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Comments on Proposed Rule: Use of Derivatives by Registered Investment Companies and Business Development Companies Offerings

[Release Nos. IC-31933; File No. S7-24-15]


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 27, 2018 Gordon F. Peery, Chair, Derivatives Practice Group, Seyfarth Shaw LLP
May 18, 2017 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Feb. 7, 2016 Dechert LLP
Dec. 16, 2016 Robert E. Rutkowski
Dec. 15, 2016 Americans for Financial Reform
Dec. 12, 2016 Sam Kazman, General Counsel, and Ryan Radia, Research Fellow & Regulatory Counsel; Competitive Enterprise Institute, Washington, District of Columbia
Dec. 8, 2016 Brendan R. Kalb, Managing Director and General Counsel, AQR Capital Management, LLC
Dec. 5, 2016 Barbara Novick, Vice Chairman, BlackRock
Nov. 29, 2016 Sens. Mark Warner, Joe Donnelly and Heidi Heitkamp, U.S. Senate
Nov. 21, 2016 Venu Palaparthi, Senior Vice President, Regulatory Affairs, Virtu Financial LLC
Nov. 3, 2016 James T. Rothwell, Head of Legal, Stone Ridge Asset Management LLC
Sep. 27, 2016 David W. Blass, General Counsel, Investment Company Institute, Washington , District of Columbia
Aug. 29, 2016 Christopher L. Gust, Chief Investment Officer, Wolverine Asset Management, LLC, Chicago, Illinois
Aug. 18, 2016 Robert C. Grohowski, General Counsel, Investment Adviser Association
Jul. 28, 2016 David W. Blass, General Counsel, Investment Company Institute
Jul. 6, 2016 Senator Sherrod Brown, U.S. Senate
Jun. 22, 2016 Paul K. Freeman, Chair, Governing Council, Independent Directors Council
Jun. 15, 2016 Michael D. Davis, CPA, Certified Public Accountant, Dormont, Pennsylvania
Jun. 10, 2016 Anonymous
Jun. 9, 2016 Mary Reed, Temple City, California
Jun. 8, 2016 Adolfo
May 17, 2016 John Doe
Apr. 28, 2016 Anonymous
Apr. 19, 2016 Kathy Ford, CFO, Albertville Quality Foods
Apr. 15, 2016 Brendon J. Weiss, Co-Head, Government Affairs, Intercontinental Exchange
Apr. 11, 2016 Anonymous
Apr. 8, 2016 David M. Lynn, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, Washington, District of Columbia
Apr. 8, 2016 Philip Weisberg, Managing Director, Global Head of Foreign Exchange, Thomson Reuters; CEO, FX Alliance LLC; President, Thomson Reuters (SEF) LLC
Apr. 5, 2016 Charles R. Schneider, Chairman, Board of Directors, U.S. Security Associates Holding Corp.
Apr. 4, 2016 Robert G. Zack, Independent Trustee, New York, New York
Apr. 2, 2016 Jeremy Nelson, President & Chief Investment Officer, Pinnacle Trust
Apr. 1, 2016 Sutherland Asbill & Brennan LLP
Mar. 31, 2016 Edward T. Tilly, CEO, Chicago Board Options Exchange, Chicago, Illinois
Mar. 30, 2016 Ernst & Young LLP
Mar. 29, 2016 Vincent Wu, Hong Kong
Mar. 29, 2016 Mark R. Harris, Chief Financial Officer & Chief Accounting Officer, Hercules Capital, Inc.
Mar. 29, 2016 Karen Kraus, Suwanee, Georgia
Mar. 29, 2016 Dr. Martin Rohleder, Finance and Banking, University of Augsburg
Mar. 28, 2016 Americans for Financial Reform
Mar. 28, 2016 Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Mar. 28, 2016 Marc Bryant, Senior Vice President, Chief Legal Officer, Fidelity Management & Research Company
Mar. 28, 2016 Ryan C. Radia, et al., Competitive Enterprise Institute, Washington, District of Columbia
Mar. 28, 2016 Jerry Chafkin, Chief Investment Officer, AssetMark, Inc.
