Comments on Proposed Rule: Exchange-Traded Funds

[Release Nos. 33-10515, IC-33140; File No. S7-15-18]

Submitted Comments

(Click here for meetings with SEC officials)
Nov. 15, 2018 Kurt N. Schacht, CFA, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets, CFA Institute Advocacy
Oct. 29, 2018 Recommendation of the Fixed Income Market Structure Advisory Committee
Oct. 19, 2018 Jeffrey A. Jacobus, Chief Compliance Officer, Bluefin Trading, LLC
Oct. 11, 2018 Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Oct. 10, 2018 Douglas Yones, Head of Exchange Traded Products, New York Stock Exchange
Oct. 5, 2018 Richard F. Morris, General Counsel, ProShare Advisors LLC
Oct. 4, 2018 Thomas E. Faust, Chairman and Chief Executive Officer, Eaton Vance Corp.
Oct. 3, 2018 John DiBacco, Head, ETF Group, Virtu Financial, Inc
Oct. 1, 2018 James J. Angel, Associate Professor, McDonough School of Business, Georgetown University
Oct. 1, 2018 Robert I. Frenkel, Vice President and Deputy General Counsel, Legg Mason, Inc.
Oct. 1, 2018 Reed R. Kathrein, Hagnes Berman Sobol Shapiro LLP
Oct. 1, 2018 Sharon French, Executive Vice President, and Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds
Oct. 1, 2018 Lynn Martin, President and Chief Operating Officer, ICE Data Services, Intercontinental Exchange
Oct. 1, 2018 Bas Tammens, Business Development, Flow Traders US LLC
Oct. 1, 2018 Angela Brickl, General Counsel, Rafferty Asset Management, LLC
Oct. 1, 2018 Frank Liu, Chief Compliance Officer, Jane Street Capital, LLC
Oct. 1, 2018 Andrew G. Arnott, President and CEO, John Hancock Investments
Oct. 1, 2018 Ryan M. Louvar, General Counsel, WisdomTree Asset Management, Inc.
Oct. 1, 2018 ETF BILD LLC
Oct. 1, 2018 James E. Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors
Oct. 1, 2018 Marie Chandoha, Chief Executive Officer, Charles Schwab Investment Management
Oct. 1, 2018 David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Oct. 1, 2018 Thompson Hine LLP
Oct. 1, 2018 Laura Morrison, SVP, Global Head of Exchange Traded Products, and Kyle Murray, Assistant General Counsel, Cboe Global Markets, Inc.
Oct. 1, 2018 David Mann, Head of Global ETF Capital Markets, and Gaston Gardey, Vice President, Fund Administration and Reporting, Franklin Resources, Inc.
Oct. 1, 2018 Joanna M. Gallegos, Managing Director, Head of U.S. ETFs, J.P. Morgan Asset Management
Oct. 1, 2018 Aron Szapiro, Director of Policy Research, and Jasmin Sethi, Associate Director of Policy Research, Morningstar, Inc.
Sep. 30, 2018 Richard Redding, CEO, Index Industry Association
Sep. 28, 2018 Gregory Davis, Chief Investment Officer, The Vanguard Group, Inc.
Sep. 28, 2018 Thomas A. Wittman, Executive Vice President, Head of Global Trading a, Nasdaq, Inc.
Sep. 28, 2018 Timothy W. Cameron, Head, and Lindsey Weber Keljo, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association (SIFMA)
Sep. 28, 2018 Dechert LLP
Sep. 28, 2018 Marc R. Bryant, Chief Legal Officer, Fidelity Management Research Company
Sep. 27, 2018 Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Sep. 27, 2018 Jeffrey B. McCarthy, CEO, ETF Services, BNY Mellon
Sep. 26, 2018 Gil Baumgarten, President, Segment Wealth Management LLC
Sep. 26, 2018 Anna Paglia, Head of Legal, US ETFs, Invesco Ltd.
Sep. 26, 2018 Samara Cohen, Managing Director, Head of ETF Global Markets, et al., BlackRock
Sep. 25, 2018 Harry Tosten
Sep. 23, 2018 Chandra Sunki
Sep. 22, 2018 Dan James
Sep. 21, 2018 Susan Olson, General Counsel, Investment Company Institute
Aug. 28, 2018 Dave Nadig, Managing Director, ETF.com
Aug. 27, 2018 Henry Hu, Allan Shivers Chair in the Law of Banking and Finance, University of Texas Law School and John Morley, Professor of Law, Yale Law School
Aug. 10, 2018 Amitkumar Patel
Aug. 9, 2018 Tim Jong
Jul. 31, 2018 Chaz Falcone
Jul. 24, 2018 Joel Malmgren
Jul. 23, 2018 Gary M. Feuerman, Esq.
Jul. 22, 2018 Andrew Rodwin, CEO, Boston Cryptoassets Training
Jul. 22, 2018 Vijay Singh Gusain
Jul. 21, 2018 Rick K. La Lane
Jul. 20, 2018 James Johnson
Jul. 20, 2018 Wayne T. Lloyd
Jul. 19, 2018 Matevz Krajnc
Jul. 19, 2018 Chinedu Nwagbo
Jul. 18, 2018 Jamie Navarrette
Jul. 18, 2018 Darcy Munger
Jul. 18, 2018 James Arthur
Jul. 17, 2018 Raj Chowdary
Jul. 17, 2018 Dene Smith
Jul. 17, 2018 Samsuddoha Khondokar
Jul. 16, 2018 Sara Booker
Jul. 14, 2018 Jitendra Pal
Jul. 14, 2018 Lars Hoffmann
Jul. 13, 2018 Thomas Duhon
Jul. 13, 2018 Joe Van
Jul. 12, 2018 Charles M. Brown
Jul. 12, 2018 Jack Reagan
Jul. 12, 2018 James H.
Jul. 12, 2018 Todd N. Handel, Finance consultant
Jul. 12, 2018 Blaine E. Hess
Jul. 12, 2018 Christopher J Brodkey, Associate Analyst, Ernst Young
Jul. 11, 2018 Michael Roger
Jul. 11, 2018 Lee N. Shank
Jul. 11, 2018 Leon Gaban, 1978
Jul. 11, 2018 Kelvin Wilson
Jul. 11, 2018 Sanjeev Ramlochan
Jul. 11, 2018 Tom Harrison
Jul. 11, 2018 Josh K. Osborne
Jul. 11, 2018 Mitch van den Akker
Jul. 11, 2018 J. Mack
Jul. 11, 2018 Dheeraj Nagdev
Jul. 11, 2018 Lisa Schumaker
Jul. 10, 2018 Anonymous
Jul. 5, 2018 Matevz Krajnc
Jul. 5, 2018 James A. Eason
Jul. 3, 2018 Stuart Cary

