Comments on Rule 10b5-1 and Insider Trading

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Date Received
Date Letter Type Commenter Name
Public Comment ACCO Brands Corporation, ACCO Brands
Public Comment Anthony O'Reilly
Public Comment BioNJ
Public Comment Douglas A. Cifu, Chief Executive Officer, Virtu Financial, Inc.
Public Comment The PNC Financial Services Group, Inc.
Public Comment Caleb Kruckenberg, Pacific Legal Foundation
Public Comment Empire State Realty Trust, Inc.
Public Comment Ron Baker, Executive Director of Colorado Public Employees' Retirement Association
Public Comment James D Gallagher, General Counsel, Manulife
Public Comment Davis Polk Wardwell LLP
Public Comment Lava, Investor
Public Comment Anonymous
Public Comment Jeff Mahoney, General Counsel, Council of Institutional Investors
Public Comment Leopoldo Guzman, Chairman & CEO, Guzman & Company
Public Comment Brad Lander, New York City Comptroller
Public Comment Nicolas Grabar, Partner, Cleary Gottlieb Steen Hamilton LLP
Public Comment James Fox
Public Comment Terry Hogan
Public Comment Adam Beherns, Engineer
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 10, 2022 meeting with representatives from the Council of Institutional Investors (CII)
Public Comment Taj Reilly
Public Comment Marc Thomas
Public Comment Hector Chow, Sales Executive
Public Comment Tim McMillen, Retail investor
Public Comment Brian Mittendorf
Public Comment Dorsey & Whitney LLP
Public Comment Mussie Gebregziabiher
Public Comment Franky Chavez
Public Comment Michael Stratton

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-20-21
Release Number
33-11013
34-93782
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