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(Click here for meetings with SEC officials)
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| Dec. 4, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Nov. 15, 2023 | Sebastian Crapanzano, Managing Director, Morgan Stanley |
| Nov. 10, 2023 | Brian W. Steele, President, Managing Director, Head of Global Business Operations, DTCC; Laura Klimpel, General Manager, Head of SIFMU Business Development, FICC |
| Nov. 7, 2023 | Reyneir Magee |
| Nov. 6, 2023 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel |
| Oct. 30, 2023 |
Memorandum from the Office of Commissioner Jamie Liz?rraga regarding a October 30, 2023 meeting with representatives of IDTA
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| Oct. 20, 2023 | Jiří Król, Deputy CEO, Global Head of Government Affairs, AIMA |
| Sep. 1, 2023 | Independent Dealer and Trader Association |
| Aug. 31, 2023 | Sia Partners North America |
| Aug. 17, 2023 | Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute |
| Jul. 24, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Jul. 14, 2023 | Michael Sorrell, Deputy General Counsel, FIA, Inc. |
| Jun. 15, 2023 | Rachel Goldberg, Head of Government Relations and Regulatory Strategy, Americas, London Stock Exchange Group |
| Mar. 2, 2023 | Sia Partners North America |
| Jan. 30, 2023 | Josey Moore, Retail Finance Director |
| Jan. 12, 2023 | Chris Edmonds, Chief Development Officer, Intercontinental Exchange, Inc. |
| Jan. 6, 2023 | Ryan Sheftel, Global Head of Fixed Income, GTS Securities, LLC |
| Dec. 28, 2022 | Deborah A. Cunningham, CFA Executive Vice President, Chief Investment Officer of Global Liquidity Markets, and Senior Portfolio Manager, Susan R. Hill, CFA, Senior Vice President, Senior Portfolio Manager and Head of Government Liquidity, and David McCandless Corporate Counsel, Federated Hermes, Inc. |
| Dec. 27, 2022 | Elisabeth Kirby, Head of Market Structure, Tradeweb Markets |
| Dec. 27, 2022 | Independent Dealer and Trader Association |
| Dec. 27, 2022 | ARB, Citadel Sec, DRW, Eagle Seven, Geneva, Hard Eight, HRT, IMC, Jump, Kore, Optiver, Quantlab, WH, XR |
| Dec. 27, 2022 | Andrew Park, Americans for Financial Reform Education Fund |
| Dec. 27, 2022 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel |
| Dec. 27, 2022 | Murray Pozmanter, Managing Director, President of DTCC Clearing Agency Services
Head of Global Business Operations, and Laura Klimpel, General Manager of FICC, Head of SIFMU Business Development |
| Dec. 27, 2022 | Shiv Rao, Chairman, Sunthay Holdings, LLC. |
| Dec. 27, 2022 | Jonathan Marcus, Senior Managing Director and General Counsel, CME Group Inc. |
| Dec. 23, 2022 | Ann Battle Senior Counsel, Market Transitions, International Swaps and Derivatives Association, Inc. |
| Dec. 23, 2022 | Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association |
| Dec. 23, 2022 | Stephen W. Hall, Legal Director and Securities Specialist and Scott Farnin, Legal Counsel, Better Markets, Inc. |
| Dec. 23, 2022 | Evan Gerhard, President and CEO, ASL Capital Markets, Inc. |
| Dec. 23, 2022 | Fran Garritt, Director, Securities Lending & Market Risk, and Mark Whipple, Chairman, Committee on Securities Lending, Risk Management Association, |
| Dec. 23, 2022 | William Thum, Managing Director and Assistant General Counsel, Securities Industry and Financial Markets Association AMG |
| Dec. 23, 2022 | Rachel Goldberg, Head of Government Relations and Regulatory Strategy, Americas
London Stock Exchange Group |
| Dec. 23, 2022 | Sarah A. Bessin, Deputy General Counsel, Investment Company Institute and Nhan Nguyen,
Assistant General Counsel, Investment Company Institute |
| Dec. 22, 2022 | Robert Toomey, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association and Michelle Meertens, Deputy General Counsel, Institute of International Bankers |
| Dec. 22, 2022 | Robin Vince, President and Chief Executive Officer, The Bank of New York Mellon Corporation |
| Dec. 22, 2022 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, AIMA |
| Dec. 21, 2022 | Jennifer W. Han, Executive Vice President
Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Nov. 4, 2022 | U.S. Senator Thom Tillis |
| Oct. 24, 2022 | Manfred E. Will, Founder & CEO, M|E|W Consul |
| Oct. 6, 2022 | Eric Thompson |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 8, 2023 | Memorandum from the Office of Mark T. Uyeda regarding a December 8, 2023 meeting with representatives of DTCC |