Mar. 28, 2016 Timothy W. Cameron, Esq., Head, Asset Management Group, and Aseel M. Rabie, Esq., Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Mar. 28, 2016 Eric D. Roiter, Lecturer in Law, Boston University School of Law, Boston, Massachusetts
Mar. 28, 2016 Joshua M. Bloomstein, General Counsel, Vice President and Secretary, Ares Capital Corporation
Mar. 28, 2016 Brendan R. Kalb, Managing Director and General Counsel, AQR Capital Management, LLC, Greenwich, Connecticut
Mar. 28, 2016 James J. Angel, Ph.D., CFA, Associate Professor, McDonough School of Business, Georgetown University
Mar. 28, 2016 Barbara Novick, Vice Chairman, and Benjamin Archibald, Managing Director, BlackRock, New York, New York
Mar. 28, 2016 Douglas M. Hodge, Chief Executive Officer, Pacific Investment Management Company LLC, Newport Beach, California
Mar. 28, 2016 Dechert LLP
Mar. 28, 2016 John M. Zerr, Managing Director, General Counsel, US Retail, Invesco Management Group, Inc.
Mar. 28, 2016 Jonathan Jachym, LCH.Clearnet, Washington, District of Columbia
Mar. 28, 2016 Donald C. Cacciapaglia, Vice Chairman, Guggenheim Investments
Mar. 28, 2016 Mortimer J. Buckley, Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard, Valley Forge, Pennsylvania
Mar. 28, 2016 David Oestreicher, Vice President and Chief Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Mar. 28, 2016 Steven Kennedy, Global Head of Public Policy, ISDA
Mar. 28, 2016 David M. Billings, Executive Vice President and General Counsel, Affiliated Managers Group, Inc., West Palm Beach, Florida
Mar. 28, 2016 Richard F. Morris, General Counsel, ProShares
Mar. 28, 2016 Payson F. Swaffield, VP, Chief Income Investment Officer, Eaton Vance Management, Boston, Massachusetts
Mar. 28, 2016 Benjamin N. Alpert, CFA, CAIA, Senior Research Engineer, and Scott Cooley, Director of Policy Research, Morningstar Inc., Chicago, Illinois
Mar. 28, 2016 Heather Slavkin Corzo, Director, Office of Investment, AFL-CIO
Mar. 28, 2016 Jason Mulvihill, General Counsel, Private Equity Growth Capital Council, Washington, District of Columbia
Mar. 28, 2016 Paul F. Roye, Senior Vice President, and Erik A. Vayntrub, Counsel, Capital Research and Management Company
Mar. 28, 2016 William W. Johnson, Credit Suisse Asset Management, LLC
Mar. 28, 2016 Gene Dongieux, Ariadne Wealth Management
Mar. 28, 2016 Kevin Albert, Pantheon Ventures (US) LP
Mar. 28, 2016 Dechert LLP, on behalf of certain managed futures investment managers
Mar. 28, 2016 Tom Quaadman, Senior Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Mar. 28, 2016 John de Carvalho, CFA, Chief Investment Officer, Moss Adams Wealth Advisors LLC
Mar. 28, 2016 Aldo A. Ceccarelli, Head of Investments, Wells Fargo Funds Management, LLC, San Francisco, California
Mar. 28, 2016 David P. Mathews, General Counsel, Altegris Advisors, L.L.C.
