|
|
 |
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 |
|
(Click here for meetings with SEC officials)
|
| Jul. 22, 2014 | James P. Gilligan, CTP, Assistant Treasurer, Great Plains Energy, Inc., Member, and James A. Kaitz, President and CEO, Association for Financial Professionals |
| Jul. 21, 2014 | 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 |
| Jul. 20, 2014 | Dr. Lee Jackson, Esq., San Francisco, California |
| Jul. 18, 2014 | David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Jul. 18, 2014 | David F. Freeman, Jr., Arnold and Porter LLP, on behalf of Federated Investors, Inc., Washington, District of Columbia |
| Jul. 16, 2014 | David F. Freeman, Jr., Arnold and Porter LLP, on behalf of Federated Investors, Inc., Washington, District of Columbia |
| Jul. 15, 2014 | Sen. Mike Crapo and Sen. Mark Warner, U.S. Senate |
| Jul. 15, 2014 | Senator Mike Crapo, U.S. Senate |
| Jul. 15, 2014 | Senator Pat Toomey, U.S. Senate |
| Jun. 24, 2014 | Mark Hannam, Institutional Money Market Fund Association |
| May 14, 2014 | David F. Freeman, Jr., Arnold and Porter LLP, on behalf of Federated Investors, Inc., Washington, District of Columbia |
| May 1, 2014 | George C. Howell, III, Hunton & Williams LLP, on behalf of Federated Investors, Inc., Richmond, Virginia |
| Apr. 25, 2014 | David F. Freeman, Jr., Arnold and Porter LLP, on behalf of Federated Investors, Inc., Washington, District of Columbia |
| Apr. 23, 2014 | John W. McGonigle, Vice Chairman, Federated Investors, Inc. |
| Apr. 23, 2014 | Timothy W. Cameron, John Maurello, and Matthew J. Nevins, Securities Industry and Financial Markets Association (SIFMA) |
| Apr. 23, 2014 | Lu Ann S. Katz, Head of Global Liquidity, Invesco, Downers Grove, Illinois |
| Apr. 23, 2014 | J. Charles Cardona, Jr., President, The Dreyfus Corporation, New York, New York |
| Apr. 23, 2014 | Barbara G. Novick and Richard K. Hoerner, BlackRock, New York, New York |
| Apr. 23, 2014 | David F. Freeman, Jr., Arnold and Porter LLP on behalf of Federated Investors, Inc., Washington, District of Columbia |
| Apr. 23, 2014 | David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Apr. 23, 2014 | John W. McGonigle, Vice Chairman, Federated Investors, Inc., Pittsburgh, Pennsylvania |
| Apr. 23, 2014 | Karla M. Rabusch, President, Wells Fargo Funds Management, LLC |
| Apr. 22, 2014 | Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Company |
| Apr. 22, 2014 | Brian Reid, Chief Economist, Investment Company Institute |
| Apr. 21, 2014 | Melanie L. Fein, Fein Law Offices, and Raymond Natter, Barnett, Sivon & Natter, District of Columbia |
| Apr. 8, 2014 | Hester Peirce, Senior Research Fellow, and Robert Greene, Project Coordinator, The Mercatus Center at George Mason University, Arlington, Virginia |
| Apr. 7, 2014 | Thomas P. Hollowell, Chair of the Independent Trustees, The North Carolina Capital Management Trust |
| 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)
|
| Jul. 18, 2014 | Memorandum from the Division of Investment Management regarding a July 18, 2014, phone call with representatives of the Irish Funds Industry Association and Institutional Money Market Funds Association |
| Jul. 18, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 18, 2014, phone call with representatives of the Irish Funds Industry Association and Institutional Money Market Funds Association |
| Jul. 17, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 17, 2014, phone call with representatives of Federated Investors |
| Jul. 11, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a July 11, 2014, conference call with representatives of Goldman Sachs |
| Ju1. 9, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a July 9, 2014, conference call with representatives of Invesco |
| Ju1. 8, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a July 8, 2014, meeting with representatives of HSBC Global Asset Management |
| Ju1. 3, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a July 3, 2014, meeting with representatives of Stroock & Stroock & Lavan LLP |
| Jun. 20, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a June 20, 2014, conference call with representatives of Harvard Business School |
| Jun. 16, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a June 16, 2014, conference call with representatives of the Federal Reserve Bank of New York |
| Jun. 3, 2014 | Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a meeting with representatives of Federated Investors |
| May 28, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a telephone call with representatives of the U.S. Chamber of Commerce and Corporate Treasurers |
| May 20, 2014 | Memorandum from the Division of Investment Management regarding a meeting with representatives of Federated Investors, Inc. |
| May 15, 2014 | Memorandum from the Division of Investment Management regarding a May 13, 2014, meeting with representatives of Federated Investors, Inc. |
| May 7, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 7, 2014, meeting with representatives of The Pew Charitable Trusts |
| May 7, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a May 7, 2014, meeting with representatives of Systemic Risk Council |
| May 5, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a May 5, 2014, meeting with representatives of Hunton & Williams and Federated |
| May 5, 2014 | Memorandum from the Division of Investment Management regarding a May 1, 2014, meeting with representatives of Vanguard |
| May 1, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a May 1, 2014, meeting with representatives of Vanguard |
| Apr. 24, 2014 | Memorandum from the Office of Commissioner Daniel M. Gallagher regarding an April 14, 2014, phone meeting with representatives of Fidelity |
| Apr. 4, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 16, 2014, meeting with representatives of Federated Investors, Inc. |
| Apr. 23, 2014 | Memorandum from the Division of Investment Management regarding an April 10, 2014, meeting with representatives of Fidelity |
| 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
|
