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(Click here for meetings with SEC officials)
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| Sep. 11, 2020 | Mark D. Epley, Chief Legal Officer, Managed Funds Association and Jiøí Król,
Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Sep. 8, 2020 | Michael Davis |
| Aug. 28, 2020 | Lindsey Kemsley,
VP, Marketing & HR, oxford wealth advisors, LLC |
| Aug. 14, 2020 | Phon Vongdara |
| Aug. 1, 2020 | David Harbin |
| Jul. 20, 2020 | Gail Bernstein, General Counsel, Investment Adviser Association |
| Jul. 10, 2020 | David Fortunato, President, Wealthfront Corporation |
| Jul. 7, 2020 | S. Michael Tannenbaum |
| Jul. 6, 2020 | Earl Hamilton |
| Jun. 17, 2020 | Mark Berman, Founder and CEO, CompliGlobe Ltd. |
| Jun. 12, 2020 | Cao Huynh, Sr., Huynhgia |
| Jun. 12, 2020 | Jason Mulvihill, Chief Operating Officer & General Counsel, American Investment Council |
| Jun. 11, 2020 | John Ray |
| Jun. 9, 2020 | Eugene Conner |
| Jun. 5, 2020 | Lindsey Weber Keljo, Esq., Managing Director and Associate General Counsel, Asset Management Group, SIFMA, and Timothy W. Cameron, Asset Management Group – Head, SIFMA |
| May 8, 2020 | Carlotta King, Managed Funds Association and the Alternative Investment Management Association |
| May 7, 2020 | Marie Petion |
| Apr. 6, 2020 | J. L. Jackson |
| Mar. 31, 2020 | Deborah Magish |
| Mar. 25, 2020 | An Nguyen |
| Mar. 15, 2020 | Harold Nielsen |
| Mar. 3, 2020 | David Fortunato, President, Wealthfront Corporation |
| Feb. 28, 2020 | Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP |
| Feb. 24, 2020 | James Allen, CFA, Head, Capital Markets Policy, and Karyn D. Vincent, CFA, CIPM, Senior Head, Global Industry Standards; CFA Institute |
| Feb. 23, 2020 | Thomas Dickson, Financial Experts Network |
| Feb. 21, 2020 | Suzanne Quinn, Head of North America Compliance Department, Baillie Gifford Overseas Ltd |
| Feb. 20, 2020 | Warren Mackensen |
| Feb. 19, 2020 | Seward & Kissel LLP |
| Feb. 14, 2020 | Bobby Franklin, President & CEO, National Venture Capital Association |
| Feb. 13, 2020 | Tanguy van de Werve, European Fund and Asset Management Association |
| Feb. 12, 2020 | Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute |
| Feb. 11, 2020 | Russell J. Wood, Vice President, Chief Counsel - Legal and Business, Forge Global, Inc. |
| Feb. 11, 2020 | Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors |
| Feb. 11, 2020 | Anya Coverman, President & CEO, Institute for Portfolio Alternatives |
| Feb. 10, 2020 | Patrick T. Campbell, Chair, Compliance Committee; Rebecca Silberstein, Chair, Private Investment Funds Committee; and Barry P. Barbash, Chair, Investment Management Regulation Committee, New York City Bar |
| Feb. 10, 2020 | Jean-Luc Bourdon, Chair, Personal Financial Planning Legislative and, AICPA |
| Feb. 10, 2020 | Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association (ILPA) |
| Feb. 10, 2020 | Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Feb. 10, 2020 | Fried, Frank, Harris, Shriver & Jacobson LLP |
| Feb. 10, 2020 | William Nelson, Mercer Advisors, Chief Compliance Officer |
| Feb. 10, 2020 | Brian Hamburger, President and CEO, MarketCounsel |
| Feb. 10, 2020 | Jason Mulvihill, Chief Operating Officer and General Counsel, American Investment Council |
| Feb. 10, 2020 | Roger Machlis, General Counsel - International Wealth Management, Credit Suisse Securities (USA) LLC |
| Feb. 10, 2020 | Knut A. Rostad, President, Institute for the Fiduciary Standard |
| Feb. 10, 2020 | Kate Fulton, Managing Director, Global Public Policy Group, BlackRock, Inc. |
| Feb. 10, 2020 | Christy E. Sears, Vice President, Compliance, Resolute Investment Managers, Inc. |
| Feb. 10, 2020 | Tom Bohn, President and Chief Executive Officer, Association for Corporate Growth |
| Feb. 10, 2020 | Jerry C. Wagner, President, Flexible Plan Investments, Ltd. |
| Feb. 10, 2020 | Jerry C. Wagner, President, Flexible Plan Investments, Ltd. |
| Feb. 10, 2020 | John F. Robbins, Chief Compliance Officer, ICE Data Pricing & Reference Data, LLC |
| Feb. 10, 2020 | Lauren Schadle, Executive Director/CEO, Financial Planning Association |
| Feb. 10, 2020 | Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA Asset Management Group |
| Feb. 10, 2020 | Lindsey Weber Keljo, Managing Director and Associate General Counsel, SIFMA Asset Management Group |
| Feb. 10, 2020 | Gary D. Anderson, General Counsel, Stanberry & Associates Investment Research, LLC |
| Feb. 10, 2020 | Blake Lawit, Senior Vice President and General Counsel, LinkedIn Corporation |
