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

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a March 29, 2016, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 9, 2016, meeting with representatives of KPMG
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 22, 2016, meeting with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 17, 2016, meeting with representatives of PIMCO
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 18, 2016, meeting with representatives of Americans for Financial Reform, the Consumer Federation of America and Vermont Law School
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 21, 2016, telephonic meeting with representatives of the Association of the Luxembourg Fund Industry
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 17, 2016, meeting with representatives of Global Association of Risk Professionals
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a March 10, 2016, meeting with representatives of Barclays plc
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 10, 2016, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a January 14, 2016, meeting with representatives of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a March 9, 2016, meeting with representatives of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 9, 2016, meeting with representatives of Ernst & Young LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 2, 2016, meeting with representatives of the Independent Directors Council
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 2, 2016, meeting with representatives of the Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a March 2, 2016, meeting with representatives of the Independent Directors Council
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 23, 2016, meeting with representatives of the Investment Company Institute and Vanguard
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 23, 2016, meeting with representatives of the Investment Company Institute and Vanguard
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a February 23, 2016, meeting with representatives of the Investment Company Institute and Vanguard
Public Comment David M. Lynn, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, Washington, District of Columbia
Public Comment Patrick J. O'Leary, Wayne, Pennsylvania
Public Comment Robert Kane, CEO, Bondview, New York, New York
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 4, 2016, meeting with representatives of the Government Finance Officers Association
Public Comment Austrian Association of Investment Fund Management Companies, et al.
Public Comment KPMG LLP
Public Comment Gary L. Gatineau, President, ETF Consultants.com, Inc.
Public Comment Dana M. Emery, Chief Executive Officer, Dodge & Cox
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a January 14, 2016, meeting with representatives of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a January 14, 2016, meeting with representatives of Interactive Data Corporation
Public Comment Niels Holch, Executive Director, Coalition ofMutual Fund Investors

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-15
Release Number
33-9922
IC-31835
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