| Dec. 5, 2023 | Memorandum from the Division of Trading and Markets regarding a December 5, 2023 meeting with representatives of Managed Fund Association |
| Dec. 1, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a November 30, 2023 meeting with Darrell Duffie |
| Nov. 22, 2023 | Memorandum from the Division of Trading and Markets regarding a November 22, 2023 meeting with the Group of Thirty |
| Nov. 14, 2023 | Memorandum from the Office of the Chair regarding a November 14, 2023 meeting with representatives of Optiver
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| Nov. 14, 2023 | Memorandum from the Office of the Chair regarding a November 14, 2023 meeting with representatives of DTCC
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| Nov. 6, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 1, 2023 meeting with representatives of DTCC |
| Nov. 3, 2023 | Memorandum from the Division of Trading and Markets regarding a November 1, 2023 meeting with representatives of Morgan Stanley |
| Nov. 2, 2023 | Memorandum from Division of Trading and Markets regarding an October 27, 2023 conference call with representatives of the Citadel |
| Nov. 2, 2023 | Memorandum from the Division of Investment Management regarding an October 13, 2023 meeting withrepresentatives of the Fixed Income Clearing Corporation (FICC) |
| Nov. 2, 2023 | Memorandum from Office of Clearance and Settlement and
Division of Trading and Markets regarding a June 29, 2023 conference call with representatives of the Investment Company Institute |
| Nov. 2, 2023 | Memorandum from Division of Trading and Markets regarding a July 27, 2023 conference call with representatives of BlackRock |
| Nov. 2, 2023 | Memorandum from Division of Trading and Markets regarding a June 29, 2023 conference call with representatives of the Investment Company Institute (ICI) |
| Nov. 2, 2023 |
Memorandum from Division of Trading and Markets regarding a June 27, 2023 conference call with representatives of the Independent Dealer & Trader Association (“IDTA”) |
| Nov. 2, 2023 | Memorandum from Division of Trading and Markets regarding a June 1, 2023 conference call with representatives of BlackRock |
| Nov. 1, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an October 26, 2023 meeting with representatives of Nomura |
| Oct. 31, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 31, 2023 meeting with representatives of the Investment Company Institute (ICI) |
| Oct. 30, 2023 | Memorandum from the Office of the Chair regarding a October 30, 2023 meeting with representatives of BNY Mellon
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| Oct. 30, 2023 |
Memorandum from the Office of Commissioner Jamie Lizárraga regarding a October 30, 2023 meeting with representatives of IDTA
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| Oct. 27, 2023 | Memorandum from the Office of the Chair regarding a October 27, 2023 meeting with Element Capital |
| Oct. 27, 2023 | Memorandum from the Division of Trading and Markets regarding an October 27, 2023 meeting with SIFMA |
| Oct. 27, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 27, 2023 meeting with representatives of Managed Funds Association |
| Oct. 26, 2023 | Memorandum from the Office of the Chair regarding an October 26, 2023 meeting with the Investment Company Institute |
| Oct. 23, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding an October 19, 2023 meeting with MFA |
| Oct. 20, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 20, 2023 meeting with representatives of the Investment Company Institute (ICI) |
| Oct. 19, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 19, 2023 meeting with the the Board of Directors of the Insured Retirement Institute (IRI) |
| Oct. 18, 2023 | Memorandum from the Office of the Chair regarding a October 17, 2023 meeting with representatives of PIMCO |
| Oct. 11, 2023 | Memorandum from the Office of the Chair regarding a October 11, 2023 meeting with representatives of ICE
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| Oct. 4, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a October 3, 2023 meeting with representatives of MFA |
| Oct. 2, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 2, 2023 meeting with representatives of JP Morgan |
| Sep. 22, 2023 | Memorandum from the Office of the Chair regarding a September 22, 2023 meeting with representatives of JP Morgan |
