Comments on Regulation Systems Compliance and Integrity

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 8, 2025 meeting with representatives of JP Morgan Chase
Public Comment Charles DeSimone, Managing Director, Technology and Operations, Securities Industry and Financial Markets Association
Public Comment United States Senators, M. Michael Rounds, Mike Crapo, Thom Tillis, John Kennedy, Bill Hagerty, Cynthia M. Lummis, Katie Boyd Britt, Steve Daines, and Kevin Cramer
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a February 13, 2024 meeting with SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 13, 2024 meeting with representatives of Bank of America
Public Comment Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 1, 2024 meeting with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regrding a January 30, 2024 meeting with SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 22, 2024 meeting with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a December 20, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a December 20, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a December 13, 2023 meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding an October 19, 2023 meeting with Citadel
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 18, 2023 meeting with representatives of Virtu Financial
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a August 31, 2023 meeting with representatives of Virtu Financial
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 13, 2023 meeting with representatives of Citadel
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding September 13, 2023 meeting with representatives of Citadel Securities
Meeting with SEC Officials Memorandum from the Office of Commissioner Jamie Lizárraga regarding a August 31, 2023 meeting with representatives of Virtu
Public Comment Denyette DePierro, Financial Services Lead, Public Policy, Amazon Web Services, Inc.
Public Comment Rebekah Goshorn Jurata, General Counsel, American Investment Council
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a July 24, 2023 virtual meeting with National Association of Insurance Commissioners
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 1, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 2, 2023 meeting with Citadel Securities
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 26, 2023 conference call with representatives of CCP12
Meeting with SEC Officials Memorandum from the Office Of Commissioner Hester M. Peirce regarding a July 25, 2023 meeting with representatives of the Futures Industry Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 27, 2023 meeting with Tradeweb Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda reading a July 26, 2023 meeting with representatives of Tradeweb Markets Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 26, 2023 meeting with TradeWeb
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 25, 2023 meeting with representatives of the FIA Principal Traders Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 24, 2023, meeting with representatives of Hudson River Trading, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-07-23
Release Number
34-97143
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