Meetings with SEC Officials

(Click here for submitted comments from the public)
Dec. 4, 2018 Memorandum from the Division of Investment Management regarding a December 3, 2018, meeting with representatives of NYSE Arca, Inc.
Dec. 4, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 3, 2018, meeting with representatives of the New York Stock Exchange
Dec. 3, 2018 Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 3, 2018, meeting with representatives of ProShares Advisors LLC
Nov. 30, 2018 Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of Fidelity Investments
Nov. 29, 2018 Memorandum from the Office of the Chairman regarding a November 29, 2018, meeting with representatives of Fidelity Investments
Nov. 20, 2018 Memorandum from the Office of the Chairman regarding a November 14, 2018, meeting with representatives of ProShares
Nov. 9, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Oct. 30, 2018 Memorandum from the Office of the Chairman regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Oct. 29, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association's Asset Management Group
Oct. 29, 2018 Memorandum from the Division of Investment Management regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association's Asset Management Group
Oct. 12, 2018 Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an October 4, 2018, meeting with representatives of Fidelity Investments
Oct. 4, 2018 Memorandum from the Office of Commissioner Elad Roisman regarding an October 4, 2018, meeting with representatives of BlackRock
Oct. 4, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 3, 2018, meeting with representatives of ProShares
Oct. 3, 2018 Memorandum from the Office of the Chairman regarding a September 26, 2018, meeting with representatives of State Street Global Advisors
Oct. 2, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an October 1, 2018, meeting with representatives of ProShares
Sep. 27, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 26, 2018, meeting with representatives of State Street
Sep. 27, 2018 Memorandum from the Office of Commissioner Elad Roisman regarding a September 26, 2018, meeting with representatives of State Street Financial Services Inc.
Sep. 21, 2018 Memorandum from the Division of Investment Management regarding a September 21, 2018, meeting with representatives of BlackRock Inc.
Aug. 30, 2018 Memorandum from the Office of Commissioner Robert J. Jackson regarding an August 24, 2018, meeting with representatives of Jane Street
Aug. 23, 2018 Memorandum from the Division of Investment Management regarding an August 23, 2018, meeting with representatives of the Deutsche Bank Securities Inc. and DWS Group ("Deutsche Bank")
Aug. 3, 2018 Memorandum from the Division of Investment Management regarding an August 3, 2018, meeting with representatives of the Subcommittee on Investment Companies and Investment Advisers of the Committee on Federal Regulation of Securities of the American Bar Association’s Business Law Section
Aug. 1, 2018 Memorandum from the Division of Investment Management regarding an August 1, 2018, meeting with representatives of NASDAQ
Jul. 26, 2018 Memorandum from the Division of Investment Management regarding a July 25, 2018, meeting with representatives of Fidelity Investments
Jul. 17, 2018 Memorandum from the Division of Investment Management regarding a July 16, 2018, meeting with representatives of Invesco Ltd.