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(Click here for meetings with SEC officials)
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| Feb. 14, 2023 | Peter Roberson, Charles Schwab Corporation |
| Feb. 14, 2023 | Kristin Swenton Hochstein, Chair, ISITC |
| Feb. 13, 2023 | Deborah Mercer-Miller, Chair, Association of Global Custodian |
| Feb. 10, 2023 | Kristy Croushore, Vice President, Federal Government Relations, Fidelity Investments |
| Feb. 9, 2023 | Keith Evans, Executive Director, Canadian Capital Markets Association |
| Feb. 9, 2023 | Christopher Climo, Chief Operating Officer, Investment Industry Association of Canada |
| Feb. 8, 2023 | Kenneth E. Bentsen, Jr., President & CEO, SIFMA |
| Jan. 13, 2023 | Kenneth E. Bentsen, Jr., President & CEO, SIFMA |
| Nov. 17, 2022 | Suzanne Quinn, Head of North America Compliance, Baillie Gifford Overseas Limited |
| Nov. 4, 2022 | U.S. Senator Thom Tillis |
| Nov. 1, 2022 | Scott Denney |
| Nov. 1, 2022 | Evan Anderson, Senior Network Engineer |
| Oct. 31, 2022 | Michelle Bracke |
| Oct. 31, 2022 | Brian Rasmussen, Retail Investor |
| Oct. 31, 2022 | Efrain Ramos II |
| Oct. 31, 2022 | Norman Kyte, Programmer |
| Oct. 31, 2022 | Ryan Webster, Retail |
| Oct. 31, 2022 | Katora Love |
| Oct. 31, 2022 | Stuart Longley, Investor |
| Oct. 31, 2022 | LaMont Newell |
| Oct. 31, 2022 | Christopher H., Pilot |
| Oct. 31, 2022 | Tari Underwood, CEO of Abstract My Walls |
| Oct. 31, 2022 | Jason Carroll |
| Oct. 31, 2022 | Nathan McDonald, US Marine Corps Ret. |
| Oct. 31, 2022 | Richards, Richards |
| Oct. 31, 2022 | Jerome Cheatham |
| Oct. 31, 2022 | Jorge A. Castillo Jr. |
| Oct. 31, 2022 | James Minnick, Aircraft Maintenance Ttechnician |
| Oct. 31, 2022 | Luciano Putzu |
| Oct. 31, 2022 | Billy |
| Oct. 31, 2022 | Darren Cleverley |
| Oct. 31, 2022 | Frank Puglisi, Economics |
| Oct. 31, 2022 | Gerrey Cherrelus |
| Oct. 19, 2022 | Gail C. Bernstein, General Counsel, and William A. Nelson, Associate General Counsel, Investment Adviser Association, |
| Oct. 11, 2022 | Undersigned Associations and The Depository Trust & Clearing Corporation |
| Oct. 9, 2022 | Jordan Liske |
| Sep. 30, 2022 | Matthew Stauffer, Managing Director and Head of DTCC Institutional Trade Processing, DTCC |
| Aug. 26, 2022 | Tom Price, Managing Director, SIFMA |
| Aug. 3, 2022 | Kenneth E. Bentsen, Jr., President and CEO, SIFMA |
| May 3, 2022 | J. T. |
| Apr. 20, 2022 | Anders Hellum-Alexander, Software |
| Apr. 20, 2022 | Chris Iacovella, CEO, American Securities Association |
| Apr. 19, 2022 | Steven Wager, Chair, Americas Focus Committee, Association of Global Custodians |
| Apr. 14, 2022 | Wilson-Davis Co., Inc. |
| Apr. 13, 2022 | Thomas Price, SIFMA |
| Apr. 12, 2022 | Cornell Securities Law Clinic |
| Apr. 11, 2022 | Douglas A. Cifu, Chief Executive Officer, Virtu Financial, Inc |
| Apr. 11, 2022 | MarketAxess |
| Apr. 11, 2022 | Kermit Kubitz |
| Apr. 11, 2022 | Committee of Annuity Insurers |
| Apr. 11, 2022 | Investment Industry Association of Canada |
| Apr. 11, 2022 | The Options Clearing Corporation |
| Apr. 11, 2022 | FIX Trading Community |
| Apr. 11, 2022 | XBRL US |
| Apr. 11, 2022 | MMI |
| Apr. 11, 2022 | Joseph Barry, State Street Corporation |
| Apr. 11, 2022 | DTCC |
| Apr. 11, 2022 | Canadian Capital Markets Association |
| Apr. 11, 2022 | Tom Merritt, Virtu Financial, Inc. |
| Apr. 11, 2022 | Jeffrey S. Davis, Senior Vice President of Nasdaq, Inc. |
| Apr. 11, 2022 | Joanna Mallers, FIA Principal Traders Group |
