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(Click here for meetings with SEC officials; Click here for transcripts from Investor Roundtables) |
| May 28, 2019 | Sharon Cheever, Senior Vice President and General Counsel, Pacific Life Insurance Company |
| May 16, 2019 | Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce |
| Apr. 25, 2019 | Michael Pieciak, President, North American Securities Administrators Association |
| Mar. 22, 2019 | Matthew Newell, Associate General Counsel, and Benjamin Allensworth, Associate General Counsel, Managed Fund Association |
| Feb. 28, 2019 | Tom Kmak, Founder and Chief Executive Officer, Fiduciary Benchmarks, Inc. |
| Feb. 25, 2019 | Jason Mulvihill, Chief Operating Officer General Counsel, American Investment Council |
| Feb. 12, 2019 | Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association, et al. |
| Dec. 7, 2018 | Gordon O. Donohue |
| Dec. 7, 2018 | AFL-CIO, et al. |
| Dec. 7, 2018 | AARP and the Certified Financial Planner Board of Standards, Inc. |
| Dec. 7, 2018 | Christine Lazaro, President, Public Investors Arbitration Bar Association (PIABA) |
| Dec. 6, 2018 | Knut A. Rostad, President, Institute for the Fiduciary Standard |
| Dec. 4, 2018 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| Nov. 21, 2018 | Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA) |
| Nov. 7, 2018 | RAND Corporation |
| Nov. 5, 2018 | Brian H. Graff, Chief Executive Officer, American Retirement Association |
| Oct. 24, 2018 | Dennis Kelleher, President and CEO, et al., Better Markets, Inc. |
| Oct. 12, 2018 | RAND Corporation and the SEC's Office of the Investor Advocate |
| Oct. 11, 2018 | Jack Ehnes, Chief Executive Officer, California State Teachers' Retirement System |
| Sep. 27, 2018 | Tan Liu |
| Sep. 12, 2018 | Maxine Waters, Ranking Member, Committee on Financial Services, U.S. House of Representatives, et al. |
| Sep. 10, 2018 | Diana Shore Joslin |
| Sep. 9, 2018 | Michelle Keating |
| Sep. 5, 2018 | Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Aug. 24, 2018 | Paul N. Roth, Chair, and Barry P. Barbash, Vice Chair, Hedge Funds Subcommittee, Federal Regulation of Securities Committee, Business Law Section, American Bar Association |
| Aug. 23, 2018 | Joseph P. Borg, President, North American Securities Administrators Association (NASAA) |
| Aug. 13, 2018 | Nancy A. LeaMond, Executive Vice President, AARP |
| Aug. 10, 2018 | Bob Growhowski, Senior Legal Counsel, and Jon Siegel, T. Rowe Price, Senior Legal Counsel, T. Rowe Price |
| Aug. 8, 2018 | Ann Wagner, Member of Congress, et al. |
| Aug. 8, 2018 | Schulte Roth Zabel & LLP |
| Aug. 7, 2018 | William F. Galvin, Secretary of the Commonwealth of Massachusetts |
| Aug. 7, 2018 | Michelle Gass, Paradigm Advisors LLC |
| Aug. 7, 2018 | Donald W. Nicholson, President, Donald W. Nicholson & Associates, Ltd. |
| Aug. 7, 2018 | Marc Cadin, Chief Operating Officer, Association of Advanced Life Underwriting |
| Aug. 7, 2018 | David Kowach, Head of Wells Fargo Advisors, Wells Fargo & Company |
| Aug. 7, 2018 | Chris Lewis, General Counsel, Edward D. Jones and Co., L.P. |
| Aug. 7, 2018 | Seth A. Miller, General Counsel, Senior Vice President, Chief Risk Officer, Cambridge Investment Research, Inc. |
| Aug. 7, 2018 | Robert J. Moore, Chief Executive Officer, Cetera Financial Group |
| Aug. 7, 2018 | Brian Hamburger, President and CEO, MarketCounsel |
| Aug. 7, 2018 | James J. Angel, Associate Professor of Finance, Georgetown University |
| Aug. 7, 2018 | Dechert LLP |
| Aug. 7, 2018 | Anne Tennant, Managing Director and General Counsel, Morgan Stanley Smith Barney LLC |
| Aug. 7, 2018 | Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds |
| Aug. 7, 2018 | Doug Eu, CEO, Allianz Global Investors |
| Aug. 7, 2018 | Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP |
| Aug. 7, 2018 | Michelle Bryan Oroschakoff, Chief Legal Officer, LPL Financial LLC |
| Aug. 7, 2018 | Catherine J. Weatherford, President & CEO, Insured Retirement Institute |
| Aug. 7, 2018 | Gregory J. Karis, Inflection Advisors |
| Aug. 7, 2018 | Jason Mulvihill, General Counsel, American Investment Council |
| Aug. 7, 2018 | Kevin R. Keller, Chief Executive Officer, CFP Board, et al., Finnancial Planning Coalition |
| Aug. 7, 2018 | Neal J. Solomon, Managing Member, WealthPro, LLC |
| Aug. 7, 2018 | Patrick T. Morris, President & CEO, Association for Corporate Growth |
| Aug. 7, 2018 | George T. Lee,
Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section |
| Aug. 7, 2018 | Bret C. Duffy, Senior Managing Director, Teachers Insurance and Annuity Association of America (TIAA) |
| Aug. 7, 2018 | Monique Morrissey, Economist, and Heidi Shierholz, Senior Economist and Director of Policy, Economic Policy Institute |
| Aug. 7, 2018 | Ram Subramaniam, Head of Brokerage and Investment Solutions, Fidelity Investments, and David Forman, Chief Legal Officer, Fidelity Brokerage Services LLC |
| Aug. 7, 2018 | Jason Bortz, Senior Counsel, Capital Research and Management Company |
| Aug. 7, 2018 | Kenneth E. Bentsen, Jr., President and CEO, SIFMA |
| Aug. 7, 2018 | Craig D. Pfeiffer, President and CEO, Money Management Institute |
| Aug. 7, 2018 | Raymond J. Manista, Executive Vice President, Northwestern Mutual Life Insurance Company |
| Aug. 7, 2018 | Justin Smith, SVP and Deputy General Counsel, Retirement and In, Voya Financial, Inc. |
| Aug. 7, 2018 | Kayla Martin, Legal Intern, and Christine Lazaro, Director and Professor of Clinical Legal Education; Securities Arbitration Clinic, St. John's University School of Law |
| Aug. 7, 2018 | Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Aug. 7, 2018 | Jon Stein, Founder and CEO, et al., Betterment LLC |
| Aug. 7, 2018 | Gregory J. Karis, Inflection Advisors |
| Aug. 7, 2018 | Jean-Luc Bourdon, CPA/PFS, Chair, Personal Financial Planning Legislative and Regulatory Task Force, and Charles R. Kowal, Chair, Personal Financial Planning Executive Committee; AICPA |
| Aug. 7, 2018 | Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network |
| Aug. 7, 2018 | George T. Lee, Chair, and James A. Deeken, Vice-Chair, Investment Funds Committee, State Bar of Texas Business Law Section |
| Aug. 7, 2018 | Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management |
| Aug. 7, 2018 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Aug. 7, 2018 | David Certner, Legislative Counsel and Legislative Policy Directo, AARP |
| Aug. 7, 2018 | Nora M. Everett, President, Retirement and Income Solutions, Principal Financial Group |
| Aug. 7, 2018 | Mortimer J. Buckley, President and Chief Executive Officer, The Vanguard Group, Inc. |
| Aug. 7, 2018 | Ann M. Kappler, Senior Vice President, Deputy General Counsel, Prudential Financial, Inc. |
| Aug. 7, 2018 | Robin C. Swope, Director, Global Product Governance & Support, Invesco Advisers, Inc. |
| Aug. 7, 2018 | Eric E. Haas, Altruist Financial Advisors LLC |
| Aug. 7, 2018 | Tom Clark, Managing Director, and Sean Murphy, Vice President, BlackRock, Inc. |
| Aug. 7, 2018 | Karen L. Sukin, EVP and Deputy General Counsel, Primerica, Inc. |
| Aug. 7, 2018 | Royce A. Charney, J.D., President, Trust Administrators, Inc. |
| Aug. 7, 2018 | Kurt N. Schacht, Managing Director, et al., CFA Institute Advocacy |
| Aug. 7, 2018 | Lisa D. Crossley, Executive Director, The National Society of Compliance Professionals |
| Aug. 7, 2018 | Bobby Franklin, President and CEO, National Venture Capital Association |
| Aug. 7, 2018 | Tom P. Quaadman, Executive Vice President, CCMC, US Chamber of Commerce |
| Aug. 7, 2018 | Timothy W. Cameron, Head, and Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA AMG |
| Aug. 7, 2018 | Paul Schott Stevens, President and CEO, Investment Company Institute |
| Aug. 7, 2018 | Brian Winikoff, Senior Executive Director and Head of U.S. Life, Retirement and Wealth Management, AXA |
| Aug. 7, 2018 | Mark Heckert, Vice President, Pricing and Analytics, ICE Data Services |
| Aug. 7, 2018 | Tim Rouse, Executive Director, SPARK Institute, Inc. |
| Aug. 7, 2018 | Brian Jones, NextGen Financial Advice |
| Aug. 7, 2018 | David Spector, Legal Advantage Investments, Inc. |
| Aug. 7, 2018 | Jason E. Brown, et al., Ropes & Gray LLP |
| Aug. 7, 2018 | Lexie Pankratz, Owner, Trailhead Consulting, LLC |
| Aug. 7, 2018 | John Robinson |
| Aug. 7, 2018 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Aug. 7, 2018 | Douglas Eu, CEO, Allianz Global Investors U.S. |
| Aug. 7, 2018 | Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management |
| Aug. 7, 2018 | Gary Retelny, President and Chief Executive Officer, Institutional Shareholder Services Inc. |
| Aug. 7, 2018 | Jon Stein, Founder and CEO, et al., Betterment LLC |
| Aug. 7, 2018 | Robert D. Oros, Chief Executive Officer, HD Vest Financial Services |
| Aug. 7, 2018 | R. Scott Henderson, Bank of America |