| Sep. 15, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a July 26, 2023 meeting with Darrell Duffie |
| Sep, 8, 2023 | Memorandum from the Office of the Chair regarding a September 8, 2023 meeting with representatives of IDTA
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| Sep. 7, 2023 | Memorandum from the Office of the Chair regarding a September 7, 2023 meeting with representatives of FIA
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| Aug. 30, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 30, 2023, meeting with representatives of the Independent Dealer and Trader Association |
| Aug. 24, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding an August 22, 2023 meeting with SIFMA |
| Aug. 4, 2023 | Memorandum from the Office of Public Engagement regarding a July 31, 2023 virtual meeting with Optiver |
| Aug. 3, 2023 |
Memorancum from the Office of the Chair regarding a August 3, 2023 meeting with representatives of LSEG/LCH |
| Aug. 2, 2023 | Memorandum from the Office of the Chair regarding a August 2, 2023 meeting with representatives of ICE
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| Aug. 2, 2023 | Memorandum from the Office Of Public Engagement regarding a July 27, 2023 meeting with representatives of BNY Mellon |
| Aug. 2, 2023 |
Memorandum from the Office of the Chair regarding a August 2, 2023 meeting with representatives of Jefferies |
| Aug. 2, 2023 |
Memorandum from the Office of the Chair regarding a August 2, 2023 meeting with representatives of Blackrock |
| Jul. 26, 2023 | Memorandum from the Office Of Public Engagement regarding a July 20, 2023 virtual meeting with representatives of the New York Stock Exchange |
| Jul. 25, 2023 |
Memorandum from the Office of the Chair regarding a July 25, 2023 meeting with representatives of BNY Mellon |
| Jul. 25, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 25, 2023 meeting with FIA Principal Traders Group |
| Jul. 20, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2023 meeting with representatives of ISDA |
| Jul. 20, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 27, 2023 meeting with representatives of Independent Dealer and Trader Association |
| Jul. 14, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 14, 2023 meeting with representatives of the DTCC |
| Jul. 14, 2023 | Memorandum from the Office Of Public Engagement regarding a July 13, 2023 virtual meeting with representatives of Americans for Financial Reform
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| Jul. 14, 2023 | Memorandum from the Office Of Public Engagement regarding a July 12, 2023 virtual meeting with representatives of Futures Industry Association
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Jul. 14, 2023 | Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a June 8, 2023 meeting with representatives of DTCC |
| Jul. 14, 2023 | Memorandum from the Office Of Commissioner Caroline Crenshaw regarding an April 4, 2023 meeting with representatives of Options Clearing Corporation |
| Jul. 10, 2023 | Memorandum from the Division of Trading and Markets
regarding a June 29, 2023 meeting with representatives of the Investment Company Institute |
| Jul. 6, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a June 29, 2023 meeting with Citadel, WH Trading, DRW, Optiver, Jump Trading, Geneva Trading, and Hudson River |
| Jun. 27, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 27, 2023 meeting with representatives of the Independent Dealer Trader Association |
| Jun. 29, 2023 | Memorandum from the Office of Public Engagement regarding a June 15, 2023 meeting with the Depository Trust and Clearing Corporation |
| Jun. 29, 2023 | Memorandum from the Office of Public Engagement regarding a June 15, 2023 meeting with the Depository Trust and Clearing Corporation |
| Jun. 28, 2023 | Memorandum from the Office of the Chair regarding a June 28, 2023 meeting with representatives of ISDA
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| Jun. 23, 2023 |
Memorandum from the Office of the Chair regarding a June 23, 2023 meeting with representatives of Independent Dealer and Trader Association |
| Jun. 16, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 14, 2023 meeting with representatives of DTCC |
| Jun. 9, 2023 | Memorandum from the Office of the Chair regarding a June 9, 2023 meeting with representatives of JP Morgan
