|
(Click here for meetings with SEC officials)
|
| Oct. 9, 2022 | Arthur Turner, Marketing Manager |
| Oct. 8, 2022 | James Mahr, Retail Investor |
| Oct. 8, 2022 | Jim |
| Oct. 8, 2022 | Chris Palmiero |
| Oct. 8, 2022 | Anonymous |
| Oct. 8, 2022 | Zhi Han |
| Oct. 8, 2022 | Stephen Martine |
| Oct. 8, 2022 | Mostafa Nassar, Business Owner |
| Oct. 8, 2022 | Michael H. |
| Oct. 8, 2022 | Kenny Plume |
| Oct. 8, 2022 | Matthew Jones, Objecutive Inc. |
| Oct. 8, 2022 | Linn Svensson, Account Manager, Google |
| Aug. 31, 2022 | Anonymous |
| Aug. 16, 2022 | Anonymous |
| Aug. 16, 2022 | Matthew Pruett |
| Aug. 16, 2022 | Ho Doan |
| Aug. 16, 2022 | Albert Kaloustian, Software Engineer |
| Aug. 16, 2022 | Garrett Walstad |
| Feb. 20, 2022 | Anonymous |
| Feb. 20, 2022 | Anonymous |
| Feb. 19, 2022 | Diana L. Boyd, Teacher |
| Feb. 19, 2022 | Allen Browne |
| Feb. 19, 2022 | Anonymous, Chemist |
| Feb. 19, 2022 | Anonymous |
| Feb. 19, 2022 | Scott George |
| Feb. 7, 2022 | Jesse Muldoon |
| Feb. 7, 2022 | Robert J. Simons |
| Feb. 7, 2022 | Ben Brendle |
| Feb. 7, 2022 | Chris Clark, Investor |
| Jan. 24, 2022 | Peter Taylor, Retail Investor |
| Jan. 10, 2022 | Patrick McHenry, Ranking Member, House Committee on Financial Services, and Pat Toomey, Ranking Member, Senate Committee on Banking, Housing, and Urban Affairs |
| Jan. 8, 2022 | Matt Edwards |
| Jan. 6, 2022 | John Gebauer, President, National Regulatory Services |
| Jan. 5, 2022 | Eversheds Sutherland (US) LLP on behalf of Committee of Annuity Insurers |
| Jan. 4, 2022 | FLO FI |
| Jan. 4, 2022 | Anonymous |
| Jan. 3, 2022 | Blair Anderson, Director, AWS Public Policy |
| Jan. 3, 2022 | Patrick C. Reeder, Deputy General Counsel and Ian Trepanier, Policy Analyst, American Councel of Life Insurers |
| Jan. 3, 2022 | Brayden John, Enterprise Data Intelligence, Insightful Technology |
| Jan. 3, 2022 | Allison Lurton, General Counsel and Chief Legal Officer, Futures Industry Association |
| Jan. 3, 2022 | Adam Schaub, VP, Product Management - Platform, RegEd |
| Jan. 3, 2022 | Emily Micale, Insured Retirement Institute, Inc. |
| Jan. 3, 2022 | Curtis Turnell, Compliance Program Manager - Microsoft Corporation |
| Jan. 3, 2022 | Douglas Weeden, Managing Director, 17a-4, LLC |
| Jan. 3, 2022 | Ian J. Frimet, Senior Vice President, Associate General Counsel, LPL Financial |
| Jan. 3, 2022 | Dave T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Dec. 31, 2021 | American Funds Distributors, Inc. |
| Dec. 31, 2021 | Alexander Gavis, Senior Vice President & Deputy General Counsel, Fidelity Investments |
| Dec. 29, 2021 | John Trotti, NCC Group |
| Dec. 22, 2021 | Melissa MacGregor, Managing Director and Associate General Counsel, SIFMA |
| Dec. 22, 2021 | Anthony J. Pugliese, CIA, CPA, CGMA, CITP, President and Chief Executive Officer, The Institute of Internal Auditors, Global Headquarters |
| Dec. 20, 2021 | Marcia E. Asquith, Executive Vice President, Board & External Relations, Financial Industiy Regulato1y Authority, Inc. |
| Dec. 16, 2021 | Anonymous |
| Dec. 16, 2021 | Robert Laorno, General Counsel, ICE Bonds Securities Corporation |
| Dec. 15, 2021 | Joshua Zimmerman |
| Dec. 15, 2021 | Hector Chow |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Sep. 16, 2022 | Memorandum from the Division of Trading and Markets regarding a September 16, 2022 Webex Meeting with representatives of the NCC Group |
| Jul. 27, 2022 | Memorandum from the Office of the General Counsel regarding a July 13, 2022 meeting with representatives of HSBC |
| Jun. 27, 2022 | Memorandum from the Division of Trading and Markets regarding a June 17, 2022 meeting with representatives of Amazon Web Services |
| Jun. 9, 2022 | Memorandum from the Division of Trading and Markets regarding a June 9, 2022 meeting with Microsoft Representatives. |
| Jun. 2, 2022 | Memorandum from the Division of Trading and Markets regarding a June 2, 2022, Webex Meeting with representatives of Amazon Web Service |
| May 23, 2022 | Memorandum from the Division of Trading and Markets regarding a May 11, 2022 Webex Meeting with SIFMA Representatives |
| Apr. 26, 2022 | Memorandum from the Division of Trading and Markets regarding a February 15, 2022 meeting with with representatives of Microsoft |
| Apr. 26, 2022 | Memorandum from the Division of Trading and Markets regarding a February 9, 2022 meeting with representatives of AWS |
| Mar. 11, 2022 | Memorandum from the Division of Trading and Markets regarding a March 7, 2022 meeting with representatives from the Securities Industry and Financial Markets Association ("SIFMA") |
| Jan. 28, 2022 | Memorandum from the Division of Trading and Markets
regarding a January 18, 2022 webex meeting with representatives of SIFMA |
| Jan. 28, 2022 | Memorandum from the Division of Trading and Markets
regarding a December 10, 2021 conference call with representatives of the NCC Group |
