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 Division of Investment Management regarding an October 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association's Asset Management Group
Meeting with SEC Officials 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
Public Comment Recommendation of the Fixed Income Market Structure Advisory Committee
Public Comment Jeffrey A. Jacobus, Chief Compliance Officer, Bluefin Trading, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an October 4, 2018, meeting with representatives of Fidelity Investments
Public Comment Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Douglas Yones, Head of Exchange Traded Products, New York Stock Exchange
Public Comment Richard F. Morris, General Counsel, ProShare Advisors LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad Roisman regarding an October 4, 2018, meeting with representatives of BlackRock
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 3, 2018, meeting with representatives of ProShares
Public Comment Thomas E. Faust, Chairman and Chief Executive Officer, Eaton Vance Corp.
Public Comment John DiBacco, Head, ETF Group, Virtu Financial, Inc
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 26, 2018, meeting with representatives of State Street Global Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding an October 1, 2018, meeting with representatives of ProShares
Public Comment Andrew G. Arnott, President and CEO, John Hancock Investments
Public Comment Angela Brickl, General Counsel, Rafferty Asset Management, LLC
Public Comment Aron Szapiro, Director of Policy Research, and Jasmin Sethi, Associate Director of Policy Research, Morningstar, Inc.
Public Comment Bas Tammens, Business Development, Flow Traders US LLC
Public Comment David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Public Comment David Mann, Head of Global ETF Capital Markets, and Gaston Gardey, Vice President, Fund Administration and Reporting, Franklin Resources, Inc.
Public Comment ETF BILD LLC
Public Comment Frank Liu, Chief Compliance Officer, Jane Street Capital, LLC
Public Comment James E. Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors
Public Comment James J. Angel, Associate Professor, McDonough School of Business, Georgetown University
Public Comment Joanna M. Gallegos, Managing Director, Head of U.S. ETFs, J.P. Morgan Asset Management
Public Comment Laura Morrison, SVP, Global Head of Exchange Traded Products, and Kyle Murray, Assistant General Counsel, Cboe Global Markets, Inc.
Public Comment Lynn Martin, President and Chief Operating Officer, ICE Data Services, Intercontinental Exchange
Public Comment Marie Chandoha, Chief Executive Officer, Charles Schwab Investment Management
Public Comment Reed R. Kathrein, Hagnes Berman Sobol Shapiro LLP
Public Comment Robert I. Frenkel, Vice President and Deputy General Counsel, Legg Mason, Inc.

Last Reviewed or Updated: Dec. 18, 2025

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