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(Click here for meetings with SEC officials)
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| Jan. 10, 2024 | Darrell Duffie, Professor Finance, Stanford University Graduate School of Business |
| Dec. 19, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Dec. 15, 2023 | Tim Scott, Ranking Member, United States Senate |
| Dec. 12, 2023 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Nov. 3, 2023 | Marcie Frost, Chief Executive Officer, California Public Employees Retirement System; Anastasia Titarchuk, Chief Investment Officer and Deputy Comptroller for Pension Investment & Cash Management, New York State Common Retirement Fund; Jase R. Auby, Chief Investment Officer, Teacher Retirement System of Texas; and Steven Meier, Chief Investment Officer and Deputy Comptroller for Asset Management, Office of the Comptroller of the City of New York |
| Nov. 1, 2023 | Lamar Taylor, Interim Executive Director & CIO, State Board of Administration of Florida |
| Oct. 17, 2023 | Gail Bernstein, General Counsel and Monique Botkin, Associate General Counsel, Investment Adviser Association |
| Aug. 21, 2023 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Aug. 20, 2023 | Nathan Barron |
| Aug. 17, 2023 | Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute |
| Aug. 15, 2023 | Dave Cazza |
| Aug. 15, 2023 | N. Abanes |
| Aug. 15, 2023 | Brandon Smith |
| Aug. 8, 2023 | Rebekah Goshorn Jurata, General Counsel, American Investment Council |
| Jul. 24, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| May. 3, 2023 | Ben Passlow |
| Apr. 6, 2023 | Jennifer W. Han, Managed Funds Association |
| Apr. 4, 2023 | Matthew B. Siano, Esq., Managing Director, General Counsel, Two Sigma |
| Mar. 16, 2023 | Samantha DeZur, Managing Director, Global Public Policy, Michael Winnike, Director, Market Structure, Global Trading, and Waqaas Fahmawi, Director and Counsel, Trading & Derivatives, BlackRock, Inc. |
| Feb. 9, 2023 | United States Senator Bill Hagerty and U.S. Representative French Hill |
| Dec. 5, 2022 | Jennifer W. Han, Managed Funds Association |
| Dec. 5, 2022 | Jennifer W. Han, Managed Funds Association |
| Nov. 20, 2022 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, AIMA |
| Nov. 4, 2022 | U.S. Senator Thom Tillis |
| Oct. 19, 2022 | John L. Thorton, Co-Chair, Hal S. Scott, President, and R. Glenn Hubbard, Co-Chair, Committee on Capital Markets Regulation |
| Oct. 5, 2022 | Robert Toomey, Managing Director, Associate General Counsel, Head of Capital Markets and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA |
| Aug. 2, 2022 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| Jun. 23, 2022 | Marcia E. Asquith, Financial Industry Regulatory Authority, Inc. |
| Jun. 13, 2022 | Chamber of Digital Commerce |
| Jun. 8, 2022 | Morgan, Lewis & Bockius LLP |
| Jun. 8, 2022 | T. Rowe Price, T. Rowe Price |
| Jun. 7, 2022 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel |
| Jun. 6, 2022 | Investment Adviser Association |
| May 31, 2022 | McIntyre & Lemon, PLLC |
| May 28, 2022 | Element Capital Management LLC |
| May 27, 2022 | Hedge Fund Association |
| May 27, 2022 | DeFi Education Fund |
| May 27, 2022 | Joseph P. Corcoran and Rob Toomey, Managing Directors and Associate General Counsels, Securities Industry and Financial Markets Association |
| May 27, 2022 | Fried, Frank, Harris, Shriver & Jacobson LLP |
| May 27, 2022 | James Tabacchi, Chairman, Independent Dealer and Trader Association (IDTA) |
| May 27, 2022 | Schulte Roth & Zabel LLP |
| May 27, 2022 | Small Public Company Coalition |
| May 27, 2022 | Andreessen Horowitz |
| May 27, 2022 | National Association of Private Fund Managers |
| May 27, 2022 | Blockchain Association |
| May 27, 2022 | Virtu Financial, Inc. |
| May 27, 2022 | James A. Overdahl, Ph.D., Partner, Delta Strategy Group |
| May 27, 2022 | Jennifer W. Han, Managed Funds Association |
| May 27, 2022 | William C. Thum, SIFMA Asset Management Group, SIFMA AMG |
| May 27, 2022 | Michelle Bond, CEO, Association for Digital Asset Markets |
| May 27, 2022 | Better Markets |
| May 27, 2022 | Jay Knight, Chair of the Committee on Federal Regulation of Securities of the Section of Business Law of the American Bar Association |