| Aug. 7, 2018 | Gregory B. McShea, Janney Montgomery Scott LLC |
| Aug. 7, 2018 | David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute |
| Aug. 7, 2018 | Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Aug. 7, 2018 | Paul C. Reilly, Chairman and CEO, Raymond James Financial |
| Aug. 7, 2018 | Jennifer B. Harper |
| Aug. 6, 2018 | Gordon O. Donohue |
| Aug. 6, 2018 | Gary Bruebaker, Chief Investment Officer, Washington State Investment Board |
| Aug. 6, 2018 | Elise Sanguinetti, President, American Association for Justice |
| Aug. 6, 2018 | Jennipher Lommen, Owner, Wildflower Financial LLC |
| Aug. 6, 2018 | Donna J. Grubb |
| Aug. 6, 2018 | Sean R. Walters, Investments Wealth Institute |
| Aug. 6, 2018 | Ronald Rhoades, Asst. Professor, Finance Department, Western Kentucky University |
| Aug. 6, 2018 | Stacey P. Sullivan |
| Aug. 6, 2018 | Christopher Gilkerson, SVP, General Counsel, and Tara Tune, Director and Corporate Counsel, Charles Schwab & Co., Inc |
| Aug. 6, 2018 | Fiona Reynolds, Chief Executive Officer, Principles for Responsible Investment |
| Aug. 6, 2018 | Craig S. Tyle, Executive Vice President and General Counsel, Franklin Resources, Inc. |
| Aug. 6, 2018 | Steve McManus, Senior Vice President and General Counsel, State Farm Mutual Automobile Insurance Company |
| Aug. 6, 2018 | Karen L. Barr, President and CEO, Investment Adviser Association |
| Aug. 6, 2018 | Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA) |
| Aug. 6, 2018 | Christopher Jones, Chief Investment Officer, Financial Engines |
| Aug. 6, 2018 | Wade S. Wilkinson, President, CEO, Securities Service Network, LLC |
| Aug. 6, 2018 | Ben Brown, Founder & CEO, Entelechy |
| Aug. 6, 2018 | Douglas M. Ommen, Iowa Insurance Commissioner |
| Aug. 4, 2018 | Mark Generales |
| Aug. 3, 2018 | Jigar Gandhi, American Council of Life Insurers |
| Aug. 3, 2018 | Emanuel Alves, Senior Vice President & General Counsel, John Hancock Life Insurance Company (U.S.A) |
| Aug. 3, 2018 | Jim Phillips |
| Aug. 2, 2018 | Martha Menard |
| Aug. 2, 2018 | Kent A. Mason, Davis & Harman LLP |
| Aug. 2, 2018 | Max L. Schatzow, Stark & Stark, PC |
| Aug. 2, 2018 | Karen L. Barr, President and CEO, Investment Adviser Association |
| Aug. 2, 2018 | Michael Kitces, Co-Founder, XY Planning Network |
| Aug. 1, 2018 | Kenneth A. Gilpin, Sound Investments, Inc. |
| Aug. 1, 2018 | Alexander B. Yeager, Founder/Owner of Everlong Financial, Certified Financial Planner |
| Jul. 31, 2018 | Cory Nichols |
| Jul. 31, 2018 | Ken Fisher, Executive Chairman, Fisher Investments |
| Jul. 31, 2018 | Daniel Wrenne, CFP, CLU, ChFC |
| Jul. 31, 2018 | Kyle Mast, Certified Financial Planner, Owner or Clarity Financial LLC |
| Jul. 31, 2018 | John Cooney, Green and Gold Financial Planning, LLC |
| 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 | Lawrence E. Maddox, Horizon Advisors |
| 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)
|
| Oct. 30, 2018 | Roundtable on September 20, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 10, 2018 | Roundtable on July 25, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 9, 2018 | Roundtable on July 12, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 6, 2018 | Roundtable on July 17, 2018 Regarding Standards of Conduct for Investment Professionals |
| Aug. 6, 2018 | Roundtable on July 9, 2018 Regarding Standards of Conduct for Investment Professionals |
| 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)
|
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a June 3, 2019, meeting with representatives of the CFP Board |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 31, 2019, meeting with a representative of the Institutional Limited Partners Association (ILPA) |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 30, 2019, meeting with representatives of the Investment Advisers Association |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 28, 2019, meeting with representatives of AARP, AFR, CFA, NASAA, and Better Markets |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 24, 2019, meeting with representatives of Betterment |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 22, 2019, meeting with representatives of the Consumer Federation of America |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 16, 2019, meeting with Professor John Coates of Harvard Law School |
| Jun. 28, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 16, 2019, meeting with Phyllis Borzi |
