Flannery, BankAmerican Professor of Finance, University of Florida |
| Jul. 27, 2017 | Howard Leicht |
| Jul. 26, 2017 | Joseph D. Crupi |
| Jul. 26, 2017 | John Carr |
| Jul. 25, 2017 | Ronald J. Kruszewski, Chairman & CEO, Stifel, Nicolaus & Co. |
| Jul. 25, 2017 | Paul Gallagher |
| Jul. 25, 2017 | Cara Melbye |
| Jul. 24, 2017 | Lynn Solte |
| Jul. 24, 2017 | Robert Garland |
| Jul. 23, 2017 | Mark Katz |
| Jul. 23, 2017 | Martha Rowe |
| Jul. 23, 2017 | F. Buckley |
| Jul. 23, 2017 | Richard K. LaRiviere |
| Jul. 23, 2017 | Christine Fu |
| Jul. 22, 2017 | Stanley Morytko |
| Jul. 22, 2017 | Michael Fasulo |
| Jul. 22, 2017 | Tamara Lewis |
| Jul. 22, 2017 | Eileen Coffee |
| Jul. 22, 2017 | Naomi Zurcher |
| Jul. 22, 2017 | Anneke Hathaway |
| Jul. 22, 2017 | Donald W. Henderson, Ph.D. |
| Jul. 22, 2017 | Mark Benson |
| Jul. 22, 2017 | Margaret Lange Freud |
| Jul. 22, 2017 | Suzanne Phillips |
| Jul. 22, 2017 | Steve Daniels |
| Jul. 22, 2017 | David Bjorkman |
| Jul. 22, 2017 | Betsy Malpass |
| Jul. 22, 2017 | Drollene Brown |
| Jul. 22, 2017 | Susan Lee |
| Jul. 21, 2017 | David D. Mirabito, Senior Financial Services Executive, Financial Partners of Upstate NY, a member of the MassMutual Financial Group |
| Jul. 21, 2017 | Brian Coppola |
| Jul. 21, 2017 | James Van Looy |
| Jul. 21, 2017 | Edward Thornton |
| Jul. 21, 2017 | Julia Andrzejczak |
| Jul. 21, 2017 | William Muller |
| Jul. 21, 2017 | Mary Pellecchia |
| Jul. 21, 2017 | Alix Keast |
| Jul. 21, 2017 | Michele Longino |
| Jul. 21, 2017 | James Melloh |
| Jul. 21, 2017 | David Cochran |
| Jul. 21, 2017 | Jan Rowe |
| Jul. 21, 2017 | Adele McDaniel |
| Jul. 21, 2017 | Judy Beers |
| Jul. 21, 2017 | Mary Mobley |
| Jul. 21, 2017 | Lisa Williams |
| Jul. 21, 2017 | Al Cohen |
| Jul. 21, 2017 | Robert Chapel |
| Jul. 21, 2017 | Charles Prescott |
| Jul. 21, 2017 | Cheryl Snyder |
| Jul. 21, 2017 | Sonya Baehr |
| Jul. 21, 2017 | Marcia Bailey |
| Jul. 21, 2017 | Josephine Foote |
| Jul. 21, 2017 | Dianne Rocheleau-Malaret |
| Jul. 21, 2017 | Diane Cassidy |
| Jul. 21, 2017 | A. Arias |
| Jul. 21, 2017 | Janice Cragnolin |
| Jul. 21, 2017 | Cleta Booth |
| Jul. 21, 2017 | James Hadstate |
| Jul. 21, 2017 | Constantine Kostianis |
| Jul. 21, 2017 | Nicholas Hogan |
| Jul. 21, 2017 | Kevin O'Neil |
| Jul. 21, 2017 | Barbara Miller |
| Jul. 21, 2017 | Donna Webb |
| Jul. 21, 2017 | Franklin E. Rutledge |
| Jul. 21, 2017 | Judith Fetters |
| Jul. 21, 2017 | Alana Gazetski |
| Jul. 21, 2017 | Susannah Rose |
| Jul. 21, 2017 | Charles Rapport |
| Jul. 21, 2017 | Bonita Knapp |
| Jul. 21, 2017 | Wayne Pipke |
| Jul. 21, 2017 | Vincent Lipert |
| Jul. 21, 2017 | Nancy Tew |
| Jul. 21, 2017 | Christine Maciel |
| Jul. 21, 2017 | Cornelia McMurtrie |
| Jul. 21, 2017 | Peter Poggi |
| Jul. 21, 2017 | Thomas Blazier |
| Jul. 21, 2017 | Mildred Harris |
| Jul. 21, 2017 | John Dalton |
| Jul. 21, 2017 | Loretta Holscher |
| Jul. 21, 2017 | Marilyn Lafreniere |
| Jul. 21, 2017 | Russell Potter |
| Jul. 21, 2017 | Jo Sippie-Gora |
| Jul. 21, 2017 | Stewart Dean |
| Jul. 21, 2017 | Tilo ShimadaBrand |
| Jul. 21, 2017 | Ken Riemer |
| Jul. 21, 2017 | Dan Neal |
| Jul. 21, 2017 | Kimberly Christensen, Professor of Economics, Sarah Lawrence Colleg |
| Jul. 21, 2017 | Ellis Woodward |
| Jul. 21, 2017 | Michael Feinberg |
| Jul. 21, 2017 | Magnus Sjoquist |
| Jul. 21, 2017 | Jean Levaux |
| Jul. 21, 2017 | Larry Imhoff |
| Jul. 21, 2017 | Janet Teresko |
| Jul. 21, 2017 | Spencer Gould |
| Jul. 21, 2017 | Gail Foster |
| Jul. 21, 2017 | Maev Hewitt |