| May 27, 2022 | Global Digital Asset and Cryptocurrency Association - Gabriella Kusz, CEO, Global Digital Asset and Cryptocurrency Association |
| May 27, 2022 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, AIMA |
| May 27, 2022 | Patrick C. Reeder, Vice President & Deputy General Counsel, American Council of Life Insurers |
| May 27, 2022 | Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative |
| May 27, 2022 | Sarah A. Bessin, Associate General Counsel, Investment Company Institute, Associate General Counsel, Investment Company Institute; Nhan Nguyen, Assistant General Counsel, Investment Company Institute |
| May 27, 2022 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| May 27, 2022 | Joseph P. Corcoran and Rob Toomey, Managing Directors and Associate General Counsels, Securities Industry and Financial Markets Association |
| May 27, 2022 | Matthew B. Siano, Esq., Managing Director, General Counsel, Two Sigma |
| May 27, 2022 | Partners of AlphaWorks Capital Management, LLC |
| May 26, 2022 | William C. Hughes, Senior Counsel & Director of Global Regulatory Matters, Consensys Software Inc. |
| May 26, 2022 | Julian Gretzinger, General Manager,Gretz Consilium LLC |
| May 24, 2022 | McIntyre & Lemon, PLLC |
| May 20, 2022 | Jennifer W. Han, Managed Funds Association |
| May 19, 2022 | Blockchain Association |
| May 9, 2022 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, AIMA |
| Apr. 21, 2022 | Adelle Nazarian, CEO, and Todd A. White, Founder, American Blockchain PAC |
| Apr. 18, 2022 | U.S. Representatives Patrick McHenry and Bill Huizenga |
| Apr. 14, 2022 | Amad Zarak |
| Apr. 11, 2022 | Nicolas Zach, Student (IT) |
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| Apr. 8, 2022 | Andrew Robison, Individual Investor |
| Apr. 2, 2022 | John Thomas, Retired |
| Mar. 28, 2022 | Matthew Sigel |
| Mar. 28, 2022 | Denys Petrina |
| Mar. 28, 2022 | David E., Retail Investor |
| Mar. 28, 2022 | Adam Beherns, Engineer |
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(Click here for submitted Comments)
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| Jan. 29, 2024 | Memorandum from the Office of the Chair regarding a January 29, 2024 meeting with FINRA |
| Jan. 24, 2024 | Memorandum from the Office of the Chair regarding a January 24, 2024 meeting with Citadel |
| Jan. 16, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a January 16, 2024 meeting with representatives of the Alternative Investment Management Association ("AIMA") |
| Jan. 5, 2024 | Memorandum from the Division of Trading and Markets regarding a January 5, 2024 meeting with the Group of Thirty |
| Jan. 2, 2024 | Memorandum from the Division of Economic and Risk Analysis regarding a January 2, 2024 meeting with Darrell Duffie |
| Dec. 5, 2023 | Memorandum from the Division of Trading and Markets regarding a December 5, 2023 meeting with representatives of Managed Fund Association |
| Nov. 29, 2023 | Memorandum from Commissioner Hester M. Peirce regarding a November 29, 2023 meeting with representatives of the Senate Committee on Banking, Housing, and Urban Affairs |
| Nov. 9, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 3, 2023 meeting with representatives of the of the Alternative Investment Management Association |
| Nov. 6, 2023 | Memorandum from the Office of the Chair regarding a November 6, 2023 meeting with MFA |
| Nov. 6, 2023 | Memorandum from the Office of the Chair regarding a November 6, 2023 meeting with MFA |
| Nov. 6, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a November 6, 2023 meeting with Investment Adviser Association |
| Nov. 3, 2023 | Memorandum from the Office of the Chair regarding a November 3, 2023 meeting with Hudson River Trading |
| Oct. 25, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 25, 2023 meeting with representatives of Schulte, Roth and Zabel |
| Oct. 20, 2023 | Memorandum from the Office of the Chair regarding an October 20, 2023 meeting with MFA |
| Oct. 19, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 19, 2023 meeting with the the Board of Directors of the Insured Retirement Institute (IRI) |