Mar. 28, 2016 Mark N. Polebaum, Executive Vice President and General Counsel, MFS Investment Management
Mar. 28, 2016 Chip Lowry, Chairman, Foreign Exchange Professionals Association
Mar. 28, 2016 Rebecca N. Kim, J.D. Candidate, Columbia Law School, New York, New York
Mar. 28, 2016 Sullivan & Cromwell LLP
Mar. 28, 2016 Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Mar. 28, 2016 Duncan B.E. Wilkinson, CEO, AlphaSimplex Group, LLC, Cambridge, Massachusetts
Mar. 28, 2016 Blackstone Alternative Investment Advisors LLC
Mar. 28, 2016 Stephen A. Curley, WaterOak Advisors, Winter Park, Florida
Mar. 28, 2016 Mike Silverman, Chief Investment Officer, Crow Holdings Capital Investment Partners
Mar. 28, 2016 Christopher D. Marzullo, General Counsel & Chief Compliance Officer, Brandywine Global Investment Management, LLC
Mar. 28, 2016 James T. Rothwell, Head of Legal, Stone Ridge Asset Management LLC
Mar. 28, 2016 Marcus Schüler, Head of Regulatory Affairs, Markit, Washington, District of Columbia
Mar. 28, 2016 Davis Polk and Wardwell LLP, New York, New York
Mar. 28, 2016 Brett Palmer, President, Small Business Investor Alliance (SBIA), Washington, District of Columbia
Mar. 28, 2016 Fiona Bassett, Chief Executive Officer and Chief Information Officer, DBX Advisors LLC, New York, New York
Mar. 28, 2016 Simpson Thacher & Bartlett LLP
Mar. 28, 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
Mar. 28, 2016 Richard T. Prins, Skadden, Arps, Slate, Meagher & Flom LLP
Mar. 28, 2016 Fran Garitt, Director, Securities Lending, and Jason P. Strofs, Chairman, Committee on Securities Lending; The Risk Management Association
Mar. 28, 2016 Aviva Investors
Mar. 28, 2016 Amy B.R. Lancellota, Managing Director, Independent Directors Council
Mar. 28, 2016 Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia
Mar. 28, 2016 Angela Brickl, General Counsel, Rafferty Asset Management, LLC , New York, New York
Mar. 28, 2016 William Conger
Mar. 28, 2016 George C.W. Gatch, Managing Director, CEO, Global Funds Management & Institutional, JP Morgan Asset Management
Mar. 28, 2016 Craig S. Donohue, Executive Chairman, The Options Clearing Corporation, Chicago, Illinois
Mar. 28, 2016 Robert C. Grohowski, General Counsel, Investment Adviser Association
Mar. 28, 2016 Thomas P. Lloyd, General Counsel, Campbell & Company
Mar. 28, 2016 David B. Smith, Jr., General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia
Mar. 28, 2016 David W. Blass, General Counsel, Investment Company Institute
Mar. 28, 2016 Phil Fontana, CFA, CAIA, Head of Product Development, John Hancock Investments
Mar. 28, 2016 Stefan M. Gavell, Executive Vice President and Head of Regulatory, Industry and Government Affairs, State Street Corporation
Mar. 28, 2016 Anonymous
Mar. 28, 2016 Ryan M. Louvar, General Counsel, WisdomTree Asset Management, Inc., New York, New York
Mar. 28, 2016 Craig S. Tyle, EVP/General Counsel, Franklin Resources, Inc., San Mateo, California
Mar. 28, 2016 Robert E. Murray, Chief Executive Officer, Graham Capital Management, L.P.
Mar. 28, 2016 Daniel R. Scammell, Accountant, Tampa, Florida
Mar. 28, 2016 Russell Kane, Senior Vice President and Deputy General Counsel, NGAM Distribution, L.P.
Mar. 28, 2016 Gene L. Needles, Jr., President and CEO, American Beacon Advisors, Inc., Irving, Texas
Mar. 28, 2016 Jesse Dodson, Missoula, Montana
Mar. 28, 2016 Kurt C. Yost, Senior Vice President and General Counsel, Miller Energy Resources, Inc.
Mar. 28, 2016 David I. Cohen and Matthew J. Patterson
Mar. 28, 2016 Bryan T. Durkin, Senior Managing Director, Chief Commercial Officer, CME Group Inc., Chicago, Illinois
Mar. 28, 2016 Michael J. Venuto, CIO, Toroso Investments LLc, NY, New York
Mar. 28, 2016 Arthur J. Simon, Partner and General Counsel, William Blair & Company
Mar. 28, 2016 Craig M. Lewis, Madison S. Wigginton Professor of Finance, Vanderbilt University, Nashville, Tennessee
Mar. 28, 2016 Cynthia Lo Bessette, Esq., Executive Vice President & General Counsel, and Geoffrey J. Craddock, Executive Vice President & Chief Risk Officer, OppenheimerFunds, New York, New York
Mar. 28, 2016 Tony Gannon, CEO & CIO, Abbey Capital Limited
Mar. 28, 2016 Paul R. Stewart, President and CEO, and Donna M. Brown, General Counsel and CCO, Gateway Investment Advisers, LLC
Mar. 28, 2016 Steven M. Felsenthal, General Counsel and Chief Compliance Officer, Millburn Ridgefield Corporation
Mar. 28, 2016 Jonathan Greenwold, General Counsel, Aspect Capital Limited
Mar. 27, 2016 Timothy A. Ryan, Principal, Ironbark California, LLC, Santa Barbara, California
Mar. 27, 2016 Dan Kephart, Ohio
Mar. 25, 2016 Adina Gurau Audibert, Head of Investment Management Techniques, AFG - French Asset Management Association, Paris, France
Mar. 25, 2016 Philip R Huber, CFA, CFP, Chief Investment Officer, Huber Financial Advisors, Chicago, Illinois
Mar. 25, 2016 Jonathan DePriest, Executive Vice President and General Counsel, Salient Partners, L.P.
