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(Click here for meetings with SEC officials; Click here for transcripts from Investor Roundtables) |
| Jul. 31, 2018 | Ken Fisher, Executive Chairman, Fisher Investments |
| Jul. 31, 2018 | PJ Wallin |
| Jul. 31, 2018 | Spencer Stephens |
| Jul. 31, 2018 | Joe Matelich |
| Jul. 31, 2018 | Amy Irvine, Irvine Wealth Planning Strategies, LLC |
| Jul. 31, 2018 | Arlene Moss |
| Jul. 30, 2018 | CFP Jeffrey Guella |
| Jul. 30, 2018 | L. A. Schnase, Individual Investor and Attorney at Law |
| Jul. 30, 2018 | Chip Workman |
| Jul. 29, 2018 | Lawrence H. Luebbert |
| Jul. 27, 2018 | Eric S. Westberg, Chairman & CEO, KMS Financial Services, Inc. |
| Jul. 27, 2018 | Kevin J. Miller, Executive Vice President & General Counsel, Securities America, Inc. |
| Jul. 27, 2018 | Jeffrey Esker, Private Wealth Advisor, Certified Financial Planner with Ameriprise Financial |
| Jul. 26, 2018 | Doug Baxley, Vice President, Fiduciary and Retirement Services, Ladenburg Thalmann Financial Services Inc. |
| Jul. 26, 2018 | Patrick Farrell, President and Chief Executive Officer, Investacorp, Inc. |
| Jul. 26, 2018 | Jeffrey L. Rosenthal, President and CEO, Triad Advisors, LLC |
| Jul. 25, 2018 | James Reim, The Investment Center of Erie |
| Jul. 24, 2018 | Jeffrey W. McClure, CFP® , President, The Personal Wealth Coach® |
| Jul. 23, 2018 | Paul Marascalco |
| Jul. 23, 2018 | Steven Sivak, CFP |
| Jul. 23, 2018 | Susan Shigenaga |
| Jul. 21, 2018 | Gary W. Hobbs, Ph.D |
| Jul. 21, 2018 | Juanita Fontaine |
| Jul. 21, 2018 | Scott D. Horsburgh, CFA, President, Provident Investment Management, Inc. |
| Jul. 16, 2018 | Elyette M. Weinstein |
| Jul. 13, 2018 | Paul Jacobs |
| Jun. 28, 2018 | Benjamin Prybutok |
| Jun. 26, 2018 | Amy McCloud |
| Jun. 26, 2018 | Frank J. Nasta, Chair, Committee on Investment Management Regulation, New York City Bar Association |
| Jun. 22, 2018 | Tamar Frankel, Robert B. Kent Professor of Law, Boston University School of Law |
| Jun. 8, 2018 | Peter E. Bulger, Front Street Consulting |
| May. 30, 2018 | David S. Addington, Senior Vice President, General Counsel, National Federation of Independent Business (NFIB) |
| May 25, 2018 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Apr. 26, 2018 | David John Marotta, Columnist and Registered Investment Advisor |
| Apr. 26, 2018 | David Trainer, CEO, New Constructs, LLC |
| Apr. 25, 2018 | Roy Tanga |
| Apr. 25, 2018 | Kaitlyn Long |
| Apr. 22, 2018 | David Rilling |
| Apr. 20, 2018 | Don Lozier |
| Apr. 20, 2018 | Julie Shryock |
| Apr. 19, 2018 | Christopher E. Green |
| Apr. 19, 2018 | Aaron Stinebrink |
| Apr. 19, 2018 | Kenneth M. Phillips |
Transcripts from Investor Roundtables
(Click here for submitted comments from the public)
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| Jul. 31, 2018 | Roundtable on June 13, 2018 Regarding Standards of Conduct for Investment Professionals |
| Jul. 31, 2018 | Roundtable on June 4, 2018 Regarding Standards of Conduct for Investment Professionals |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jul. 31, 2018 | Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 31, 2018 | Memorandum from the Office of the Commissioner Hester M. Peirce regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 30, 2018 | Memorandum from the Division of Trading and Markets regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 26, 2018 | Memorandum from the Office of the Chairman regarding a July 24, 2018, meeting with representatives of Insured Retirement Institute |
| Jul. 25, 2018 | Memorandum from the Division of Investment Management regarding a July 23, 2018, meeting with representatives of AALU |
| Jul. 24, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 24, 2018, meeting with the Insured Retirement Institute |
| Jul. 24, 2018 | Memorandum from the Office of the Chairman regarding a July 23, 2018, meeting with representatives of AALU |
| Jul. 24, 2018 | Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of SIFMA |
| Jul. 24, 2018 | Memorandum from the Division of Trading and Markets regarding a July 23, 2018, telephone meeting with representatives of Iowa Insurance Division |
| Jul. 24, 2018 | Memorandum from the Division of Investment Management regarding a July 24, 2018, meeting with representatives of Charles Schwab & Co. |
| Jul. 23, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of SIFMA |
| Jul. 23, 2018 | Memorandum from the Office Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of the Association for Advanced Life Underwriting |
| Jul. 23, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 17, 2018, meeting with representatives the American Securities Association |
| Jul. 18, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of Jane Street |
| Jul. 17, 2018 | Memorandum from the Office of the Chairman regarding a July 17, 2018, meeting with representatives of American Securities Association |
| Jul. 16, 2018 | Memorandum from the Division of Trading and Markets regarding a July 12, 2018, meeting with representatives of Eversheds Sutherland (US) LLP on behalf of the Committee of Annuity Insurers |
| Jul. 16, 2018 | Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2018, meeting with representatives of Morningstar, Inc. |
| Jul. 16, 2018 | Memorandum from the Division of Trading and Markets regarding a July 11, 2018, meeting with representatives of Fidelity Investments |
| Jul. 16, 2018 | Memorandum from the Office of the Chairman regarding a July 13, 2018, meeting with representatives of New York Life Insurance Company |
| Jul. 12, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Fidelity Investments |
| Jul. 12, 2018 | Memorandum from the Office of Chairman Jay Clayton regarding a July 11, 2018, meeting with representatives of Fidelity Investments |
| Jul. 6, 2018 | Memorandum from the Division of Investment Management regarding a June 22, 2018, meeting with representatives of the Investment Adviser Association |
| Jun. 28, 2018 | Memorandum from the Division of Investment Management regarding a June 27, 2018, meeting with representatives of the Investment Company Institute |
| Jun. 28, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 27, 2018, telephone meeting with representatives of the North American Securities Administrators Association |
| Jun. 22, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 21, 2018, meeting with representatives of the Investment Adviser Association |
| Jun. 20, 2018 | Memorandum from the Division of Investment Management regarding a June 20, 2018, meeting with representatives of Financial Engines |
| Jun. 20, 2018 | Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the Boston Asset Management Association |
| Jun. 20, 2018 | Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the CFA Institute |
| Jun. 20, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Jun. 15, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab |
| Jun. 12, 2018 | Memorandum from the Division of Investment Management regarding a June 4, 2018, meeting with representatives of the North American Securities Administrators Association |
| Jun. 11, 2018 | Memorandum from the Office of the Chairman regarding a June 11, 2018, meeting with representatives of the Investment Company Institute |
| Jun. 7, 2018 | Memorandum from the Office of the Investor Advocate regarding a June 6, 2018, meeting with representatives of the Investment Company Institute |
| Jun. 6, 2018 | Memorandum from the Office of the Chairman regarding a June 6, 2018, meeting with representatives of the Financial Planning Association and the Certified Financial Planner Board of Standards, Inc. |
| May 24, 2018 | Memorandum from the Office of the Chairman regarding a May 24, 2018, meeting with representatives of the National Association of Insurance Commissioners |
| May 22, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2018, meeting with representatives of Charles Schwab |
| May 21, 2018 | Memorandum from the Division of Investment Management regarding a May 16, 2018, meeting with representatives of Dechert LLP |
| May 18, 2018 | Memorandum from the Office of the Investor Advocate regarding a May 18, 2018, telephone meeting with representatives of Donnelley Financial Solutions |
| May 18, 2018 | Memorandum from the Division of Trading and Markets regarding a May 16, 2018, meeting with representatives of Empower Retirement |
| May 10, 2018 | Memorandum from the Office of the Investor Advocate regarding a May 10, 2018, meeting with a representative of the Institute for the Fiduciary Standard |
| May 10, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a May 10, 2018, meeting with representatives of Americans for Financial Reform, Public Citizen, the American Federation of State, County and Municipal Employees and the AFL-CIO |
| May 10, 2018 | Memorandum from the Office of the Chairman regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of Primerica |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding a May 9, 2018, meeting with representatives of AIG |
| May 9, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a May 9, 2018, meeting with representatives of AARP |
| May 9, 2018 | Memorandum from the Office of the Chairman regarding a May 7, 2018, meeting with representatives of AARP |