| Oct. 12, 2023 | Memorandum from the Office of the Chair regarding an October 12, 2023 meeting with Optiver |
| Oct. 12, 2023 | Memorandum from the Division of Trading and Markets regarding an October 12, 2023 meeting with New York Stock Exchange |
| Oct. 12, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an October 12, 2023 meeting with representatives of Optiver |
| Oct. 4, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a October 3, 2023 meeting with representatives of MFA |
| Sep. 27, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 27, 2023 meeting with a representative of FIA Principal Traders Group |
| Sep. 13, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 13, 2023 meeting with representatives of FIA Principal Traders Group |
| Aug. 25, 2023 | Memorandum from the Office Of Commissioner Mark T. Uyeda regarding a August 25, 2023 meeting with representatives of the Alternative Investment Management Association |
| Aug. 1, 2023 | Memorandum from the Division of Trading and Markets regarding an August 1, 2023 virtual meeting with representatives of Investment Advisers Association |
| Jul. 27, 2023 | Memorandum from the Office Of Commissioner Hester M. Peirce regarding a July 25, 2023 meeting with representatives of the Futures Industry Association |
| Jul. 26, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 25, 2023 meeting with representatives of the FIA Principal Traders Group |
| Jul. 25, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 25, 2023 meeting with FIA Principal Traders Group |
| Jun. 29, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 11, 2023 meeting with Two Sigma |
| Jun. 26, 2023 | Memorandum from the Office Of the Chair regarding a June 26, 2023 meeting with representatives of Investment Adviser Association |
| May. 9, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 16, 2023 meeting with representatives of JP Morgan |
| May. 9, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 18, 2023 meeting with representatives of Element Capital |
| Apr. 25, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 25, 2023 meeting with representatives of the Alternative Investment Management Association |
| Apr. 24, 2023 | Memorandum from the Division of Trading and Markets regarding an April 20, 2023 meeting with BlackRock, Inc. |
| Apr. 18, 2023 | Memorandum from the Office of Commissioner Uyeda regarding an April 18, 2023, meeting with representatives of the Alternative Investment Management Associate |
| Apr. 13, 2023 | Memorandum from the Division of Trading and Markets regarding an April 13, 2023 virtual meeting with representatives of the Managed Funds Association |
| Mar. 22, 2023 | Memorandum from the Office of Public Engagement regarding a March 22, 2023 meeting with Financial Services Forum |
| Mar. 9, 2023 | Memorandum from the Division of Trading and Markets regarding a March 8, 2023 virtual meeting with Sidley Austin LLP |
| Feb. 10, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 10, 2023 meeting with representatives of Element Capital Management |
| Jan. 27, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a January 13, 2023 meeting with Element Capital Management, LLC |
| Jan. 25, 2023 | Memorandum from the Division of Trading and Markets regarding a January 25, 2023 virtual meeting with a representative of the Managed Funds Association |
| Jan. 18, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a January 18, 2023 meeting with Element Capital |
| Dec. 16, 2022 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 22, 2022 meeting with representatives of Element Capital |
| Nov. 29, 2022 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 29, 2022 meeting with representatives of Managed Fund Association |
| Nov. 28, 2022 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 28, 2022 meeting with representatives of the Futures Industry Association Principal Traders’ Group |
| Nov. 18, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2022 meeting with representatives of DRW |
| Nov. 14, 2022 | Memorandum from the Division of Economic and Risk Analysis regarding a November 8, 2022, meeting with representatives of T. Rowe Price |
| Nov. 9, 2022 | Memorandum from the Office Commissioner Jaime Lizárraga regarding a Nov. 8, 2022 meeting with Managed Funds Association |
