Comments on Proposed Rule: Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release

Filter comments

Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a May 17, 2016, meeting with representatives of BlackRock, Inc.
Public Comment David W. Blass, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 10, 2016, meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a May 17, 2016, meeting with representatives of BlackRock
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a May 12, 2016, meeting with representatives of Markit
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 12, 2016, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding schematics received on April 26, 2016, from SIFMA
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 4, 2016, meeting with representatives of Credit Suisse
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 27, 2016, meeting with representatives of Federated Investors
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an April 29, 2016, meeting with representatives of Intercontinental Exchange (ICE)
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an April 27, 2016, meeting with representatives of The Loan Syndications and Trading Association (LSTA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 27, 2016, meeting with representatives of The Loan Syndications and Trading Association (LSTA)
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an April 27, 2016, meeting with representatives of The Loan Syndications and Trading Association (LSTA) and Invesco Ltd.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 25, 2016, meeting with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 25, 2016, meeting with representatives of Wellington Management Company LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an April 14, 2016, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an April 20, 2016, meeting with Robert Plaze
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 20, 2016, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 19, 2016, meeting with representatives of the Boston Asset Management Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 18, 2016, meeting with representatives of DTCC Wealth Management Services
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 12, 2016, meeting with representatives and members of the Loan Syndications and Trading Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 12, 2016, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 14, 2016, meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 14, 2016, meeting with representatives of Charles Schwab
Public Comment Linda Sherry, Director, National Priorities, Consumer Action, and Sally Greenberg, Executive Director, National Consumers League
Public Comment Timothy W. Cameron, Head, Securities Industry and Financial Markets, and Lindsey Weber Keljo, Esq., Vice President and Assistant General Counsel; Securities Industry and Financial Markets Association Asset Management Group (SIFMA AMG)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 4, 2016, meeting with representatives of PWC
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 31, 2016, call with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 31, 2016, meeting with representatives of SIFMA
Public Comment Dr. Martin Rohleder, Finance and Banking, University of Augsburg

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-15
Release Number
33-9922
IC-31835
How to submit comments