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(Click here for meetings with SEC officials)
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| May 18, 2017 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Sep. 9, 2016 | Rick A. Fleming, Investor Advocate, U.S. Securities and Exchange Commission |
| Sep. 7, 2016 | John F. Linares, General Counsel, LeveL ATS |
| May 19, 2016 | William Neuberger and Andrew F. Silverman, Managing Directors and Global Co-Heads, Morgan Stanley Electronic Trading |
| Apr. 15, 2016 | David Weisberger, Managing Director, Markit, New York, New York |
| Mar. 21, 2016 | Mark Holder, Managing Director, UBS Securities LLC |
| Mar. 18, 2016 | John A. McCarthy, General Counsel, KCG Holdings, Inc. |
| Mar. 7, 2016 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Mar. 4, 2016 | Kimberly Unger, The Security Traders Association of New York, New York, New York |
| Mar. 1, 2016 | Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois |
| Mar. 1, 2016 | Anonymous |
| Mar. 1, 2016 | Angelo Evangelou, Deputy General Counsel, Chicago Board Options Exchange, Inc., Chicago, Illinois |
| Feb. 26, 2016 | Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc. |
| Feb. 26, 2016 | Denis Ignatovich and Grant Passmore, PhD, Co-Founders, Aesthetic Integration Limited |
| Feb. 26, 2016 | Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
| Feb. 26, 2016 | Timothy J. Mahoney, Chief Executive Officer, BIDS Trading L.P. |
| Feb. 26, 2016 | Kurt N. Schacht, CFA, Managing Director, Standards & Advocacy, and James C. Allen, CFA, Head, Capital Markets Policy, CFA Institute |
| Feb. 26, 2016 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Feb. 26, 2016 | Dave Lauer, Chairman, The Healthy Markets Association |
| Feb. 26, 2016 | D. Keith Ross, CEO, PDQ Enterprises, LLC, and Christopher Meade, Chief Compliance Officer, PDQ ATS, Inc. |
| Feb. 26, 2016 | Howard Meyerson, General Counsel, Liquidnet, New York, New York |
| Feb. 26, 2016 | John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association, New York, New York |
| Feb. 26, 2016 | Phillip S. Gillespie, Executive Vice President, General Counsel, State Street Global Advisors |
| Feb. 26, 2016 | Marcia
E. Asquith, Senior Vice President and Corporate Secretary, FINRA |
| Feb. 26, 2016 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Jiří Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
Feb. 25, 2016 | Chris Barnard, Germany |
| Feb. 25, 2016 | David W. Blass, General Counsel, Investment Company Institute |
| Feb. 24, 2016 | Scott Pintoff, General Counsel, MarketAxess Corporation, New York, New York |
| Feb. 23, 2016 | Eric T. Schneiderman, Attorney General of the State of New York |
| Feb. 23, 2016 | Jonathan A. Clark, Chief Executive Officer, and James C. Dolan, Chief Compliance Officer, Luminex Trading & Analytics LLC |
| Feb. 23, 2016 | Clive Williams, Head of Global Equity Trading, et al., T. Rowe Price Associates, Inc. |
| Dec. 2, 2015 | Venu Palaparthi, Senior Vice President, Virtu Financial |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| May 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 10, 2018, meeting with representatives of various buy-side firms |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding a May 10, 2018, meeting with representatives of Royal Bank of Canada and buy-side representatives |
| May 8, 2018 | Memorandum from the Division of Trading and Markets regarding a May 8, 2018, meeting with representatives of Aesthetic Integration Limited |
| May 2, 2018 | Memorandum from the Division of Trading and Markets regarding a May 2, 2018, meeting with representatives of Liquidnet, Inc. |
| Mar. 29, 2018 | Memorandum from the Division of Trading and Markets regarding a March 29, 2018, meeting with representatives of BIDS Trading, L.P. |
| Mar. 23, 2018 | Memorandum from the Division of Trading and Markets regarding a March 20, 2018, meeting with representatives of J.P. Morgan |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Kara M. Stein regarding a March 14, 2018, meeting with representatives of Healthy Markets |
| Mar. 2, 2018 | Memorandum from the Division of Trading and Market regarding a February 26, 2018, meeting with representatives of Morgan Stanley |
| Feb. 6, 2017 | Memorandum from the Division of Trading and Market regarding a February 6, 2017, meeting with representatives of the Equity Market Structure Advisory Committee |
| Sep. 22, 2016 | Memorandum from the Division of Trading and Markets regarding a September 21, 2016, meeting with representatives of BIDS Trading, L.P. |
| Aug. 5, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding a July 26, 2016, meeting with representatives of Morgan Stanley |
| Jul. 27, 2016 | Memorandum from the Division of Trading and Markets regarding a Jul. 27, 2016, meeting with representatives of Morgan Stanley & Co. LLC |
| Jul. 19, 2016 | Memorandum from the Division of Trading and Markets regarding a Jul. 18, 2016, meeting with representatives of Liquidnet, Inc. |
| Jul. 14, 2016 | Memorandum from the Office of the Chair regarding a Jul. 13, 2016, meeting with representatives of Securities Traders Association |
| Jun. 20, 2016 | Memorandum from the Division of Trading and Markets regarding a June 20, 2016, meeting with representatives of UBS Securities, LLC |
| Jun. 14, 2016 | Memorandum from the Division of Trading and Markets regarding a June 14, 2016, meeting with representatives of Rosenblatt Securities and Buy-Side Representatives |
| Jun. 9, 2016 | Memorandum from the Office of the Investor Advocate regarding a June 9, 2016, conference call with representatives of BlackRock, Inc. |
| Jun. 7, 2016 | Memorandum from the Office of the Chair regarding an April 11, 2016, meeting with representatives of BIDS Trading L.P. |
| Jun. 7, 2016 | Memorandum from the Office of the Chair regarding a June 3, 2016, meeting with representatives and members of SIFMA |
| Jun. 2, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an June 2, 2016, meeting with representatives of Investment Technology Group |
| Jun. 2, 2016 | Memorandum from the Division of Trading and Markets regarding a June 2, 2016, meeting with representatives of Investment Technology Group |
| Jun. 2, 2016 | Memorandum from the Division of Trading and Markets regarding a June 2, 2016, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) |
| May 5, 2016 | Memorandum from the Division of Trading and Markets regarding an April 28, 2016, meeting with representatives of Liquidnet, Inc. |
| Apr. 13, 2016 | Memorandum from the Division of Trading and Markets regarding an April 11, 2016, meeting with representatives of BIDS Trading |
| Apr. 11, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding an April 11, 2016, meeting with representatives of BIDS Trading |
| Mar. 15, 2016 | Memorandum from the Office of the Investor Advocate regarding a March 9, 2016, meeting with representatives of Fidelity Investments |
| Feb. 11, 2016 | Memorandum from the Office of the Investor Advocate regarding a February 10, 2016, meeting with representatives of Liquidnet, Inc. |
| Jan. 29, 2016 | Memorandum from the Division of Trading and Markets regarding a January 20, 2016, meeting with a representative of the Securities Traders Association |
| Jan. 29, 2016 | Memorandum from the Division of Trading and Markets regarding a January 28, 2016, meeting with representatives of PricewaterhouseCoopers LLP |
| Jan. 29, 2016 | Memorandum from the Division of Trading and Markets regarding a January 13, 2016, meeting with representatives of the Equity Market Structure Advisory Committee |