| Nov. 4, 2022 | Memorandum from the Office of the Chair regarding a November 4, 2022 virtual meeting with representatives of the Investment Company Institute
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| Oct. 31, 2022 | Memorandum from the Division of Trading and Markets regarding an October 27, 2022 virtual meeting with representatives of Managed Funds Association |
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| Oct. 28, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 28, 2022 meeting with representatives and members of ICI |
| Oct. 27, 2022 | Memorandum from the Division of Economic and Risk Analysis regarding an October 26, 2022 meeting with representatives of the MFA |
| Oct. 25, 2022 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 25, 2022 meeting with representatives of the Investment Company Institute |
| Oct. 21, 2022 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 21, 2022 meeting with representatives of the Alternative Investment Management Association |
| Oct. 16, 2022 | Memorandum from the Office of the Chair regarding an October 14, 2022 meeting with representatives of the Managed Funds Association |
| Sep. 30, 2022 | Memorandum from the Office of the Chair regarding a September 23, 2022 meeting with representatives of the Investment Adviser Association |
| Sep. 28, 2022 | Memorandum from the Office of the Chair regarding a September 26, 2022 meeting with representatives of the Investment Adviser Association |
| Sep. 27, 2022 |
Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 27, 2022 meeting with representatives of Two Sigma |
| Aug. 30, 2022 | Memorandum from the Division of Trading and Markets regarding an August 30, 2022 virtual meeting with representatives of the Investment Company Institute |
| Aug. 24, 2022 | Memorandum from the Division of Trading and Markets regarding an August 24, 2022 virtual meeting with representatives of the Securities Industry and Financial Markets Association (“SIFMA”) |
| Aug. 8, 2022 | Memorandum from the Office of the Chair regarding an August 3, 2022 meeting with Millennium Management LLC |
| Jul. 20, 2022 | Memorandum from the Office of the Chair regarding a July 20, 2022 meeting with representatives of MFA |
| Jul. 20, 2022 | Memorandum from the Office of the Chair regarding a July 20, 2022 meeting with representatives of Citadel Securities |
| Jul. 19, 2022 | Memorandum from the Division of Trading and Markets regarding a July 19, 2022 meeting with representatives of Alternative Investment Management Association |
| Jul. 18, 2022 | Memorandum from the Division of Trading and Markets regarding a July 18, 2022 videoconference with representatives of the Modern Markets Initiative |
| Jul. 18, 2022 | Memorandum from the Division of Trading and Markets regarding a July 18, 2022 meeting with representatives of Managed Funds Association |
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| Jul. 15, 2022 | Memorandum from the Division of Trading and Markets regarding a July 15, 2022 meeting with representatives of Managed Funds Association |
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| Jul. 14, 2022 | Memorandum from the Division of Trading and Markets regarding a July 14, 2022 meeting with representatives of Principal Traders Group |
| Jun. 29, 2022 | Memorandum from the Division of Trading and Markets regarding a June 29, 2022 virtual meeting with representatives of Modern Markets Initiative |
| Jun. 8, 2022 | Memorandum from Division of Trading and Markets regarding a June 7, 2022 a virtual meeting with representatives of Modern Markets Initiative. |
| Jun. 7, 2022 | Memorandum from the Office of the Chair regarding a June 7, 2022 meeting with MarketAxess and Brownstein Farber Hyatt Schreck |
| May 26, 2022 | Memorandum from the Division of Investment Management regarding a May 26, 2022 Virtual Meeting with Representatives from BlackRock |
| May 3, 2022 | Memorandum from the Office of the Chair regarding an April 15, 2022 meeting with a representative of Delta Strategy Group |
| Apr. 29, 2022 | Memorandum from the Office of the Chair regarding an April 15, 2022 meeting with representatives of Delta Strategy Group |
