Comments on Proposed Rule: Incentive-based Compensation Arrangements

[Release No. 34-77776; File No. S7-07-16]

Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type
A: 18
 
May 18, 2017 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Nov. 23, 2016 Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Nov. 17, 2016 Karen M. Crupi, Senior Vice President & Deputy General Counsel, Chief Legal Officer, National Financial Services LLC
Oct. 26, 2016 Sen. Robert Menendez, et al., U.S. Senate
Oct. 5, 2016 Rep. Maxine Waters, et al., Committee on Financial Servies, U.S. House of Representatives
Aug. 18, 2016 Bram Smith, Executive Director, Loan Syndications and Trading Association
Jul. 25, 2016 Robert McCormick, Chief Policy Officer, et al., Glass, Lewis & Co., LLC
Jul. 25, 2016 Robert E. Rutkowski
Jul. 22, 2016 Akshat Tewary, et al., Occupy the SEC
Jul. 22, 2016 Rich Foster, Senior Vice President & Senior Counsel, Regulatory and Legal Affairs, Financial Services Roundtable
Jul. 22, 2016 Bridget Hagan, Executive Director, The Insurance Coalition
Jul. 22, 2016 Stuart J. Kaswell, Executive Vice-President and Managing Director, General Counsel, MFA, and Jiří Król, Deputy CEO, Global Head of Government Affairs, AIMA
Jul. 22, 2016 Taylor Wedge French and Rosemary Becchi, McGuireWoods, LLP
Jul. 22, 2016 BB&T Corporation, Capital One Financial Corporation, PNC Financial Services Group, and U.S. Bancorp
Jul. 22, 2016 American Family Voices, et al.
Jul. 22, 2016 Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Jul. 22, 2016 Americans for Financial Reform
Jul. 22, 2016 Donald G. Kalfen and Susan C. O’Donnell, Meridian Compensation Partners, LLC
Jul. 22, 2016 Gregory A. Baer, President, The Clearing House Association L.L.C.
Jul. 22, 2016 Karishma Shah Page, Partner, K&L Gates LLP, on behalf of the Church Alliance
Jul. 22, 2016 Hope A. Hardison, Senior EVP, Chief Administrative Officer and Director of Human Resources, Wells Fargo & Company
Jul. 22, 2016 Bryan Thomson, Senior Vice President, Public Equities, British Columbia Investment Management Corporation (bcIMC)
Jul. 22, 2016 John Keenan, Corporate Governance Analyst, American Federation of State, County and Municipal Employees
Jul. 22, 2016 Christopher A. Klem and Molly S. Moore, Ropes & Gray LLP
Jul. 22, 2016 Denise L. Nappier, Treasurer, State of Connecticut
Jul. 22, 2016 James Allen, CFA, Head, Capital Markets Policy, and Matt Orsagh, CFA, Director, Capital Markets Policy, CFA Institute
Jul. 22, 2016 Public Citizen
Jul. 22, 2016 Jason Mulvihill, General Counsel, American Investment Council
Jul. 22, 2016 Kenneth E. Bentsen, Jr., President & CEO, SIFMA
Jul. 22, 2016 Henry D. Eickelberg, Chief Operating Officer, Center On Executive Compensation
Jul. 22, 2016 Heather Slavkin Corzo, Office of Investment, AFL-CIO
Jul. 22, 2016 David W. Blass, General Counsel, Investment Company Institute, Washington, District of Columbia
Jul. 22, 2016 Karen E. Carraher, Executive Director, Ohio Public Employees Retirement System (OPERS)
Jul. 22, 2016 Sarah Anderson, Global Economy Project Director, Institute for Policy Studies
Jul. 22, 2016 Robert C. Grohowski, General Counsel, Investment Adviser Association
Jul. 22, 2016 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers
Jul. 22, 2016 Hu Benton, Vice President of Bank Policy, American Bankers Association
Jul. 22, 2016 Christopher Cole, Executive Vice President and Senior Regulatory Counsel, Independent Community Bankers of America
Jul. 22, 2016 American Bankers Association, Center on Executive Compensation, Financial Services Roundtable, Securities Industry and Financial Markets Association, The Clearing House, and The U.S. Chamber of Commerce
Jul. 22, 2016 Gregg H. Passin, Senior Partner, North America Executive Rewards Leader, and Vicki Elliott, Senior Partner, Financial Services Talent Leader, Mercer LLC
Jul. 22, 2016 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Jul. 22, 2016 Darren Brady, Hermes Equity Ownership Services Limited
Jul. 22, 2016 Mark R. Thresher, Executive Vice President, Chief Financial Officer, Nationwide Mutual Insurance Company
Jul. 21, 2016 Tom Quaadman, Senior Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Jul. 21, 2016 Karen M. Crupi, Chief Legal Officer, National Financial Services LLC, Jersey City, New Jersey
Jul. 21, 2016 Imelda Navarro, Treasurer and CFO, International Bancshares Corporation
Jul. 21, 2016 Deborah S. Prutzman, Chief Executive Officer, The Regulatory Fundamentals Group LLC
Jul. 21, 2016 Timothy R. Wing, MST, President & CEO, STock/Option Consulting & Knowledge Services, Inc.
Jul. 20, 2016 John Hayes, Chair, Corporate Governance Committee, Business Roundtable
Jul. 20, 2016 Edward J. DeMarco, Jr., General Counsel and Director of Operational Risk & Regulatory Relations/Communications, Risk Management Association
Jul. 19, 2016 Anonymous
Jul. 19, 2016 Gisele Sirot
Jul. 18, 2016 Sanjai Bhagat, Professor of Finance University of Colorado, Boulder, Colorado
Jul. 15, 2016 Glenn Davis, Director of Research, Council of Institutional Investors
Jun. 22, 2016 The Arlington Young Democrats
Jun. 20, 2016 Russell A. Shonk, Wichita, Kansas
Jun. 15, 2016 Gerard ("Bart") F. Barlow, III, San Diego, California
Jun. 2, 2016 Bridget Hagan, Executive Director, The Insurance Coalition
Jun. 1, 2016 Jeremy R. Newell, Executive Managing Director, General Counsel and Head of Regulatory Affairs, The Clearing House Association L.L.C.
Jun. 1, 2016 American Bankers Association, Financial Services Roundtable, The Center for Executive Compensation, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce
May 31, 2016 Tom Quaadman, Senior Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
May 26, 2016 Bartlett Collins Naylor, Financial Policy Advocate, Congress Watch, Public Citizen
May 20, 2016 Tran Bang