| Apr. 11, 2022 | Susan Olson, General Counsel, and Joanne Kane, Chief Industry Operations Officer, Investment Company Institute |
| Apr. 11, 2022 | Paul Conn, President Global Capital Markets, Computershare Limited |
| Apr. 11, 2022 | Managed Funds Association |
| Apr. 11, 2022 | Better Markets |
| Apr. 11, 2022 | Isabelle S. Corbett, R3 |
| Apr. 11, 2022 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Apr. 11, 2022 | Robert Adams, Chief Operations Officer, National Financial Services LLC |
| Apr. 11, 2022 | Risk Management Association |
| Apr. 11, 2022 | Cornell Law School Securities Law Clinic |
| Apr. 11, 2022 | Suzan Rose, Senior Adviser, Alternative Investment Management Association (AIMA) |
| Apr. 8, 2022 | J. Fox |
| Apr. 8, 2022 | ISITC NA |
| Apr. 8, 2022 | Kirsten Wegner |
| Apr. 8, 2022 | Timothy W Rennels, Individual Investor |
| Apr. 8, 2022 | andrew robison, individual investor |
| Apr. 4, 2022 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| Apr. 4, 2022 | Hope M. Jarkowski, General Counsel, NYSE Group, Inc. |
| Apr. 4, 2022 | Ben Wechsler, CEO, Wechsler Insurance Group LLC |
| Apr. 3, 2022 | JPS, Retail Investor |
| Apr. 3, 2022 | Alan Comaskey |
| Apr. 2, 2022 | An Investor, Engineer |
| Apr. 1, 2022 | Peter Duggan, President, Securities Transfer Association |
| Mar. 31, 2022 | Tamara French |
| Mar. 29, 2022 | C. Gross |
| Mar. 25, 2022 | Anonymous |
| Mar. 25, 2022 | David B. Penn, Data Scientist |
| Mar. 25, 2022 | Michelle Bracke, Retail Investor |
| Mar. 25, 2022 | Cullin Coyle |
| Mar. 21, 2022 | Jermal Adkins |
| Mar. 21, 2022 | JMP |
| Mar. 19, 2022 | Anonymous |
| Mar. 18, 2022 | Terry Hogan |
| Mar. 17, 2022 | Christian Cotroneo, Data Analyst |
| Mar. 14, 2022 | Jim B., Business Analyst |
| Mar. 14, 2022 | Patrick Smith |
| Mar. 14, 2022 | Adam Beherns, Engineer |
| Mar. 14, 2022 | Alexander A. Dietrich |
| Mar. 14, 2022 | Anonymous |
| Mar. 14, 2022 | Curtis Higgins, Kay Jewelers |
| Mar. 14, 2022 | Chris McEntee, Retail Investor |
| Mar. 14, 2022 | Jason Bond, Sales Manager |
| Mar. 12, 2022 | Robert Perkins, Cloud Architect |
| Mar. 11, 2022 | Guy Rozen |
| Mar. 11, 2022 | Mike, Retail |
| Mar. 9, 2022 | Jean-Paul Tres |
| Mar. 9, 2022 | Jeremy, Engineer |
| Mar. 9, 2022 | Sean A. |
| Mar. 8, 2022 | Ricky Lumpkins, Maintenance Man |
| Mar. 8, 2022 | Evan V. |
| Mar. 5, 2022 | Nathan D. |
| Mar. 4, 2022 | George Xanthopoulos |
| Mar. 4, 2022 | Michelle Hessler, Registered Nurse, Ochsner Medical Center |
| Mar. 4, 2022 | Ronald Edward Elkin, Landman-Oilfield |
| Mar. 4, 2022 | Curtis Robinson |
| Mar. 3, 2022 | Jen Rankin |
| Mar. 3, 2022 | Jonah Crandall |
| Mar. 3, 2022 | Jordan Liske |
| Mar. 3, 2022 | Aaron Eldreth |
| Mar. 3, 2022 | Austin Barnett |
| Mar. 3, 2022 | Jiøí Król, Deputy CEO, Global Head of Government Affairs, AIMA and Global Head of the ACC |
| Mar. 3, 2022 | Mark Mitton, Flight Instructor |
| Mar. 3, 2022 | Anonymous |
| Mar. 1, 2022 | Daniel Brooks |
| Mar. 1, 2022 | Nick Mitchell |
| Feb. 27, 2022 | Daryll Fogal |
| Feb. 25, 2022 | Anonymous |
| Feb. 25, 2022 | Dave Hillin |
| Feb. 24, 2022 | Simon Weaver |
| Feb. 24, 2022 | Mike |
| Feb. 24, 2022 | Jacob McRight |
| Feb. 24, 2022 | Franklin |
| Feb. 24, 2022 | Edward P. Brigham |
| Feb. 24, 2022 | Bridget Carman |
| Feb. 23, 2022 | Sean Zwick |
| Feb. 23, 2022 | Gabriel Morales |
| Feb. 22, 2022 | Daniel Brooks, Brooks Performance |
| Feb. 22, 2022 | Daniel Brooks |
| Feb. 22, 2022 | Anonymous |
| Feb. 22, 2022 | Austin Englebert, Individual Investor |