Mar. 25, 2016 James A. Overdahl, Ph.D, Delta Strategy Group, Washington, District of Columbia
Mar. 25, 2016 Doug Holtz-Eakin, President, and Meghan Milloy, Director, Financial Services Policy, American Action Forum
Mar. 25, 2016 Craig S. Donohue, Executive Chairman, The Options Clearing Corporation
Mar. 24, 2016 Andrew Birch, Chief Executive Officer, Sungevity, Inc.
Mar. 24, 2016 Jason Lina, CFA, CFP, Lead Advisor, Resource Planning Group
Mar. 24, 2016 Waseem Barazi, Chief Regulatory Officer and Associate General Counsel, OneChicago, LLC
Mar. 24, 2016 David Kavanagh, President, Dearborn Capital Management
Mar. 24, 2016 Jared Kizer, Chief Investment Officer, et al., Buckingham Asset Management, LLC
Mar. 23, 2016 Cisco DeVries, Chief Executive Officer, Renew Financial
Mar. 23, 2016 Michael R. Granito, Chief Risk Officer, Federated Investors, Inc.
Mar. 21, 2016 Michael Lee, Chief Operating Officer, LourdMurray
Mar. 21, 2016 Richard Apostolik, President and CEO, Global Association of Risk Professionals, Jersey City, New Jersey
Mar. 21, 2016 Ruth Kingsley
Mar. 21, 2016 Rusty Kelley, Chief Financial Officer, Extraction Oil & Gas Holdings, LLC
Mar. 18, 2016 Mark Zurack, Professor, Finance and Economics, Columbia Business School
Mar. 18, 2016 Amundi Smith Breeden LLC
Mar. 17, 2016 Richard D. Mosley, Director ATT Inc., Atlanta, Georgia
Mar. 17, 2016 Al Hemmingsen, CFA, Director of Research, Highland Consulting Associates, Inc.
Mar. 17, 2016 W.J. Reagan, SVP Finance & Treasurer, Asurion, LLC
Mar. 15, 2016 Mark A. Cuny, Chief Financial Officer, Telestream, LLC
Mar. 15, 2016 Gregory G. DiCarlo, Vice President and General Counsel, NorthStar Group Services, Inc., Trumbull, Connecticut
Mar. 14, 2016 Dominic Bongo, CFO, Emergency Communication Network
Mar. 14, 2016 Philip DeMuth, Managing Director, Conservative Wealth Management LLC
Mar. 12, 2016 Demarco J. Bell, President & Chief Operations Officer, SHD Oil & Gas, LLC
Mar. 11, 2016 Carol Riley
Mar. 10, 2016 Fei Li
Mar. 9, 2016 Martin Rohleder, Markus Natter, Dominik Schulte, and Marco Wilkens
Feb. 24, 2016 Scott Pinder, Phoenix, Arizona
Feb. 22, 2016 Shreeniwas V. Iyer, Singapore, Singapore
Feb. 18, 2016 Cavell Harris-Brandts
Feb. 17, 2016 W.M. Case
Feb. 16, 2016 S. Aveed Majd, Annapolis, Maryland
Feb. 12, 2016 Al Smart
Feb. 11, 2016 Bret Dunlap, Public School Teacher, Alexandria, Virginia
Feb. 1, 2016 Stephen P. Gobright, M.B.A., Saint Paul, Minnesota
Jan. 27, 2016 Jeff McG.