| Jun. 4, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 21, 2019 meeting with representatives of the Healthy Market Association |
| Jun. 4, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 9, 2019, meeting with representatives of the American Council of Life Insurers |
| Jun. 3, 2019 | Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of AFL-CIO, et al. |
| May 28, 2019 | Memorandum from the Division of Investment Management regarding a May 28, 2019, telephone meeting with representatives of Edelman Financial Engines |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding a May 8, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding an April 15, 2019, meeting with representatives ofthe National Association of Insurance and Financial Advisors (NAIFA) |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA) |
| May 21, 2019 | Memorandum from the Office of the Chairman regarding an April 10, 2019, meeting with representatives of the Institute for Portfolio Alternatives (IPA) |
| May 10, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 9, 2019, meeting with representatives of the American Council of Life Insurers |
| May 10, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 3, 2019, meeting with representatives of Better Markets |
| May 10, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 21, 2019, meeting with representatives of AARP |
| May 10, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 15, 2019, meeting with representatives of Betterment |
| May 3, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a May 1, 2019, meeting with representatives of the Investment Advisers Association (IAA) |
| Apr. 30, 2019 | Memorandum from the Divisions of Trading and Markets and Investment Management regarding the April 4, 2019, SEC Investor Advocacy Clinic Summit |
| Apr. 22, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 22, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Apr. 16, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 16, 2019, meeting with representatives of Janney Montgomery Scott |
| Apr. 15, 2019 | Memorandum from the Division of Economic and Risk Analysis regarding an April 3, 2019, phone meeting with Department of Labor economists |
| Apr. 11, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 11, 2019, meeting with representatives of the Investment Adviser Association (IAA) |
| Apr. 11, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 8, 2019, meeting with representatives of the Institute for the Fiduciary Standard |
| Apr. 2, 2019 | Memorandum from the Office of the Chairman regarding a March 18, 2019, meeting with representatives of the American Council of Life Insurers |
| Mar. 26, 2019 | Memorandum from the Office of the Chairman regarding a March 7, 2019, call with a representative of the Investment Company Institute |
| Mar. 22, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a January 9, 2019, meeting with representatives of AARP |
| Mar. 22, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a February 20, 2019, meeting with representatives of Americans for Financial Reform |
| Mar. 22, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a January 16, 2019, meeting with representatives of the American Retirement Association |
| Mar. 22, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 13, 2019, meeting with representatives of the Investment Advisers Association |
| Mar. 22, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 5, 2019, meeting with a representative of SIFMA |
| Mar. 20, 2019 | Memorandum from the Division of Trading and Markets regarding a March 20, 2019, meeting with representatives of the American Retirement Association |
| Mar. 20, 2019 | Memorandum from the Division of Investment Management regarding a March 20, 2019, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Mar. 15, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson Jr. regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery |
| Mar. 13, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a March 13, 2019, meeting with representatives of the Investment Adviser Association |
| Mar. 12, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 12, 2019, meeting with representatives of the Investment Company Institute |