| Feb. 22, 2022 | Peter Alford |
| Feb. 22, 2022 | Chris Barnard |
| Feb. 22, 2022 | Anonymous |
| Feb. 21, 2022 | Michelle Bracke, Retail Investor |
| Feb. 21, 2022 | Anonymous |
| Feb. 21, 2022 | Anonymous |
| Feb. 21, 2022 | Joshua Soucie, Managing Director, Singularity Acquisitions LLC |
| Feb. 21, 2022 | Andrew Affrunti |
| Feb. 21, 2022 | Daniel Ewing |
| Feb. 21, 2022 | Benjamin Ng |
| Feb. 21, 2022 | Allen Smith |
| Feb. 21, 2022 | Lee |
| Feb. 21, 2022 | Christopher Alvarez |
| Feb. 21, 2022 | Alex Marcu, Accountant |
| Feb. 20, 2022 | Concerned Investor |
| Feb. 20, 2022 | Dan Pierce |
| Feb. 20, 2022 | Joshua Lory |
| Feb. 20, 2022 | Ben V. |
| Feb. 20, 2022 | Anonymous |
| Feb. 20, 2022 | C. |
| Feb. 20, 2022 | Isaac Crawford |
| Feb. 20, 2022 | Evan Anderson |
| Feb. 20, 2022 | Charles Jacobs, USCG |
| Feb. 20, 2022 | Hawkins Conner, Chemist |
| Feb. 20, 2022 | Kevin |
| Feb. 20, 2022 | Kevin |
| Feb. 20, 2022 | Iain Schlegel |
| Feb. 20, 2022 | Anonymous |
| Feb. 20, 2022 | Mike H. |
| Feb. 20, 2022 | Jackie Reilly |
| Feb. 20, 2022 | Anonymous |
| Feb. 20, 2022 | Stephen |
| Feb. 20, 2022 | Richard James Lovely |
| Feb. 20, 2022 | Silviu Razvan Cheosa, QA Technician |
| Feb. 20, 2022 | Vlodomir Putinev |
| Feb. 19, 2022 | ST |
| Feb. 19, 2022 | Kyle |
| Feb. 19, 2022 | Steven Casey |
| Feb. 19, 2022 | Sarah Clapp, Senior Creative Director |
| Feb. 19, 2022 | Ryan Schultz |
| Feb. 19, 2022 | Saul Nevarez |
| Feb. 19, 2022 | Sam Oakes |
| Feb. 19, 2022 | Ron Rasch, MD |
| Feb. 19, 2022 | Serkan Dogan |
| Feb. 19, 2022 | Will Suh, Data Scientist |
| Feb. 19, 2022 | Ryan Feller |
| Feb. 19, 2022 | Ryan |
| Feb. 19, 2022 | Sean Lin, Retail Investor |
| Feb. 19, 2022 | Tyler Tetreault |
| Feb. 19, 2022 | Sookyum Lee |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Marc |
| Feb. 19, 2022 | Ferni, Retail Investor |
| Feb. 19, 2022 | Maxime Noinin |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Nathan McLean, Medical Doctor |
| Feb. 19, 2022 | Jaiden Baker |
| Feb. 19, 2022 | Jacy Carroll, Director of Finance, Professor, MBA |
| Feb. 19, 2022 | James G. |
| Feb. 19, 2022 | Cheung Ho Yin, Physical Therapist |
| Feb. 19, 2022 | Matthew Risse, Retail Investor |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Harald |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Christopher, Retail investor |
| Feb. 19, 2022 | Curtis Higgins, Kay Jewelers |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Evan Long |
| Feb. 19, 2022 | Korey Fountain, CPA |
| Feb. 19, 2022 | Dan, CEO/Digital Marketer |
| Feb. 19, 2022 | Bav, Professional Retard |
| Feb. 19, 2022 | Ian Grinde, Economic Participant, US Citizen |
| Feb. 19, 2022 | J. Wong, Government |
| Feb. 19, 2022 | Daniel Murrieta |
| Feb. 19, 2022 | Clinton Lawler, Retail |
| Feb. 19, 2022 | Lisandro Olivares, Retail Investor |
| Feb. 19, 2022 | Mr. Wood, Director of Technology, Healthcare |
| Feb. 19, 2022 | E. |
| Feb. 19, 2022 | Nathan |
| Feb. 19, 2022 | Kyle Haines |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | J. A. |
| Feb. 19, 2022 | Joe |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Ayman Hawari |
| Feb. 19, 2022 | Hunter Kling |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Mark C., Individual Investor |
| Feb. 19, 2022 | Greg Englebert |
| Feb. 19, 2022 | Lebel A. |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Amy |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | E. Roach |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Larry Bell |
