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 Office of Commissioner Kara Stein regarding a January 14, 2016, meeting with representatives of BlackRock, Inc.
Public Comment Ernst & Young LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 14, 2016, meeting with representatives of BlackRock, Inc.
Public Comment Simpson Thacher & Bartlett LLP
Public Comment Americans for Financial Reform
Public Comment Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Public Comment Anonymous
Public Comment Arthur S. Gabinet, Esq., Executive Vice President & General Counsel, and Geoffrey J. Craddock, Executive Vice President & Chief Risk Officer, OppenheimerFunds
Public Comment Barbara Novick, Vice Chairman, and Benjamin Archibald, Managing Director, BlackRock, Inc.
Public Comment Brian K. Reid, Chief Economist, Investment Company Institute
Public Comment Carlo Acerbi, Executive Director, Research, MSCI
Public Comment Charles de Vaulx, Chief Investment Officer and Co-Portfolio Manager of International Value Advisers, LLC, New York, New York
Public Comment Cynthia M. Clarke, General Counsel, Wellington Management Company LLP, Boston, Massachusetts
Public Comment David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia
Public Comment David Blass, General Counsel, Investment Company Institute
Public Comment David Oestreicher, Esq., Chief Legal Counsel, T. Rowe Price
Public Comment David P. Bergers, General Counsel, LPL Financial
Public Comment Dechert LLP
Public Comment Dennis Keller, President & CEO, et al., Better Markets, Inc.
Public Comment Douglas M. Hodge, Chief Executive Officer, Pacific Investment Management Company LLC, Newport Beach, California
Public Comment Dustin T. McDonald, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
Public Comment Frank J. Nasta, Chair, Committee on Investment Management Regulation, Association of the Bar of the City of New York
Public Comment George C.W. Gatch, Managing Director, CEO, Global Funds Management & Institutional, J.P. Morgan Asset Management
Public Comment Gifford R. Zimmerman, CFA, Managing Director and Associate General Counsel, Nuveen Fund Advisors, LLC, Chicago, Illinois
Public Comment J. Christopher Donahue, President and Chief Executive Officer, and Michael R. Granito, Chief Risk Officer, Federated Investors, Inc.
Public Comment Jiří Król, Deputy Chief Executive Officer, Global Head of Government Affairs, Alternative Investment Management Association Limited
Public Comment John G. Popp, Managing Director, Credit Suisse, Chief Executive Officer and President of the Credit Suisse Funds, and Global Head and Chief Investment Officer, Credit Investments Group
Public Comment John M. Zerr, Managing Director & General Counsel, US Retail, Invesco Management Group, Inc.
Public Comment Joseph M. Harvey, President and Chief Investment Officer, Cohen and Steers, New York, New York
Public Comment Justin Banks, Concerned Citizen and Financial Markets Professional

Last Reviewed or Updated: Dec. 18, 2025

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