| Mar. 11, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2019, meeting with representatives of the SEC's Fort Worth Regional Office Risk Mitigation Forum |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a November 28, 2018, meeting with representatives of the Managed Funds Association |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard |
| Mar. 8, 2019 | Memorandum from the Office of the Chairman regarding a February 21, 2019, meeting with Professors Chester Spatt and Mark Flannery |
| Mar. 6, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 6, 2019, meeting with representatives of the American Securities Association |
| Mar. 6, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 5, 2019, meeting with representatives of of the North American Securities Administrators Association |
| Feb. 28, 2019 | Memorandum from the Office of the Investor Advocate regarding a February 28, 2019, meeting with representatives of AARP |
| Feb. 26, 2019 | Memorandum from the Division of Economic and Risk Analysis regarding a February 21, 2019, meeting with Chester Spratt and Mark Flannery |
| Feb. 20, 2019 | Memorandum from the Office of the Chairman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute (ICI) |
| Feb. 14, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 14, 2019, meeting with representatives of the Investment Company Institute |
| Feb. 14, 2019 | Memorandum from the Division of Economic and Risk Analysis regarding a February 13, 2019, phone meeting with former SEC Chief Economist, Craig Lewis |
| Feb. 12, 2019 | Memorandum from the Division of Investment Management regarding a February 12, 2019, meeting with representatives of AARP |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a December 17, 2018 discussion with representatives of Betterment |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a November 28, 2018 discussion with representatives of Wells Fargo |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a November 16, 2018 discussion with representatives of Fidelity |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 30, 2018 discussion with representatives of the CFA Institute |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 30, 2018 discussion with representatives of the North American Securities Administrators Association and the Maryland Securities Commissioner |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 30, 2018 discussion with representatives of the Investments & Wealth Institute and Potomac Strategies LLC |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 24, 2018 discussion with representatives of Primerica |
| Dec. 21, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a October 23, 2018 discussion with representatives of Fiduciary Benchmarks |
| Dec. 11, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a December 10, 2018, meeting with representatives of AARP |
| Dec. 10, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 10, 2018, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) and SIFMA Member Firms |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 30, 2018, meeting with representatives of Jackson National, et al. |
| Nov. 29, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America |
| Nov. 29, 2018 | Memorandum from the Office of the Chairman regarding a November 20, 2018, meeting with representatives of the American Retirement Association |
| Nov. 29, 2018 | Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America |
| Nov. 29, 2018 | Memorandum from the Office of the Chairman regarding a November 29, 2018, meeting with representatives of The Guardian Life Insurance Company of America |
| Nov. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 28, 2018, meeting with representatives of Wells Fargo Advisors |
| Nov. 20, 2018 | Memorandum from the Division of Investment Management regarding a November 20, 2018, meeting with representatives of American Investment Council |
| Nov. 20, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a November 20, 2018, meeting with representatives of the American Retirement Association |
| Nov. 19, 2018 | Memorandum from the Division of Investment Management regarding an October 30, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Nov. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2018, meeting with representatives of the Institute for the Fiduciary Standard |
| Nov. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a November 13, 2018, meeting with representatives of Mass Mutual Financial Group |
| Nov. 14, 2018 | Memorandum from the Office of the Chairman regarding a November 13, 2018, meeting with representatives of MassMutual |