| Feb. 19, 2022 | Baris Yildirim-Alicea, Retail Investor |
| Feb. 19, 2022 | Chris |
| Feb. 19, 2022 | Tauren |
| Feb. 19, 2022 | Mike Soltys |
| Feb. 19, 2022 | Jason Layne |
| Feb. 19, 2022 | Adam L, Self Employed |
| Feb. 19, 2022 | Alex McKay, Small Business Owner/retail investor |
| Feb. 19, 2022 | Aimee Reichert |
| Feb. 18, 2022 | Alex A. Abplanalp |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | Jon Darrohn |
| Feb. 18, 2022 | A. Knight, Individual Retail Investor |
| Feb. 18, 2022 | Allen K., Electrician |
| Feb. 18, 2022 | David Edwards |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | Cody Bailey, Software Engineer |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | Jonas Klokke, Retail investor |
| Feb. 18, 2022 | Oleg Lytkin |
| Feb. 18, 2022 | J. B., Retail Investor |
| Feb. 18, 2022 | Conner |
| Feb. 18, 2022 | Jimmy Pham |
| Feb. 18, 2022 | Kenny, Retail Trader |
| Feb. 18, 2022 | Hunter Gage Seeton |
| Feb. 18, 2022 | Rashid Khwaja |
| Feb. 18, 2022 | Nicholas Clemens, Senior Financial Analyst |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | Cory |
| Feb. 18, 2022 | Christian A. Corona |
| Feb. 18, 2022 | Justin Behrens |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | Jeffry Ford |
| Feb. 18, 2022 | Lindsay Meeks |
| Feb. 18, 2022 | Matthew Clemens, COO, Azimuth Media |
| Feb. 18, 2022 | Andres Loubriel |
| Feb. 18, 2022 | Ben Wallace, Business Operations |
| Feb. 18, 2022 | Max Hernandez |
| Feb. 18, 2022 | Michael, IT Manager |
| Feb. 18, 2022 | Mason Welp |
| Feb. 18, 2022 | Craig Laird |
| Feb. 18, 2022 | Desmon Yiu |
| Feb. 18, 2022 | Christopher Sneed |
| Feb. 18, 2022 | Baraka Gitari |
| Feb. 18, 2022 | Krunal Patel |
| Feb. 18, 2022 | Cole Barker |
| Feb. 18, 2022 | Phillip McCrevitz |
| Feb. 18, 2022 | Nicholas Range |
| Feb. 18, 2022 | David, Virginia Tech |
| Feb. 18, 2022 | Lewis Schofield |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | Anthony R., Individual Investor |
| Feb. 18, 2022 | Jaycee Slade, Creative Director |
| Feb. 18, 2022 | Rebecca Womack |
| Feb. 18, 2022 | Brian Padrick |
| Feb. 18, 2022 | Daniel Renwick |
| Feb. 18, 2022 | Anonymous |
| Feb. 18, 2022 | T. Mooney |
| Feb. 18, 2022 | Chris Britt |
| Feb. 18, 2022 | Tyler L. |
| Feb. 18, 2022 | Shane |
| Feb. 18, 2022 | Sam Taylor, Middle Class American |
| Feb. 18, 2022 | Smith Le |
| Feb. 18, 2022 | Scott Paster, Financial Advisor/Retail Advocate |
| Feb. 18, 2022 | Michael, Individual Investor |
| Feb. 18, 2022 | Mark Thompson, Retail Investor |
| Feb. 17, 2022 | Christopher Shriver |
| Feb. 17, 2022 | Philip J. Maag Jr. |
| Feb. 17, 2022 | Adam Rathbone |
| Feb. 17, 2022 | Booker Marsh |
| Feb. 17, 2022 | Anonymous |
| Feb. 17, 2022 | Bryan, Diesel Mechanic |
| Feb. 17, 2022 | Scott Clarke, Business Owner |
| Feb. 17, 2022 | Justina Fullwood |
| Feb. 17, 2022 | Brayan Hernandez, Analyst |
| Feb. 17, 2022 | Paul Baugher |
| Feb. 17, 2022 | Casey C. Vallett, Military |
| Feb. 17, 2022 | Christopher Mendoza |
| Feb. 17, 2022 | Ligma Balzac, Professor of Economics, Yale University |
| Feb. 17, 2022 | Degen Mahdere |
| Feb. 17, 2022 | Lee Hunter, Professional Plumber |
| Feb. 17, 2022 | Jose Garcia, CEO |
| Feb. 17, 2022 | Anonymous |
| Feb. 17, 2022 | Richard Jansen |
| Feb. 17, 2022 | Adrian Santos |
| Feb. 17, 2022 | Cain Maynard, Insurance Broker |
| Feb. 17, 2022 | David Arkules, Investor |
| Feb. 17, 2022 | Trina Sullivan, Dental Hygienist |
| Feb. 17, 2022 | Michael Ruiz, Registered Nurse |
| Feb. 17, 2022 | Daniel Richardson |
