Comments on Rule 10b5-1 and Insider Trading

Filter comments

Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an August 30, 2022 meeting with representatives of the Council of Institutional Investors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 29, 2022 meeting with representatives of Davis Polk & Wardwell LLP
Public Comment U.S. Senator Thom Tillis
Public Comment Rod Miller, Chair, Securities Regulation Committee, Association of the Bar of the City of New York
Public Comment Craig M. Lewis, Professor of Law, and Joshua T. White, Assistant Professor of Finance, Vanderbilt University
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a September 8, 2022 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a September 1, 2022 meeting with representatives of the Chamber of Commerce
Public Comment Senator Elizabeth Warren, Senator Chris Van Hollen, Senator Tammy Baldwin, and Senator Bernard Sanders
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an August 1, 2022, meeting with representatives od SIFMA
Public Comment Brad Lander, New York City Comptroller
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a May 10, 2022 meeting with representatives of American Bar Association's Joint Committee on Employee Benefits
Public Comment Jay Knight, Chair of the Committee on Federal Regulation of Securities of the Section of Business Law of the American Bar Association
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding am April 22, 2022 meeting with representatives of Dorsey & Whitney LLP
Public Comment Wilson Sonsini Goodrich & Rosati
Public Comment Penny Somer-Greif, Chair, Committee on Securities Law of the Business Law Section of the Maryland State Bar Association
Public Comment William Quinn, CFO, Bolt Biotherapeutics
Public Comment Alan Comaskey
Public Comment Amy E. Wilson, General Counsel and Corporate Secretary, Dow Inc.
Public Comment Andrew MacInnes, BrilLiquid LLC
Public Comment Ani Huang, President and CEO, Center On Executive Compensation
Public Comment Anonymous
Public Comment Bank Policy Institute and the American Bankers Association
Public Comment Brad Rock, Partner, DLA Piper
Public Comment Brandon Rees, Deputy Director, Corporation and Capital Markets, AFL-CIO
Public Comment Coalition of Business Trades, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment Dennis E. Nixon, President, International Bancshares Corporation
Public Comment Hope M. Jarkowski, General Counsel, New York Stock Exchange
Public Comment Investment Company Institute
Public Comment Joseph P. Corcoran, Managing Director and Associate General Counsel, SIFMA
Public Comment Kevin Carroll, Managing Director and Associate General Counsel, SIFMA

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-20-21
Release Number
33-11013
34-93782
Related Materials
How to submit comments