Jan. 27, 2016 Mark Gorman, Malden, Massachusetts
Jan. 26, 2016 Michael Clary, Chicago, Illinois
Jan. 25, 2016 Nissar Vahora
Jan. 24, 2016 K.Z.
Jan. 21, 2016 Amod P. Lokre, Financial Advisor
Jan. 20, 2016 Roberto Croce, Ph.D., Houston, Texas
Jan. 20, 2016 Louis B. O'Bryan, Seattle, Washington
Jan. 16, 2016 Rob Fox
Jan. 15, 2016 Robert Menk, Individual Investor, New York, New York
Jan. 13, 2016 Paul G. Charbonnet, Partner, Investors FastTrack, Baton Rouge, Louisiana
Jan. 12, 2016 Nate Jones, Daufuskie Island, South Carolina
Jan. 10, 2016 Stephen P. Johnson, Individual Investor, Pasco, Washington
Jan. 9, 2016 Sterling Wolfe, JD, Torrance, California
Jan. 9, 2016 Paul E. Winger, ACPN, President, Tucson, Arizona
Jan. 8, 2016 Ling Xiang
Jan. 7, 2016 John LaFave
Jan. 6, 2016 John Forbes, Michigan
Jan. 4, 2016 Charles J. Royce, Cary, North Carolina
Dec. 31, 2015 Jake Fleming, Investor
Dec. 29, 2015 John Wahh
Dec. 29, 2015 Jesse M. Cates, Midland, Texas
Dec. 29, 2015 Kelly Allan, Individual Investor, Columbus, Ohio
Dec. 28, 2015 Paula So, Dallas, Texas
Dec. 27, 2015 Erik Sliman, Ohio
Dec. 21, 2015 Francisco J. Arreaga, Former Dean of Business Management School, Managua, Nicaragua
Dec. 21, 2015 Henry Marshall
Dec. 21, 2015 Justin Wilson, Clayton, Indiana
Dec. 17, 2015 Ken P. Waters, Phoenix, Arizona
Dec. 17, 2015 Ron Pinkert, Dallas, Texas
Dec. 16, 2015 Ryan Wallace
Dec. 15, 2015 James Tharayil, Bellevue, Washington
Dec. 15, 2015 Simon Tate
Dec. 15, 2015 Karim Mikhail
Dec. 14, 2015 Thomas Fork, Wickenburg, Arizona
Dec. 13, 2015 Tim Tursick
Dec. 13, 2015 Saumil Patel, Dover, New Hampshire
Dec. 12, 2015 Hussein Abdulrasool
Nov. 20, 2015 Dan Huebner

SEC Staff Studies and Reports

(Click here for submitted comments from the public)
Nov. 1, 2016 Memorandum from the Division of Economic and Risk Analysis regarding Risk Adjustment and Haircut Schedules
Dec. 11, 2015 Division of Economic and Risk Analysis White Paper: Use of Derivatives by Registered Investment Companies

Meetings with SEC Officials

(Click here for submitted comments from the public)
Jun. 20, 2018 Memorandum from the Office of the Chairman regarding a June 20, 2018 meeting with representatives of the Boston Asset Management Association
May 10, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a May 10, 2018, meeting with representatives of Americans for Financial Reform, Public Citizen, the American Federation of State, County and Municipal Employees and the AFL-CIO
Mar. 14, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a February 27, 2018, meeting with representatives of the Investment Company Institute (ICI)
Feb. 26, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 26, 2018, meeting with representatives of the Investment Company Institute
Jun. 9, 2017 Memorandum from the Office of the Chairman regarding a June 8, 2017, meeting with representatives of the Investment Company Institute
Nov. 16, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 16, 2016, meeting with representatives of Stone Ridge Asset Management LLC
Nov. 1, 2016 Memorandum from the Division of Investment Management regarding an October 28, 2016, meeting with representatives of Stone Ridge Asset Management LLC
Oct. 31, 2016 Memorandum from the Division of Investment Management regarding an October 28, 2016, meeting with representatives of the Investment Company Institute
Oct. 20, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 20, 2016, meeting with representatives of AQR Capital Management, LLC
Oct. 17, 2016 Memorandum from the Office of the Chair regarding an October 6, 2016, meeting with representatives of Direxion Funds, Rafferty Asset Management, LLC, and K&L Gates
Oct. 7, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 6, 2016, meeting with representatives of Direxion Funds
Oct. 6, 2016 Memorandum from the Division of Investment Management regarding an October 5, 2016, meeting with representatives of the Coalition for Small Business Growth
Sep. 28, 2016 Memorandum from the Division of Investment Management regarding a September 26, 2016, meeting with representatives of the Managed Funds Association
Aug. 19, 2016 Memorandum from the Division of Investment Management regarding an August 10, 2016, call with representatives of the Investment Company Institute