| Feb. 17, 2022 | Tate Winter |
| Feb. 17, 2022 | Trevor Longmire, Share Holder Investor |
| Feb. 15, 2022 | Anonymous |
| Feb. 14, 2022 | Richard Stauts |
| Feb. 13, 2022 | Nicolas Zach, Individual Investor |
| Feb. 11, 2022 | Jack Pearson, Professor of Economics |
| Feb. 10, 2022 | Anthony LaBree |
| Feb. 10, 2022 | Anonymous |
| Feb. 10, 2022 | John Reyna |
| Feb. 10, 2022 | Tim F. |
| Feb. 9, 2022 | Tom |
| Feb. 9, 2022 | Curtis Robinson |
| Feb. 9, 2022 | Brian Renner, Engineer |
| Feb. 9, 2022 | Jaime N. Calaf |
| Feb. 9, 2022 | Ryan |
| Feb. 9, 2022 | Anonymous |
| Feb. 9, 2022 | L. Martin Stewart, Individual Investor |
| Feb. 9, 2022 | Myron Albritton, Retail |
| Feb. 9, 2022 | David Griswold, VP of Systems Administration, Eseclending |
| Feb. 9, 2022 | Gregory Bates |
| Feb. 9, 2022 | Marcus Spivey |
| Feb. 9, 2022 | William Kamba, SSC Eze Solutions Analyst |
| Feb. 9, 2022 | Amit Arabkheradmand |
| Feb. 9, 2022 | Kyle |
| Feb. 9, 2022 | James Kelley, Retired |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Feb. 24, 2023 | Memorandum from the Office of Public Engagement regarding a February 10, 2023 meeting with various Investor and Advocacy Organizations |
| Feb. 15, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 14, 2023 meeting with representatives of Charles Schwab & Co. |
| Feb. 14, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 13, 2023 meeting with representatives of DTCC |
| Feb. 14, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding February 8, 2023 and February 15, 2023 meetings with representatives of SIFMA |
| Feb. 14, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 8, 2023 meeting with representatives of the American Securities Association |
| Feb. 10, 2023 | Memorandum from the Office of the Chairman regarding a February 9, 2023 meeting with representatives of the Investment Company Institute |
| Feb. 10, 2023 | Memorandum from the Office of the Chairman regarding a February 7, 2023 meeting with representatives of the Depository Trust & Clearing Corporation |
| Feb. 9, 2023 | Memorandum from the Division of Trading and Markets regarding a February 7, 2023 conference call with Tom Price, SIFMA |
| Feb. 3, 2023 | Memorandum from the Division of Trading and Markets regarding a January 5, 2023 conference call with representatives from SIFMA Working Group on T+1 |
| Jan. 30, 2023 | Memorandum from the Office of the Chairman regarding a January 18, 2023 meeting with representatives of SIFMA |
| Jan. 30, 2023 | Memorandum from the Office of the Chairman regarding a January 12, 2023 meeting with representatives of AIMA |
| Jan. 30, 2023 | Memorandum from the Office of the Chairman regarding a January 9, 2023 meeting with representatives of DTCC |
| Jan. 19, 2023 | Memorandum from the Office of Public Engagement regarding a January 18, 2023 meeting with LCH Group |
| Sep. 14, 2022 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 14, 2022 meeting with representatives of DTCC |
| Dec. 19, 2022 | Memorandum from the Division of Trading and Markets regarding phone calls on December 7, 2022 and December 16, 2022 with representatives of the Securities Industry and Financial Markets Association |
| Oct. 14, 2022 | Memorandum from the Office of Clearance and Settlement and the Division of Trading and Markets regarding an October 13, 2022 conference call with representatives from The Depository Trust & Clearing Corporation |