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 1, 2018 Memorandum from the Office of the Chairman regarding an October 1, 2018, meeting with Sanjai Bhagat, Provost Professor of Finance, University of Colorado
Jul. 21, 2017 Memorandum from the Division of Corporation Finance regarding a July 21, 2017, meeting with representatives of Americans for Financial Reform
Nov. 18, 2016 Memorandum from the Division of Economic and Risk Analysis regarding a November 3, 2016, presentation by Sanjai Bhagat, Provost Professor of Finance, University of Colorado
Nov. 16, 2016 Memorandum from the Division of Trading and Markets regarding a November 16, 2016, meeting with representatives of the Clearing House Association
Nov. 9, 2016 Memorandum from the Division of Trading and Markets regarding a November 9, 2016, meeting with representatives of Zions Bancorporation
Nov. 3, 2016 Memorandum from the Division of Trading and Markets regarding a November 3, 2016, meeting with Sanjai Bhagat, Provost Professor of Finance, University of Colorado
Nov. 2, 2016 Memorandum from the Division of Trading and Markets regarding a November 2, 2016, meeting with representatives of SIFMA
Oct. 28, 2016 Memorandum from the Division of Trading and Markets regarding an October 28, 2016, meeting with representatives of Financial Services Roundtable
Oct. 18, 2016 Memorandum from the Division of Trading and Markets regarding an October 18, 2016, meeting with representatives of McGuireWoods
Sep. 28, 2016 Memorandum from the Division of Investment Management regarding a September 26, 2016, meeting with representatives of the Managed Funds Association
Sep. 26, 2016 Memorandum from the Office of the Chair regarding a September 26, 2016, meeting with representatives of the D.E. Shaw Group, Millennium Management LLC, Davidson Kempner Capital Management, and the Managed Funds Association
Sep. 22, 2016 Memorandum from the Division of Investment Management regarding a September 19, 2016, meeting with representatives of American Investment Council
Sep. 19, 2016 Memorandum from the Division of Investment Management regarding a September 14, 2016, meeting with representatives of The Regulatory Fundamentals Group LLC
Aug. 24, 2016 Memorandum from the Division of Trading and Markets regarding an August 24, 2016, meeting with representatives of Better Markets
Aug. 18, 2016 Memorandum from the Division of Economic and Risk Analysis regarding an August 15, 2016, meeting with representatives of Americans for Financial Reform
Jul. 19, 2016 Memorandum from the Division of Investment Management regarding a July 19, 2016, meeting with representatives of the Center on Executive Compensation, Charles Schwab, US Bank and American Express
Jul. 13, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a July 13, 2016, meeting with representatives of Public Citizen and Americans for Financial Reform
Jul. 13, 2016 Memorandum from the Division of Investment Management regarding a July 13, 2016, meeting with representatives of the Alternative Investment Management Association and the Managed Funds Association
Jul. 7, 2016 Memorandum from the Division of Trading and Markets regarding a July 7, 2016, meeting with representatives of Fidelity Investments
Jun. 29, 2016 Memorandum from the Division of Trading and Markets regarding a June 29, 2016, meeting with representatives of the Securities Industry and Financial Markets Association, Ameriprise Financial, Barclays, the Bank of New York Mellon, Cleary Gottlieb Steen & Hamilton LLP, Davis Polk & Wardell LLP, Goldman Sachs Bank USA, Janney Montgomery Scott LLC, LPL Financial LLC, Morgan Stanley, Nomura Holding America Inc., TD Ameritrade, and U.S. Bank
Jun. 20, 2016 Memorandum from the Division of Trading and Markets regarding a June 20, 2016, meeting with representatives of Americans for Financial Reform