| Feb. 10, 2020 | Geoffrey Brown, CEO, National Association of Personal Financial Advisors |
| Feb. 10, 2020 | Bob Grohowski, VP, Legislative Regulatory Affairs; Danielle Nicholson Smith, VP & Sr. Legal Counsel, U.S. Communications & Digits! Services; Sheila D. Simmons, VP &Head, Global Gommunicatfons Compliance, T. Rowe Price |
| Feb. 10, 2020 | Christopher M. Wells, Partner, Proskauer Rose LLP |
| Feb. 10, 2020 | Investment Management, and Private Funds Committees The Association of the Bar of the City of New York Compliance |
| Feb. 10, 2020 | Craig D. Pfeiffer, President and CEO, Money Management Institute |
| Feb. 10, 2020 | John Gebauer, President, National Regulatory Services (NRS) |
| Feb. 10, 2020 | Ann Marie Swanson, Vice President, RIA Compliance, Commonwealth Financial Network |
| Feb. 10, 2020 | Bonnie Patten, Laura Smith, Michael J. Springer, Truth in Advertising, Inc. |
| Feb. 10, 2020 | Karen L. Barr, President & CEO, Investment Adviser Association |
| Feb. 10, 2020 | Sidley Austin LLP |
| Feb. 10, 2020 | Carlotta King, MFA and AIMA |
| Feb. 10, 2020 | Elliot Ganz, General Counsel, Loan Syndications and Trading Association |
| Feb. 10, 2020 | Jason E. Brown, Ropes & Gray LLP |
| Feb. 10, 2020 | Christopher Gerold, President, North American Securities Administrators Association (NASAA) |
| Feb. 10, 2020 | Lance C. Dial, Managing Director and Counsel, Wellington Management Company LLP |
| Feb. 10, 2020 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Feb. 10, 2020 | Cynthia Lo Bessette, Chief Legal Officer, Fidelity Management Research Company
LLC |
| Feb. 10, 2020 | David Guin, Withers Bergman LLP |
| Feb. 7, 2020 | Lisa Crossley, Executive Director, National Society of Compliance Professionals |
| Feb. 7, 2020 | Brett Palmer, President, Small Business Investor Alliance |
| Feb. 7, 2020 | Robert Mennella |
| Feb. 7, 2020 | Manish Mehta |
| Feb. 3, 2020 | William A. Jacobson, Esq., Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic; Zachary Sizemore, Cornell Law School, Class of 2021 |
| Jan. 26, 2020 | Ismailiya Latif |
| Jan. 15, 2020 | Joseph H. Nesler, Winston Strawn LLP |
| Jan. 13, 2020 | Sandra Bitner |
| Jan. 9, 2020 | Judith Gross, Principal, JG Advisory Services, LLC |
| Jan. 7, 2020 | John D. Williams |
| Jan. 6, 2020 | Bob Kargenian, CMT, President, TABR Capital Management, LLC |
| Jan. 6, 2020 | Bryan-Dylan Weast |
| Jan. 6, 2020 | Ahmad Moradi, NETSTAIRS |
| Jan. 5, 2020 | Josh Wilson |
| Jan. 5, 2020 | Darion Rushing |
| Dec. 31, 2020 | David Blue |
| Dec. 27, 2019 | Aladdin Z. Syed |
| Dec. 20, 2019 | Fadhli Basyaruddin |
| Dec. 18, 2019 | Winston Smith |
| Dec. 17, 2019 | Gretchen E. Lee, Chief Compliance Officer, Clifford Swan Investment Counselors |
| Dec. 16, 2019 | Tom Parsons |
| Dec. 15, 2019 | Josh Wilson |
Dec. 5, 2019 | Wojtek Kozak |
| Dec. 4, 2019 | Quincy Hall, President, Advice Only (TM) |
| Dec. 4, 2019 | Derek Bayne |
| Nov. 30, 2019 | Kathryn Stewart |
| Nov. 28, 2019 | Miles Brooks |
| Nov. 26, 2019 | Mercedes Renault |
| Nov. 10, 2019 | Samir Kroudi, Master of Professional Accountancy student at
Metropolitan State University at Denver |
| Nov. 5, 2019 | Jane Keller |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 28, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 28, 2020 meeting with representatives of the Managed Funds Association |
| Oct. 22, 2020 | Memorandum from the Office of Chairman regarding a September 29, 2020, meeting with representatives of the Board of Governors of the Investment Adviser Association |
| Oct. 21, 2020 | Memorandum from the Office of the Chairman regarding a June 15, 2020 meeting with representatives of the Investment Adviser Association |
| Sep. 30, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 30, 2020 meeting with representatives of the Investment Adviser Association |
| Sep. 29, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 29, 2020 meeting with representatives of the Investment Adviser Association Board of Governors |
| Sep. 25, 2020 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 25, 2020 meeting with representatives of the Institutional Limited Partners Association |
| Sep. 11, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 11, 2020 meeting with representatives of Proskauer |
| Sep. 14, 2020 | Memorandum from the Office of the Chairman regarding a September 14, 2020 meeting with representatives of the Managed Funds Association |
| Sep. 14, 2020 | Memorandum from the Office of the Chairman regarding a September 14, 2020 meeting with representatives of the Managed Funds Association |