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| Jun. 7, 2023 |
Memorandum from the Office of the Chair regarding a June 7, 2023 meeting with representatives of the Investment Company Institute |
| May 30, 2023 | Memorandum from the Office of the Chairman regarding a May 30, 2023 meeting with Capital Group |
| May 26, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a May 12, 2023 meeting with the Managed Funds Association |
| May 24, 2023 | Memorandum from the Office of the Chairman regarding a May 24, 2023 meeting with PIMCO |
| May 12, 2023 | Memorandum from the Division of Trading & Markets regarding a May 3, 2023 meeting with London Stock Exchange Group |
| May 12, 2023 | Memorandum from the Division of Trading & Markets regarding a March 31, 2023 meeting with Federated Hermes |
| May 9, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 27, 2023 meeting with representatives of DTCC |
| May 9, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2023 meeting with representatives of the Independent Dealer and Trader Association |
| May 9, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 16, 2023 meeting with representatives of JP Morgan |
| Apr. 13, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding an April 11, 2023
meeting with representatives of the Managed Funds Association |
| Apr. 4, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding an April 4, 2023 meeting with representatives of SIFMA |
| Mar. 31, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a March 28, 2023 meeting with the Independent Dealer and Trader Association |
| Mar. 29, 2023 | Memorandum from the Division of Trading & Markets regarding a March 1, 2023, meeting with representatives of Managed Funds Association |
| Mar. 29, 2023 | Memorandum from the Division of Trading & Markets regarding a February 16, 2023, meeting with representatives of the Securities Industry and Financial Markets Association |
| Mar. 29, 2023 | Memorandum from the Division of Trading & Markets regarding a November 8, 2022, meeting with representatives of Bank of America |
| Mar. 29, 2023 | Memorandum from the Division of Trading & Markets regarding a March 28, 2023 meeting with representatives of SIFMA AMG |
| Mar. 29, 2023 | Memorandum from the Division of Trading & Markets regarding a December 6, 2022 meeting with representatives of Intercontinental Exchange |
| Mar. 29, 2023 | Memorandum from the Division of Trading & Markets regarding a February 10, 2023 meeting with representatives of GTS Securities LLC |
| Mar. 22, 2023 | Memorandum from the Office of Public Engagement regarding a March 22, 2023 meeting with Financial Services Forum |
| Mar. 10, 2023 | Memorandum from the Office of Public Engagement regarding a March 10, 2023 meeting with representatives of LCH |
| Mar. 2, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 2, 2023 meeting with representatives of the European Banking Federation |
| Feb. 22, 2023 | Memorandum from the Office of Public Engagement regarding a February 17, 2023 meeting with Intercontinental Exchange and New York Stock Exchange |
| Feb. 2, 2023 | Memorandum from the Office of Commissioner Jaime E. Lizárraga regarding a January 17, 2023 meeting with representatives of the Pacific Investment Management Company |
| Jan. 19, 2023 | Memorandum from the Office of Public Engagement regarding a January 18, 2023 meeting with LCH Group |
| Jan. 10, 2023 | Memorandum from the Division of Trading and Markets regarding a January 10, 2023 meeting with BlackRock |
| Dec. 15, 2022 | Memorandum from the Division of Economic and Risk Analysis regarding a December 15, 2022, meeting with representatives of the Independent Dealer and Trader Association |
| Nov. 28, 2022 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 28, 2022 meeting with representatives of the Futures Industry Association Principal Traders’ Group |
| Nov. 18, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2022 meeting with representatives of DRW |
| Nov. 4, 2022 | Memorandum from the Office of the Chairman regarding a November 4, 2022 virtual meeting with representatives of G-30 |
| Sep. 16, 2022 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 16, 2022 meeting with representatives of Americans for Financial Reform |
| Oct. 18, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 18, 2022 meeting with SIFMA-AMG |
| Sep. 19, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 19, 2022 Videoconference with Representatives of BlackRock |