Aug. 19, 2016 Memorandum from the Division of Investment Management regarding an August 19, 2016, call with representatives of the Investment Company Institute
Aug. 18, 2016 Memorandum from the Division of Economic and Risk Analysis regarding an August 15, 2016, meeting with representatives of Americans for Financial Reform
Aug. 17, 2016 Memorandum from the Division of Investment Management regarding an August 17, 2016, meeting with representatives of Wolverine Asset Management, LLC
Jul. 28, 2016 Memorandum from the Division of Investment Management regarding a July 19, 2016, meeting with representatives of the Independent Directors Council
Jul. 28, 2016 Memorandum from the Division of Investment Management regarding a July 27, 2016, meeting with representatives of the Subcommittee on Investment Companies and Investment Advisers of the Committee on Federal Regulation of Securities of the American Bar Association's Business Law Section
Jul. 27, 2016 Memorandum from the Division of Investment Management regarding a July 18, 2016, meeting with representatives of Affiliated Managers Group, Inc.
Jul. 18, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a July 18, 2016, meeting with representatives of the Investment Company Institute
Jul. 15, 2016 Memorandum from the Division of Investment Management regarding a July 14, 2016, meeting with representatives of BlackRock, Inc.
Jul. 13, 2016 Memorandum from the Division of Investment Management regarding a July 13, 2016, meeting with representatives of the Alternative Investment Management Association and the Managed Funds Association
Jul. 8, 2016 Memorandum from the Division of Investment Management regarding a June 30, 2016 meeting with representatives of AlphaSimplex Group, LLC
Jun. 27, 2016 Memorandum from the Division of Investment Management regarding a June 27, 2016 meeting with representatives of Foreign Exchange Professionals Association
Jun. 22, 2016 Memorandum from the Office of the Chair regarding a June 22, 2016 meeting with representatives of the Pacific Investment Management Company LLC (PIMCO)
Jun. 22, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a June 22, 2016 meeting with representatives of the Pacific Investment Management Company LLC (PIMCO)
Jun. 22, 2016 Memorandum from the Division of Investment Management regarding a June 22, 2016 meeting with representatives of the Pacific Investment Management Company LLC (PIMCO)
Jun. 22, 2016 Memorandum from the Division of Investment Management regarding a June 21, 2016 phone call with representatives of MFS Investment Management
Jun. 17, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a June 17, 2016 meeting with representatives of the Investment Company Institute
Jun. 15, 2016 Memorandum from the Division of Investment Management regarding a June 14, 2016 meeting with representatives of Blackstone Alternative Investment Advisors LLC
Jun. 15, 2016 Memorandum from the Division of Investment Management regarding an April 28, 2016 call with representatives of Invesco and Powershares
Jun. 13, 2016 Memorandum from the Division of Investment Management regarding a June 10, 2016, meeting with representatives of Dechert, LLP
Jun. 8, 2016 Memorandum from the Division of Investment Management regarding a June 8, 2016, meeting with representatives of the Investment Adviser Association
Jun. 8, 2016 Memorandum from the Office of the Chair regarding a June 7, 2016, meeting with representatives of Capital World Investors, et al.
Jun. 6, 2016 Memorandum from the Office of the Chair regarding a June 2, 2016, meeting with representatives of AQR Capital Management, LLC, et al.
Jun. 2, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a June 2, 2016 meeting with representatives of SIFMA
Jun. 2, 2016 Memorandum from the Division of Investment Management regarding a June 2, 2016, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
May 31, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 31, 2016 phone call with a representative of BlackRock, Inc.
May 25, 2016 Memorandum from the Division of Investment Management regarding a May 25, 2016, meeting with representatives of the Small Business Investor Alliance
May 18, 2016 Memorandum from the Office of the Chair regarding a May 17, 2016, meeting with representatives of BlackRock, Inc.
