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(Click here for meetings with SEC officials)
|
| Jan. 24, 2017 | Suzanne Shatto |
| Dec. 21, 2016 | Gene Finn, Retired Former Chief Economist (1969-1976) |
| Dec. 21, 2016 | Gene Finn, PhD, Retired Chief Economist SEC (1969-1976)and NASD/NASDAQ
(1983-1995) |
| Dec. 8, 2016 | Jezamine Wee |
| Dec. 8, 2016 | Ryan M. Newill, Notre Dame, Indiana |
| Dec. 6, 2016 | Fred Choi |
| Dec. 5, 2016 | Mike Nicholas, CEO, Bond Dealers of America |
| Dec. 5, 2016 | Greg Babyak, Head, Global Regulatory and Policy Group, Bloomberg L.P., and Ben Macdonald, President, Bloomberg STP LLC |
| Dec. 5, 2016 | Christopher W. Bok,
Financial Information Forum |
| Dec. 5, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
| Dec. 5, 2016 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Dec. 5, 2016 | Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA |
| Dec. 5, 2016 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Dec. 5, 2016 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors |
| Dec. 5, 2016 | Larry E. Thompson, Vice Chairman and General Counsel, Depository Trust & Clearing Corporation (DTCC) |
| Dec. 5, 2016 | Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
| Dec. 5, 2016 | Martin A. Burns, Chief Industry Operations Officer, Investment Company lnstitute |
| Dec. 5, 2016 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| Dec. 5, 2016 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Dec. 5, 2016 | Richard Foster, Senior Vice President and Senior Counsel, Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia |
| Dec. 5, 2016 | David T. Bellaire, Esq.,
Executive Vice President & General Counsel, Financial Services Institute |
| Dec. 4, 2016 | Paul Kim, South Bend, Indiana |
| Nov. 29, 2016 | Stephen E. Roth, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Nov. 28, 2016 | Todd J. May, President, The Securities Transfer Association, Inc., Hazlet, New Jersey |
| Nov. 14, 2016 | Randy Spydell |
| Nov. 1, 2016 | Keith Evans, Executive Director, Canadian Capital Markets Association |
| Oct. 20, 2016 | Sally J. Gellert, Woodcliff Lake, New Jersey |
| Oct. 14, 2016 | Eugene W. Guinn, Ridgefield, Washington |
| Sep. 29, 2016 | Michael C. Parker |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Feb. 10, 2017 |
Memorandum from the Office of the Chairman regarding a February 8, 2017, meeting with representatives of SIFMA, ICI, DTCC, Edward Jones, Goldman Sachs, and Morgan Stanley
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| Feb. 9, 2017 |
Memorandum from the Division of Trading and Markets regarding a February 8, 2017, meeting with representatives of SIFMA, ICI, DTCC, Edward Jones, Goldman Sachs, and Morgan Stanley
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