| Nov. 13, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 13, 2018, meeting with representatives of MassMutual |
| Nov. 13, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 13, 2018, meeting with representatives of MassMutual |
| Nov. 13, 2018 | Memorandum from the Division of Trading and Markets regarding a November 9, 2018, telephone meeting with representatives of the Investment Company Institute |
| Nov. 6, 2018 | Memorandum from the Office of the Investor Advocate regarding an October 31, 2018, meeting with representatives of the North American Securities Administrators Association |
| Nov. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 31, 2018, meeting with with representatives of the North American Securities Administrators Association (NASAA) |
| Oct. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 31, 2018, meeting with with representatives of the CFA Institute |
| Oct. 31, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 30, 2018, meeting with representatives of North American Securities Administrators Association (NASAA) |
| Oct. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 30, 2018, meeting with representatives of the Investments & Wealth Institute |
| Oct. 30, 2018 | Memorandum from the Division of Investment Management regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU) |
| Oct. 30, 2018 | Memorandum from the Division of Trading and Markets regarding an October 30, 2018, meeting with representatives of the Investment Company Institute |
| Oct. 30, 2018 | Memorandum from the Office of the Chairman regarding an October 29, 2018, meeting with representatives of the Association for Advanced Life Underwriting (AALU) |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 29, 2018, meeting with representatives of AIG and others |
| Oct. 29, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 29, 2018, meeting with with representatives of the Association for Advanced Life Underwriting (AALU) |
| Oct. 26, 2018 | Memorandum from the Office of the Chairman regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks |
| Oct. 26, 2018 | Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of New York Life Insurance Company |
| Oct. 26, 2018 | Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of the Institutional Limited Partners Association |
| Oct. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 26, 2018, meeting with representatives of the Public Investors Arbitration Bar Association (PIABA) |
| Oct. 25, 2018 | Memorandum from the Office of the Chairman regarding an October 25, 2018, meeting with representatives of the Public Investors Arbitration Bar Association |
| Oct. 24, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 24, 2018, meeting with representatives of the Managed Funds Association |
| Oct. 24, 2018 | Memorandum from the Office of the Chairman regarding an October 24, 2018, meeting with representatives of Primerica |
| Oct. 24, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an October 22, 2018, meeting with representatives of Fiduciary Benchmarks |
| Oct. 22, 2018 | Memorandum from the Division of Investment Management regarding an October 22, 2018, meeting with representatives of SIFMA |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 28, 2018, meeting with representatives of The Institute for a Fiduciary Standard |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 19, 2018, meeting with representatives of the Consumer Federation of America |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 12, 2018, meeting with representatives of the from Institutional Limited Partners Association |
| Oct. 19, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 17, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Oct. 18, 2018 | Memorandum from the Office of the Chairman regarding a September 14, 2018, conference call with representatives of AFL-CIO |
| Oct. 12, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an August 16, 2018, meeting with representatives of Charles Schwab |
| Oct. 4, 2018 | Memorandum from the Division of Investment Management regarding an October 4, 2018, meeting with representatives of LPL Financial |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 3, 2018, meeting with representatives of AARP |
| Oct. 3, 2018 | Memorandum from the Office of the Chairman regarding a September 20, 2018, meeting with representatives of Investments & Wealth Institute |