May 17, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a May 17, 2016, meeting with representatives of BlackRock
May 17, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 17, 2016, meeting with representatives of Thomson Reuters
May 17, 2016 Memorandum from the Division of Investment Management regarding a May 17, 2016, meeting with representatives of Thomson Reuters Corporation
May 12, 2016 Memorandum from the Division of Investment Management regarding a May 9, 2016, meeting with representatives of the Investment Company Institute and certain of its Members
May 12, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 11, 2016, meeting with representatives of AQR Capital Management, LLC
May 10, 2016 Memorandum from the Division of Economic and Risk Analysis regarding a May 5, 2016, meeting with Craig M. Lewis
May 6, 2016 Memorandum from the Division of Investment Management regarding a May 4, 2016, meeting with representatives of Credit Suisse
May 6, 2016 Memorandum from the Division of Investment Management regarding an April 27, 2016, meeting with representatives of Federated Investors
May 5, 2016 Memorandum from the Office of the Chair regarding an April 29, 2016, meeting with representatives of Intercontinental Exchange (ICE)
May 5, 2016 Memorandum from the Division of Investment Management regarding a May 4, 2016, meeting with representatives of Eaton Vance
May 4, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a May 4, 2016, meeting with representatives of Eaton Vance
May 4, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 4, 2016, meeting with representatives of Eaton Vance
May 4, 2016 Memorandum from the Division of Investment Management regarding a May 3, 2016, meeting with representatives of Campbell & Company, LP, Millburn Ridgefield Corporation, and Welton Investment Partners, LLC
Apr. 26, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 25, 2016, meeting with representatives of Capital Group
Apr. 22, 2016 Memorandum from the Office of Commissioner Kara Stein regarding an April 20, 2016, meeting with Robert Plaze
Apr. 21, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 19, 2016, meeting with representatives of the Boston Asset Management Association
Apr. 14, 2016 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 14, 2016, meeting with representatives of Franklin Square Capital Partners
Apr. 13, 2016 Memorandum from the Division of Investment Management regarding an April 6, 2016, meeting with representatives of the Managed Funds Association
Apr. 1, 2016 Memorandum from the Division of Investment Management regarding a March 31, 2016, call with representatives of Fidelity
Mar. 23, 2016 Memorandum from the Division of Investment Management regarding a March 17, 2016, meeting with representatives of PIMCO
Mar. 22, 2016 Memorandum from the Division of Investment Management regarding a March 22, 2016, meeting with representatives of AQR Capital Management, LLC
Mar. 22, 2016 Memorandum from the Division of Investment Management regarding a March 22, 2016, meeting with representatives of Fidelity
Mar. 21, 2016 Memorandum from the Division of Investment Management regarding a March 18, 2016, meeting with representatives of Americans for Financial Reform, the Consumer Federation of America and Vermont Law School
Mar. 17, 2016 Memorandum from the Division of Investment Management regarding a March 16, 2016, meeting with representatives of Stone Ridge Asset Management
Mar. 14, 2016 Memorandum from the Office of Commissioner Kara M. Stein regarding a March 14, 2016, meeting with representatives of Rafferty Asset Management
Mar. 11, 2016 Memorandum from the Division of Investment Management regarding a March 11, 2016, meeting with representatives of Direxion Investments
Mar. 11, 2016 Memorandum from the Division of Investment Management regarding a March 9, 2016, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Mar. 10, 2016 Memorandum from the Division of Economic and Risk Analysis regarding a March 9, 2016, meeting with representatives of BlackRock, Inc.
Mar. 3, 2016 Memorandum from the Division of Investment Management regarding a March 2, 2016, meeting with representatives of the Alternative Investment Management Association
Mar. 2, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a March 2, 2016, meeting with representatives of the Independent Directors Council
Feb. 10, 2016 Memorandum from the Division of Investment Management regarding a February 10, 2016, meeting with representatives of OneChicago, LLC
Feb. 3, 2016 Memorandum from the Division of Investment Management regarding a January 28, 2016, meeting with representatives of PIMCO

 

http://www.sec.gov/comments/s7-24-15/s72415.shtml

Modified: 06/21/2018