| Jul. 21, 2017 | Joan U. Smeltzer |
| Jul. 21, 2017 | Mary Zins |
| Jul. 21, 2017 | Dennis J. Shepherd |
| Jul. 21, 2017 | Jason Chandler, Group Managing Director, Head of Investment Platforms and Solutions Wealth Management Americas, and Michael Crowl, Group Managing Director, General Counsel, UBS Group Americas and Wealth Management Americas |
| Jul. 21, 2017 | Kevin Carroll, Managing Director and Associate General Counsel, SIFMA |
| Jul. 20, 2017 | Gae Weber |
| Jul. 20, 2017 | Ellen Johnson |
| Jul. 20, 2017 | Shari Compton |
| Jul. 20, 2017 | Nancy Lowell |
| Jul. 20, 2017 | Jeanne Davis |
| Jul. 20, 2017 | Patricia Steen |
| Jul. 20, 2017 | Eileen McCorry |
| Jul. 20, 2017 | Alan Brown |
| Jul. 20, 2017 | Cheryl Varnum-Glenn |
| Jul. 20, 2017 | Michael McGowan |
| Jul. 20, 2017 | Harriet Mathis |
| Jul. 14, 2017 | Robert T. Cassidy |
| Jul. 13, 2017 | Gary Braden |
| Jul. 13, 2017 | Nick Kralj, VP of Retirement Plan Services, BCI Group |
| Jul. 13, 2017 | Stephen A. Kohn, President/CEO, Stephen A. Kohn & Associates, Ltd. |
| Jul. 13, 2017 | James Tollefson |
| Jul. 12, 2017 | Michelle Rand, Chartered Financial Analyst, Cascade Investment Advisors, Inc. |
| Jul. 10, 2017 | B. Pat Treat, Chairman/CEO, Great Nation Investment Corporation |
| Jul. 10, 2017 | Elizabeth Copley |
| Jul. 7, 2017 | Steve Moerdyk, President, Moerdyk Financial, Inc. |
| Jul. 7, 2017 | Dan Pisenti, Whitehall-Parker Securities, Inc. |
| Jul. 6, 2017 | Alexis |
| Jul. 6, 2017 | Michael Kiley, CEO, Kiley Partners, Inc. |
| Jul. 5, 2017 | Nancy T. Barron, President/CEO, Nancy Barron & Associates, Inc. |
| Jul. 5, 2017 | Walter L. Baumgardner, Esq. |
| Jul. 5, 2017 | Fernando Fussa |
| Jul. 5, 2017 | Paul McIntyre, Compliance Officer, MSC-BD, LLC |
| Jul. 5, 2017 | Garry Pierce |
| Jul. 5, 2017 | J. David Coker |
| Jul. 5, 2017 | Kevin Dunnigan |
| Jul. 2, 2017 | Alan Syzdek |
| Jun. 30, 2017 | Jeffrey Anton |
| Jun. 29, 2017 | Kent A. Mason, Davis & Harman LLP |
| Jun. 23, 2017 | Anonymous |
| Jun. 22, 2017 | Scott Wallschlaeger |
| Jun. 20, 2017 | William Collins |
| Jun. 20, 2017 | James V. Bess |
| Jun. 18, 2017 | Robert Ramos |
| Jun. 17, 2017 | John Prugh |
| Jun. 17, 2017 | Richard Sherman |
| Jun. 17, 2017 | Russell Walker |
| Jun. 17, 2017 | Carrie Devorah |
| Jun. 16, 2017 | William J. Hayen |
| Jun. 14, 2017 | David A. Madsen |
| Jun. 13, 2017 | James A. Peck |
| Jun. 12, 2017 | Anonymous |
| Jun. 12, 2017 | David Bach |
| Jun. 10, 2017 | Neil Fitzgerald |
| Jun. 8, 2017 | T. Moloney |
| Jun. 8, 2017 | Edward H. Weyler |
| Jun. 7, 2017 | Mik Hart |
| Jun. 6, 2017 | Carina Plascencia |
| Jun. 6, 2017 | Neal Shikes |
| Jun. 6, 2017 | Joshua Lannik, Teacher |
| Jun. 5, 2017 | Tim W. Rupp, Financial Advisor Edward Jones |
| Jun. 5, 2017 | Robert Shaw |
| Jun. 5, 2017 | Samuel J. Leopardo |
| Jun. 5, 2017 | Dan Keppel, Editor, The Insiders Guides |
| Jun. 5, 2017 | Phillip Hamilton, Stifel Investment Services |
| Jun. 4, 2017 | Jeff |
| Jun. 3, 2017 | Edward L. Campbell |
| Jun. 3, 2017 | Gary Braden |
| Jun. 2, 2017 | Maggie Hewitt |
| Jun. 2, 2017 | Thomas Dillon |
| Jun. 2, 2017 | Mark D. Moss, Staff Scientist – Aircraft Structures, Gulfstream Aerospace Corporation |
| Jun. 2, 2017 | Annie McQuilken, CFP |
| Jun. 2, 2017 | John Signorotti, Investment Adviser Representative |
| Jun. 2, 2017 | Brad Williams, Vice President, Sr. Financial Consultant, BOK Financial Advisors |
| Jun. 2, 2017 | Geoffrey E. Wilwerding, Senior Vice President, Wealth Management, UBS Financial Services Inc. |