| Oct. 14, 2022 | Memorandum from the Office of Clearance and Settlement and the Division of Trading and Markets regarding a September 22, 2022 conference call with representatives from BNY Mellon/Pershing |
| Oct. 3, 2022 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 30, 2022 meeting with representatives of SIFMA |
| Sep. 26, 2022 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 23, 2022 meeting with representatives of the Depository Trust & Clearing Corporation |
| Sep. 16, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 13, 2022 meeting with representatives of the Depository Trust & Clearing Corporation |
| Sep. 14, 2022 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 14, 2022 meeting with representatives of SIFMA |
| Sep. 13, 2022 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 13, 2022 meeting with representatives of DTCC |
| Aug. 26, 2022 | Memorandum from the Office of Clearance and Settlement and the Division of Trading and Markets regarding an August 8, 2022 conference call with representatives of DTCC |
| Aug. 26, 2022 | Memorandum from the Office of Clearance and Settlement and the Division of Trading and Markets regarding an August 26, 2022 conference call with representatives of BNY Mellon/Pershing |
| Aug. 18, 2022 | Memorandum from the Office of Clearance and Settlement and the Division of Trading and Markets regarding an August 17, 2022 call with representatives of DTCC |
| Aug. 16, 2022 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 10, 2022 teleconference with representatives of SIFMA |
| Jul. 27, 2022 | Memorandum from the Division of Trading and Markets regarding a July 26, 2022 webex with representatives of the Investment Adviser Association |
| Jul. 22, 2022 | Memorandum from the Office of Clearance and Settlement and the Division of Trading and Markets regarding a July 21, 2022 call with representatives of DTCC |
| Jul. 6, 2022 | Memorandum from the Division of Trading and Markets regarding a July 6, 2022 meeting with representatives of ICI |
| Jun. 30, 2022 | Memorandum from the Division of Trading and Markets regarding a June 30, 2022 meeting with representatives of SIFMA |
| Jun. 29, 2022 | Memorandum from the Office of the Chair regarding a June 29, 2022 meeting with representatives of the U.S. Institute Advisory Board |
| Jun. 24, 2022 | Memorandum from the Division of Trading and Markets regarding a June 24, 2022 meeting with representatives of DTCC |
| Jun. 23, 2022 | Memorandum from the Division of Trading and Markets regarding a June 23, 2022 webex with representatives of the DTCC |
| Jun. 13, 2022 | Memorandum from the Division of Trading and Markets regarding a June 13, 2022 webex with representatives of the Securities Transfer Association |
| May 20, 2022 | Memorandum from the Division of Trading and Markets regarding a May 20, 2022 meeting with representatives of Fidelity |
| Apr. 29, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 29, 2022 videoconference with Representatives of Michael Best |
| Mar. 22, 2022 | Memorandum from the Division of Trading and Markets regarding a March 11, 2022 conference call with Representatives from the Depository Trust & Clearing Corporation ("DTCC") |
| Mar. 11, 2022 | Memorandum from the Division of Trading and Markets regarding a March 7, 2022 meeting with representatives from the Securities Industry and Financial Markets Association ("SIFMA") |
| Feb. 11, 2022 | Memorandum from the Division of Trading and Markets regarding a February 10, 2022 call with a representative from the Securities Industry and Financial Markets Association ("SIFMA") |
