Comments on Proposed Rule: Exchange-Traded Funds

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 23, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 26, 2019 meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 6, 2019, meeting with representatives of Blackrock
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 31, 2019, meeting with representatives of Flow Traders
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 17, 2019, meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 19, 2019, meeting with representatives of Flow Traders
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a July 15, 2019, meeting with representatives of State Street
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 13, 2019, meeting with representatives of Innovator Capital Management, LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 11, 2019, meeting with representatives of Innovator Capital Management, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 2, 2019, meeting with representatives of SIFMA AMG
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 2, 2019, meeting with representatives of SIFMA AMG
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 2, 2019, meeting with representatives of SIFMA AMG
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 2, 2019, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a December 18, 2018, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 27, 2019, meeting with representatives of Nasdaq, Inc.
Public Comment Timothy W. Cameron, Esq., Head, and Lindsey Weber Keljo, Esq., Managing Director and Associate General Counsel; Asset Management Group, SIFMA
Public Comment James Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 18, 2018, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 19, 2018, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 12, 2018, meeting with representatives of ETP Resources
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 3, 2018, meeting with representatives of NYSE Arca, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 3, 2018, meeting with representatives of the New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 3, 2018, meeting with representatives of ProShares Advisors LLC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 29, 2018, meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 29, 2018, meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 14, 2018, meeting with representatives of ProShares
Public Comment Kurt N. Schacht, CFA, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets, CFA Institute Advocacy
Meeting with SEC Officials 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)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-15-18
Release Number
33-10515
IC-33140
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