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(Click here for meetings with SEC officials)
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| Aug. 21, 2020 | Andrew Vollmer, Mercatus Center at George Mason University |
| Jul. 20, 2020 | Jonathan Epstein, Executive Director, Defined Contribution Alternatives Association |
| Jul. 19, 2020 | Kelly Wilson |
| Jul. 19, 2020 | Gary M. Freedman |
| Jul. 15, 2020 | Charles vK. Carlson
President and Chief Investment Officer, Corbyn Investment Management, Inc., Michael J Fusting, CFA, Co-Chief Investment Officer, Corbyn Investment Management, Inc. and Michael J. Pulcinella, Trader & Investment Analyst, Corbyn Investment Management, Inc. |
| Jul. 10, 2020 | Anthony Chereso, President & CEO, Institute for Portfolio Alternatives |
| Jun. 30, 2020 | Bhavin Shah |
| Jun. 16, 2020 | Carlo Passeri, Director of Capital Markets and Financial Services, Biotechnology Innovation Organization |
| May 27, 2020 | Linda Hyde, American Association of Private Lenders |
| May 26, 2020 | Andy Green, Managing Director of Economic Policy, Center for American Progress, et al |
| May 22, 2020 | Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, American Bar Association, Business Law Section |
| May 21, 2020 | Kieran Byrn, CPA, CFA, CFP® |
| May 5, 2020 | Ari M. Rubenstein, GTS |
| May. 4, 2020 | James C. Allen, CFA, Head, Capital Markets Policy, CFA Institute |
| May 1, 2020 | Brandon Andrews |
| May 1, 2020 | David R. Burton,
Senior Fellow in Economic Policy, The Heritage Foundation |
| Apr. 29, 2020 | Robert R. Champion |
| Apr. 24, 2020 | Stuart Kuzik |
| Apr. 22, 2020 | Kamal Jafarnia, General Counsel, Artivest Holdings, Inc. |
| Apr. 15, 2020 | Ben Lawrence |
| Apr. 15, 2020 | Thomas Blank, General Counsel to The Association of Trust Organizations, Inc. |
| Mar. 21, 2020 | Hiram Villalobos |
| Mar. 18, 2020 | John A. Zecca, Executive Vice President, Nasdaq, Inc. |
| Mar. 18, 2020 | Gail C. Bernstein, IAA General Counsel, Investment Advisor Association |
| Mar. 16, 2020 | J. French Hill, Representative, Member of Congress, et al. |
| Mar. 16, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Mar. 16, 2020 | Gabriella Kusz, Senior Advisor, HLWG |
| Mar. 16, 2020 | Bret C. Hester, TIAA |
| Mar. 16, 2020 | Charles A. Sweet, Partner, Morgan, Lewis & Bockius LLP |
| Mar. 16, 2020 | Alvin Kressler, Executive Director and CEO, CMT Association |
| Mar. 16, 2020 | Chris Netram, Vice President, Tax & Domestic Economic Policy, The National Association of Manufacturers |
| Mar. 16, 2020 | Cynthia Lo Bessette, Chief Legal Officer, Fidelity Investments |
| Mar. 16, 2020 | Jason Mulvihill, Chief Operating Officer & General Counsel, American Investment Council |
| Mar. 16, 2020 | David M. Basel |
| Mar. 16, 2020 | Lawrence Calcano, CEO, iCapital Network |
| Mar. 16, 2020 | Lev Bagramian, Senior Securities Policy Advisor, Better Markets |
| Mar. 16, 2020 | Maxwell R. Rich, Deputy General Counsel & Corporate Secretary, Republic |
| Mar. 16, 2020 | Brady Foster, Legal Intern; Theodore Ryan, Legal Intern; Michele Urbinati,
Legal Intern; and Christine Lazaro, Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education, St. John's University School of Law |
| Mar. 16, 2020 | Gregory S. Fryer, Esq., Verrill Dana, LLP |
| Mar. 16, 2020 | Mary F. Kane, CFA, Partner and Portfolio Manager and Lewis Collins, Partner and General Counsel, GW&K Investment Management, LLC |
| Mar. 16, 2020 | Brett Palmer, President, Small Business Investor Alliance |
| Mar. 16, 2020 | Henry Ward, CEO and Anthony Cimino, Head of Policy, Carta, Inc. |
| Mar. 16, 2020 | Marty Margolis, Managing Director, PFM Asset Management LLC |
| Mar. 16, 2020 | Clifford Kirsch, ARS, Coalition of Collective Investment Trusts |
| Mar. 16, 2020 | Christine Lazaro, President, PIABA and Samuel Edwards, Executive Vice-President/President-Elect, PIABA |
| Mar. 16, 2020 | Xavier Becerra, Attorney General, State of California, et al. |
| Mar. 16, 2020 | Kevin R. Keller, CAE, Chief Executive Officer, CFP Board; Lauren Schadle, CAE, Executive Director/CEO, FPA; and Geoffrey Brown, CAE, Chief Executive Officer, NAPFA |
| Mar. 16, 2020 | Christopher Gerold, Chief, New Jersey Bureau of Securities, NASAA President |
| Mar. 16, 2020 | Erik Rust, Director, Center for Capital Markets Competitiveness |
| Mar. 16, 2020 | Penny Somer-Greif, Chair and Gregory T. Lawrence, Vice-Chair, Maryland State Bar Association |
| Mar. 16, 2020 | Dante Desiderio, Executive Director, NAFOA |
| Mar. 16, 2020 | Aron Szapiro, Head of Policy Research, Morningstar, Inc. |
| Mar. 16, 2020 | Anthony Chereso, President & CEO, Institute for Portfolio Alternatives |
| Mar. 16, 2020 | Phoebe Papageorgiou, Vice President & Counsel, Trust Policy, American Bankers Association |
| Mar. 15, 2020 | Tyler Yagman and Nicholas Bruno |
| Mar. 14, 2020 | Steve Nelson, Chief Executive Officer, Institutional Limited Partners Association ILPA) |
| Mar. 13, 2020 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic
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; Cephas Chen, Cornell Law School, Class of 2020; Jay Lee, Cornell Law School, Class of 2021 |
| Mar. 13, 2020 | Mark D. Epley, Executive Vice-President & Managing Director, General Counsel, Managed Funds Association and Jiøí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Mar. 13, 2020 | Jiaxin Na, Hofstra Law School Class of 2021 |
| Mar. 13, 2020 | Sean R. Walters, CAE, Chief Executive Officer Investments and Wealth Institute |
| Mar. 13, 2020 | Michael Gargiulo |
| Mar. 13, 2020 | Matthew J. Trudeau, Hofstra Law Class of 2020 |
| Mar. 13, 2020 | Riley T. MaudHofstra Law School Class of 2021 |
| Mar. 13, 2020 | Joseph Bonvouloir, ALTI LLC |
| Mar. 13, 2020 | Sarah H. Moller, Hofstra University, Maurice A. Dean School of Law, Class of 2020 |
| Mar. 12, 2020 | Dorothy Donohue, Deputy General Counsel, Investment Company Institute |
| