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(Click here for meetings with SEC officials; Click here for transcripts from Investor Roundtables)
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Comments have been received from individuals and entities using the following Letter Type
A: 14
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| |
| Jul. 31, 2018 | Marge Schiller |
| Jul. 31, 2018 | Ken Fisher, Executive Chairman, Fisher Investments |
| Jul. 31, 2018 | Paul Hynes |
| Jul. 31, 2018 | Marge Schiller |
| Jul. 31, 2018 | Lou Day |
| Jul. 31, 2018 | Spencer Stephens |
| Jul. 31, 2018 | Joe Matelich |
| Jul. 31, 2018 | PJ Wallin |
| Jul. 31, 2018 | Amy Irvine, Irvine Wealth Planning Strategies, LLC |
| Jul. 31, 2018 | Arlene Moss |
| Jul. 31, 2018 | Kyle Mast, Certified Financial Planner, Owner or Clarity Financial LLC |
| Jul. 31, 2018 | Drew Tignanelli |
| Jul. 31, 2018 | Cory Nichols |
| Jul. 30, 2018 | Roger Bair |
| Jul. 30, 2018 | Paul Calderon |
| Jul. 30, 2018 | Gerald Lopatin, CFP, EA, CA licensed Investment Advisor, CFP Professional |
| Jul. 29, 2018 | Bob Rall |
| Jul. 29, 2018 | Linda Baumbusch |
| Jul. 28, 2018 | Derieck Hodges |
| Jul. 27, 2018 | Kevin J. Miller, Executive Vice President & General Counsel, Securities America, Inc. |
| Jul. 27, 2018 | Glen Strong |
| Jul. 27, 2018 | Eric S. Westberg, Chairman & CEO, KMS Financial Services, Inc. |
| 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. 26, 2018 | Michael Harris, Blue Rock Financial Services, Inc. |
| Jul. 26, 2018 | Laura Mattia |
| Jul. 26, 2018 | Tom Rogers, Portland Financial Planning Group, LLC |
| Jul. 25, 2018 | Lauren Zangardi Haynes |
| Jul. 25, 2018 | Jim McMahon |
| Jul. 25, 2018 | Bob Murphy |
| Jul. 25, 2018 | Abby Kovach |
| Jul. 24, 2018 | Mel Lagomasino |
| Jul. 24, 2018 | Adam Leavitt |
| Jul. 24, 2018 | Danielle Seurkamp |
| Jul. 24, 2018 | Mitchell Hockenbury |
| Jul. 24, 2018 | William Cuthbertson |
| Jul. 24, 2018 | Pat Smith |
| Jul. 23, 2018 | Jon Panitzke |
| Jul. 23, 2018 | Kathy Sachs |
| Jul. 23, 2018 | Hugh Caddess |
| Jul. 22, 2018 | Jennifer Mellgren |
| Jul. 22, 2018 | Alan Stamm |
| Jul. 21, 2018 | Juanita Fontaine |
| Jul. 21, 2018 | Mark Winsor |
| Jul. 20, 2018 | Kent A. Mason, Davis & Harman LLP |
| Jul. 20, 2018 | Anthony Hicks |
| Jul. 20, 2018 | Daniel Schuman |
| Jul. 20, 2018 | John Liechty, Integrated Financial Planning Solutions, LLC |
| Jul. 18, 2018 | Scott MacKillop,CEO, First Ascent Asset Management |
| Jul. 19, 2018 | Richard Salkowitz |
| Jul. 19, 2018 | Chelsea Matvey |
| Jul. 14, 2018 | Craig Guinn |
| Jul. 18, 2018 | Huelien Pham |
| Jul. 18, 2018 | Jay Thompson |
| Jul. 18, 2018 | Mahesh Bhupalam |
| Jul. 18, 2018 | Loizos Prodromou |
| Jul. 18, 2018 | Steven Miller |
| Jul. 17, 2018 | Lloyd Coleman |
| Jul. 17, 2018 | Kevin McGuire |
| Jul. 16, 2018 | John L. Thornton, Co-Chair; Hal S. Scott, Director; and R. Glenn Hubbard, Co-Chair; Committee on Capital Markets Regulation |
| Jul. 16, 2018 | Sean E. Walters, Executive Director/CEO, Investments & Wealth Institute |
| Jul. 16, 2018 | Jim Morris |
| Jul. 15, 2018 | Mary Malone |
| Jul. 14, 2018 | Tony Greiner |
| Jul. 13, 2018 | Frederick Greene |
| Jul. 10, 2018 | Rod Carroll |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Marcus Paredes |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Mary Newton |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Robert Carr |
| Jul. 10, 2018 | Anonymous |
| Jul. 10, 2018 | Mike Keeler |
| Jul. 10, 2018 | Jeffrey T. |
| Jul. 6, 2018 | Darren Markle |
| Jun. 30, 2018 | Dr. Dwight Sanders |
| Jun. 30, 2018 | Tom Nowak, Quantum Financial Planning LLC |
| Jun. 28, 2018 | Gerald B. Levin |
| Jun. 28, 2018 | Ivan M. Illan, Founder and CIO, Aligne Wealth Preservation and Insurance Services, LLC. |
| Jun. 28, 2018 | Mary Margolis, MBR Financial |
| Jun. 27, 2018 | Leslie Bloomer |
| Jun. 26, 2018 | Amy McCloud |
| Jun. 22, 2018 | Richard Rohr |
| Jun. 22, 2018 | Charles Christine |
| Jun. 20, 2018 | Ron Shepherd |
| Jun. 19, 2018 | Catherine Shea |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Rob Seits |
| Jun. 18, 2018 | Joker Jenkins |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Lee Baird |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Mark Shaffer |
| Jun. 18, 2018 | Don Parsons, President, BBB of Houston |
| Jun. 18, 2018 | Angela Montellano |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Brian Hobbs |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | George Durgin |
| Jun. 18, 2018 | Malia Starmer |
| Jun. 18, 2018 | Karean Hoggan |
| Jun. 18, 2018 | Jason Starmer |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | David Schreiner |
