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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: 18
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| May 15, 2024 | Chris Van Hollen, United States Senator, and Nydia M. Velázquez, Member of Congress |
| May 9, 2024 | 20/20 Vision; American Federation of Labor and Congress of Industrial Organizations (AFL-CIO); American Federation of State, County and Municipal Employees (AFSCME); American Federation of Teachers (AFT); Institute for Local Self-Reliance; Americans for Financial Reform Education Fund; Committee for Better Banks; Consumer Action; Institute for Local Self-Reliance; Institute for Policy Studies, Global Economy Project; Interfaith Center on Corporate Responsibility; Maine People's Alliance; Our Revolution; Public Citizen; Public Good Law Center; Revolving Door Project; The Value Alliance; United for Respect; USPIRG;VOICE (Voices Organized in Civic Engagement) |
| Jun. 6, 2023 | Michael Eric Herz, Arthur Kaplan Professor of Law, Benjamin N. Cardozo School of Law et al. |
| Apr. 11, 2023 | Governing for Impact, Americans for Financial Reform Education Fund, Center for LGBTQ Advancement & Research, Public Citizen, and The Revolving Door Project |
| Mar. 30, 2023 | Bartlett Naylor, Public Citizen |
| 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
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| Jun. 1, 2016 | Jeremy R. Newell, Executive Managing Director, General Counsel and Head of Regulatory Affairs, The Clearing House Association L.L.C.
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| 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
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| May 31, 2016 | Tom Quaadman, Senior Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
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| May 26, 2016 | Bartlett Collins Naylor, Financial Policy Advocate, Congress Watch, Public Citizen
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| May 20, 2016 | Tran Bang
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 4, 2024 | Memorandum from the Office of the Chairman regarding a May 31, 2024 meeting with a representative of Public Citizen |
| Aug. 11, 2023 | Memorandum from the Office of Public Engagement regarding an August 4, 2023 virtual meeting with Labor Organizations |
| Jul. 13, 2023 | Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a February, 1, 2023 meeting with representatives of Americans for Financial Reform |
| May. 9, 2023 | Memorandum from the Office of the Chairman regarding an April 24, 2023 virtual meeting with a representative of Public Citizen |
| Feb. 27, 2023 | Memorandum from the Office of Commissioner Jaime E. Lizárraga regarding a February 27, 2023 meeting with representatives from the Americans for Financial Reform |
| Oct. 22, 2019 | Memorandum from the Division of Trading and Markets regarding an October 10, 2019, meeting with the Bank Policy Institute, et al. |
| Oct. 17, 2019 | Memorandum from the Office of the Chairman regarding an October 10, 2019, meeting with representatives of the Bank Policy Institute |
| Oct. 17, 2019 | Memorandum from the Office of the Chairman regarding an October 1, 2019, meeting with representatives of Fidelity |
| Jul. 10, 2019 | Memorandum from the Division of Investment Management regarding a July 10, 2019, meeting with representatives of the American Investment Council |
| 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
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| Nov. 16, 2016 |
Memorandum from the Division of Trading and Markets regarding a November 16, 2016, meeting with representatives of the Clearing House Association
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| Nov. 9, 2016 |
Memorandum from the Division of Trading and Markets regarding a November 9, 2016, meeting with representatives of Zions Bancorporation
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| 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
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| Nov. 2, 2016 |
Memorandum from the Division of Trading and Markets regarding a November 2, 2016, meeting with representatives of SIFMA
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| Oct. 28, 2016 |
Memorandum from the Division of Trading and Markets regarding an October 28, 2016, meeting with representatives of Financial Services Roundtable
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| Oct. 18, 2016 |
Memorandum from the Division of Trading and Markets regarding an October 18, 2016, meeting with representatives of McGuireWoods
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| Sep. 28, 2016 |
Memorandum from the Division of Investment Management regarding a September 26, 2016, meeting with representatives of the Managed Funds Association
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| 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
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| Sep. 22, 2016 |
Memorandum from the Division of Investment Management regarding a September 19, 2016, meeting with representatives of American Investment Council
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| Sep. 19, 2016 |
Memorandum from the Division of Investment Management regarding a September 14, 2016, meeting with representatives of The Regulatory Fundamentals Group LLC
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| Aug. 24, 2016 |
Memorandum from the Division of Trading and Markets regarding an August 24, 2016, meeting with representatives of Better Markets
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| 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
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| 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
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| 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
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| 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
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| Jul. 7, 2016 |
Memorandum from the Division of Trading and Markets regarding a July 7, 2016, meeting with representatives of Fidelity Investments
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| 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
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| Jun. 20, 2016 |
Memorandum from the Division of Trading and Markets regarding a June 20, 2016, meeting with representatives of Americans for Financial Reform
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