| Aug. 17, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a August 17, 2020 meeting with representatives of the Managed Funds Association |
| Jul. 30, 2020 | Memorandum from the Division of Investment Management regarding a July 30, 2020 call with representatives of the Managed Funds Association and the Alternative Investment Management Association |
| Jul. 29, 2020 | Memorandum from the Office of the Chairman regarding a July 22, 2020 teleconference with representatives of the Managed Funds Association |
| Jul. 28, 2020 | Memorandum from the Division of Investment Management regarding a July 28, 2020 call with representatives of the American Investment Council |
| Jul. 8, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 8, 2020 meeting with representativs of the American Investment Council |
| Jun. 29, 2020 | Memorandum from the Division of Investment Management regarding a June 29, 2020 call with representatives of the Institutional Limited Partners Association |
| Jun. 24, 2020 | Memorandum from the office of Commissioner Elad L. Roisman regarding a June 19, 2020 meeting with representatives of the Investment Adviser Association |
| Jun. 22, 2020 | Memorandum from the Division of Investment Management regarding a June 19, 2020 call with with representatives of Wealthfront Advisers LLC |
| Jun. 19, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 19, 2020 telephone conference with representatives of the American Investment Council |
| Jun. 12, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 12, 2020 meeting with representativs of the SIFMA AMG Subcommittee |
| Jun. 11, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2020 meeting with representativs of the Investment Advisers Association |
| Jun. 10, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 10, 2020 meeting with representatives of Managed Funds Association |
| Jun. 8, 2020 | Memorandum from the Division of Investment Management regarding a June 8, 2020 call with representatives of the Investment Adviser Association |
| May 27, 2020 | Memorandum from the Division of Investment Management regarding a May 27, 2020 call with representatives of American Investment Council |
| May 22, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 22, 2020 meeting with representativs of Managed Funds Association |
| May 13, 2020 | Memorandum from the Division of Investment Management regarding a May 13, 2020 call with representatives of the Securities Industry and Financial Markets Association |
| May 8, 2020 | Memorandum from the Division of Investment Management regarding a May 8, 2020 call with representatives of Investment Adviser Association |
| May 6, 2020 | Memorandum from the Division of Investment Management regarding a May 6, 2020 call with representatives of the Securities Industry and Financial Markets Association |
| May 4, 2020 | Memorandum from the Division of Investment Management regarding a May 4, 2020 call with representatives of Investment Adviser Association |
| Mar. 30, 2020 | Memorandum from the Office of Chairman Jay Clayton regarding a March 26, 2020, meeting with representatives of Managed Funds Association |
| Mar. 26, 2020 | Memorandum from the Division of Investment Management regarding a March 26, 2020 call with representatives of the Managed Funds Association |
| Mar. 26, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 26, 2020 meeting with representativs of MFA |
| Mar. 26, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 26, 2020 meeting with representativs of MFA |
| Feb. 27, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 24, 2020, meeting with representatives of T. Rowe Price |
| Feb. 6, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 5, 2020, meeting with representatives of the Alternative Investment Management Association (AIMA) |
| Feb. 2, 2020 | Memorandum from the Division of Investment Management regarding a February 2, 2020 call with representatives of Wellington Management Company LLP |
| Dec. 18, 2019 | Memorandum from the Division of Investment Management regarding a December 4, 2019, meeting with representatives of FINRA |
| Dec. 18, 2019 | Memorandum from the Division of Investment Management regarding a November 26, 2019, meeting with representatives of the Investment Adviser Association |
| Dec. 9, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2019, meeting with representatives of the Securities Industry and Financial Markets Association Swap Dealer & Derivatives Government Representatives Committees |