| Jun. 2, 2017 | James K. Finster, President, Cyan Insurance Solutions, Inc. |
| Jun. 2, 2017 | J.S. |
| Jun. 2, 2017 | Herbert W. Morgan, Sr. Managing Director, Registered Investment Advisor |
| Jun. 2, 2017 | Warren Kennett |
| Jun. 2, 2017 | Steve Van Scoik |
| Jun. 1, 2017 | Anonymous |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Apr. 23, 2018 | Memorandum from the Division of Trading and Markets regarding an April 12, 2018, meeting with representatives of Massachusetts Mutual Life Insurance Company |
| Apr. 23, 2018 | Memorandum from the Division of Trading and Markets regarding an April 5, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Apr. 5, 2018 | Memorandum from the Office of the Investor Advocate regarding an April 5, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Mar. 28, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a October 25, 2017, meeting with representatives of Charles Schwab |
| Mar. 19, 2018 | Memorandum from the Division of Trading and Markets regarding a March 16, 2018, meeting with a representative of the CFA Institute |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a March 1, 2018, meeting with representatives of the Investment Adviser Association (IAA) |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a February 28, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a February 12, 2018, meeting with representatives of the CFA Institute |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a December 13, 2017, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a December 5, 2017, meeting with representatives of the CFP Board |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a November 2, 2017, meeting with representatives of the Consumer Federation of America (CFA) |
| Mar. 13, 2018 | Memorandum from the Division of Trading and Markets regarding a March 13, 2018, meeting with representatives of Fidelity Investments |
| Mar. 8, 2018 | Memorandum from the Division of Trading and Markets regarding a February 13, 2018, meeting with representatives of Financial Services Institute |
| Mar. 8, 2018 | Memorandum from the Division of Trading and Markets regarding a February 8, 2018, meeting with representatives of the Securities Industry and Financial Markets Association |
| Jan. 30, 2018 | Memorandum from the Division of Trading and Markets regarding a January 25, 2018, meeting with representatives of Edward Jones |
| Jan. 18, 2018 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 16, 2018, meeting with representatives of Investment Advisers Association |
| Dec. 19, 2017 |
Memorandum from the Division of Trading and Markets regarding a December 14, 2017, meeting with representatives of Jackson National and Thorn Run Partners
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| Dec. 19, 2017 |
Memorandum from the Division of Trading and Markets regarding a December 14, 2017, meeting with representatives of Wells Fargo Advisors
|
| Dec. 13, 2017 |
Memorandum from the Division of Trading and Markets regarding a December 13, 2017, meeting with representatives of Charles Schwab
|
| Oct. 23, 2017 |
Memorandum from the Division of Trading and Markets regarding an October 13, 2017, meeting with representatives of the Securities Industry and Financial Markets Association
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| Jun. 13, 2017 |
Memorandum from the Office of the Chairman regarding a June 6, 2017, meeting with representatives of the Investment Advisers Association
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