| Sep. 19, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a September 12, 2018, meeting with members of the Investor Advisory Committee |
| Sep. 18, 2018 | Memorandum from the Office of the Chairman regarding a September 13, 2018, meeting with representatives of Better Markets: |
| Sep. 18, 2018 | Memorandum from the Office of the Chairman regarding a September 17, 2018, meeting with representatives of AARP |
| Sep. 17, 2018 | Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of the Investment Adviser Association |
| Sep. 17, 2018 | Memorandum from the Division of Investment Management regarding a September 17, 2018, meeting with representatives of Betterment |
| Sep. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a September 10, 2018, meeting with representatives of the the Institute for Portfolio Alternatives |
| Sep. 14, 2018 | Memorandum from the Division of Trading and Markets regarding a September 11, 2018, meeting with a representative of the Center for Capital Markets Competitiveness |
| Sep. 13, 2018 | Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the Institute for Portfolio Alternatives |
| Sep. 13, 2018 | Memorandum from the Office of the Chairman regarding a September 11, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Sep. 6, 2018 | Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO |
| Aug. 30, 2018 | Memorandum from the Division of Investment Management regarding an August 30, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA) |
| Aug. 23, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 23, 2018, meeting with representatives of the Financial Services Institute |
| Aug. 21, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2018, meeting with representatives of Fidelity |
| Aug. 17, 2018 | Memorandum from the Office of the Chairman regarding an August 16, 2018, meeting with representatives of Charles Schwab |
| Aug. 17, 2018 | Memorandum from the Office of the Chairman regarding an August 15, 2018, meeting with representatives of Morningstar |
| Aug. 16, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an August 16, 2018, meeting with representatives of Institutional Limited Partners Association (ILPA) |
| Aug. 9, 2018 | Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 9, 2018, meeting with representatives of the Institutional Limited Partners Association (ILPA) |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Services Institute |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of The Institute for the Fiduciary Standard |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a June 5, 2018, meeting with representatives of the North American Securities Administrators Association (NASAA) |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Financial Industry Regulatory Authority |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a July 30, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a June 19, 2018, meeting with representatives of the U.S. Chamber of Commerce |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding a May 30, 2018, meeting with representatives of the Investment Adviser Association |
| Aug. 7, 2018 | Memorandum from the Office of the Chairman regarding an April 26, 2018, meeting with representatives of the Consumer Federation of America |
| Aug. 6, 2018 | Memorandum from the Office of the Chairman regarding an August 6, 2018, meeting with with Teresa J. Verges (Director, Investor Rights Clinic, University of Miami School of Law) and Christine Lazaro (Director, Securities Arbitration Clinic, St. John's University School of Law) |
| Aug. 6, 2018 | Memorandum from the Office of the Chairman regarding an August 1, 2018, meeting with representatives of Capital Group |
| Aug. 3, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding an August 1, 2018 meeting with representatives of Capital Group |
| Aug. 1, 2018 | Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of Capital Group |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with SIFMA |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 1, 2018, meeting with representatives of Capital Group |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of FINRA Board of Governors |
| Aug. 1, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 5, 2018, meeting with representatives of the Financial Services Institute Board of Directors |
| 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 |