| Jun. 18, 2018 | James Davis |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Anonymous |
| Jun. 18, 2018 | Mike Brantley |
| Jun. 18, 2018 | Anonymous |
| Jun. 15, 2018 | Anonymous |
| Jun. 8, 2018 | Dwight Sanders |
| Jun. 8, 2018 | Peter E. Bulger, Front Street Consulting |
| Jun. 6, 2018 | Brenda Winslow |
| Jun. 4, 2018 | M.T. Bowling |
| Jun. 2, 2018 | George Macke |
| Jun. 1, 2018 | M.T. Bowling |
| 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 |
| May 25, 2018 | Robert N. Veres, Publisher, Inside Information |
| May 1, 2018 | Julian Heron |
| Apr. 28, 2018 | Jennifer Lee |
| Apr. 28, 2018 | Craig Martin, President, Family Wealth Consultants, Inc. |
| Apr. 26, 2018 | David John Marotta, Columnist and Registered Investment Advisor |
| Apr. 25, 2018 | Brandon Grundy |
| Apr. 23, 2018 | John Wahh |
| Apr. 21, 2018 | Matthew G. Ely |
| Apr. 20, 2018 | Renee Hall, President, Registered Advisor Services |
| Apr. 19, 2018 | Jay R. |
| Apr. 19, 2018 | Sheri J. Mushel, Compliance Consultant |
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)
|
| 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 | L. A. Schnase, Individual Investor and Attorney at Law |
| Jul. 30, 2018 | Memorandum from the Division of Trading and Markets regarding a July 30, 2018, meeting with representatives of Edward Jones |
| Jul. 30, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 30, 2018, meeting with the Investment Adviser Association |
| Jul. 30, 2018 | Memorandum from the Division of Investment Management Division of Investment Management regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions |
| Jul. 30, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 30, 2018, meeting with representatives of the Investment Adviser Association |
| Jul. 26, 2018 | Memorandum from the Division of Investment Management regarding a July 25, 2018, meeting with representatives of Fidelity Investments |
| 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 Office of Commissioner Robert J. Jackson regarding a May 14, 2018, meeting with the Consumer Federation of America |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an April 24, 2018, meeting with the Certified Financial Planner Board of Standards |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an April 24, 2018, meeting with the SIFMA Board of Governors |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 10, 2018, meeting with representatives of the Investment Company Institute |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 253, 2018, discussion with representatives of the Institute for the Fiduciary Standard |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a July 23, 2018, discussion with representatives of Consumer Federation of America |
| Jul. 25, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding a May 23, 2018, discussion with representatives of the Institute for the Fiduciary Standard |
| 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 Office of Commissioner Robert J. Jackson, Jr., regarding a July 23, 2018, meeting with representatives of AALU |
| Jul. 24, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a July 23, 2018, meeting with representatives of SIFMA |
| 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. 13, 2018 | Memorandum from the Office of the Investor Advocate regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions |
| Jul. 12, 2018 | Memorandum from the Division of Investment Management regarding a July 12, 2018, meeting with representatives of New York Life |
| Jul. 12, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a July 11, 2018, meeting with representatives of Donnelley Financial Solutions |
| 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 Commissioner Hester M. Peirce regarding a July 12, 2018, meeting with representatives of New York Life Insurance Company |
| 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 Commissioner Kara M. Stein 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. 19, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a June 19, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Jun. 19, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a June 4, 2018, meeting with a representative of the Consumer Federation of America |
| 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 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 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018, meeting with representatives of AXA Equitable Life Insurance Company |
| 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 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 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 |
