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(Click here for meetings with SEC officials)
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| May 18, 2017 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Sep. 23, 2016 | Mike Rothman, President, North American Securities Administrators Association, Inc. (NASAA) |
| Sep. 16, 2016 | Kurt N. Schacht, CFA, Managing Director, Standards and Advocacy, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute |
| Sep. 13, 2016 | John R. Gidman, President, Association of Institutional INVESTORS |
| Sep. 6, 2016 | Gregory B. Cade, Director of Government Affairs, National Fire Protection Association |
| Sep. 6, 2016 | Brian S. Hamburger, JD, CRCP, President and Chief Executive Officer, and Daniel A. Bernstein, JD, Chief Regulatory Counsel; MarketCounsel, LLC, Englewood, New Jersey |
| Sep. 6, 2016 | Barbara Novick, Vice Chairman, BlackRock, Inc. |
| Sep. 6, 2016 | BRG Fund Management Services, LLC, New York, New York |
| Sep. 6, 2016 | Jason Mulvihill, General Counsel, American Investment Council |
| Sep. 6, 2016 | Robert C. Grohowski, General Counsel, Investment Adviser Association, Washington, District of Columbia |
| Sep. 6, 2016 | Thomas Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce, Washington, District of Columbia |
| Sep. 6, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Sep. 6, 2016 | John Gebauer, President, National Regulatory Services, Lakeville, Connecticut |
| Sep. 6, 2016 | Gary A. LaBranche, FASAE, CAE, President & CEO, Association for Corporate Growth |
| Sep. 6, 2016 | David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia |
| Sep. 6, 2016 | Paul W. Wojcik, Chief Risk Officer, and Jonathan D Siegel, V.P. and Senior Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland |
| Sep. 6, 2016 | Mark Heckert, Managing Director, Interactive Data Pricing and Reference Data LLC, an Intercontinental Exchange Company, New York, New York |
| Sep. 6, 2016 | Stefan M. Gavell, Executive Vice President and Head of Regulatory, Industry and Government Affairs, State Street Corporation |
| Sep. 6, 2016 | John M. Zerr, Senior Vice President, Invesco Ltd. |
| Sep. 6, 2016 | Marc Bryant, Senior Vice President and Chief Legal Officer, Fidelity Management & Research Company |
| Sep. 6, 2016 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, MFA, and Jiří Król, Deputy CEO, Global Head of Government Affairs, AIMA |
| Sep. 6, 2016 | Richard Foster, Financial Services Roundtable, Washington, District of Columbia |
| Sep. 6, 2016 | Chris D. McIsaac, Managing Director, Planning and Development, The Vanguard Group, Inc., Valley Forge, Pennsylvania |
| Sep. 6, 2016 | Brett Palmer, President, Small Business Investor Alliance (SBIA), Washington, District of Columbia |
| Sep. 6, 2016 | Joe Delaney |
| Sep. 2, 2016 | Timothy W. Cameron, Esq., Head, and Lindsey Weber Keljo, Esq., Vice President and Assistant General Counsel, Asset Management Group, Securities Industry and Financial Markets Association, Washington, District of Columbia |
| Sep. 2, 2016 | Michael R. Granito, Senior Vice President, Chief Risk Officer, Federated Investors, Inc. |
| Sep. 1, 2016 | Rufus Breeden |
| Aug. 30, 2016 | James P. Ryan, Senior Vice President, Capital Group Companies, Inc. |
| Aug. 29, 2016 | John J. Rapa, CBCP, President/Chief Executive Officer, Tellefsen and Company, L.L.C., Northborough, Massachusetts |
| Aug. 23, 2016 | David W. Blass, General Counsel, Investment Company Institute |
| Aug. 8, 2016 | Adrian V. Day, President, Adrian Day Asset Management, Annapolis, Maryland |
| Jul. 9, 2016 | Herbert M. Shanzer, Principal, Shanzer Management, Westford, Massachusetts |
| Jul. 8, 2016 | Charu Deodas, Consultant, Business Continuity and Risk Management, Boston, Massachusetts |
| Jul. 8, 2016 | Jerry Siver, South Lancaster, Massachusetts |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 9, 2017 |
Memorandum from the Office of the Chairman regarding a June 8, 2017, meeting with representatives of the Investment Company Institute
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| Sep. 28, 2016 |
Memorandum from the Division of Investment Management regarding a September 26, 2016, meeting with representatives of the Managed Funds Association
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| Sep. 26, 2016 |
Memorandum from the Office of the Chair regarding a September 26, 2016, meeting with representatives of the D.E. Shaw Group, Millennium Management LLC, Davidson Kempner Capital Management, and the Managed Funds Association
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| Aug. 10, 2016 |
Memorandum from the Division of Investment Management regarding an August 10, 2016, meeting with representatives of Berkeley Research Group LLC
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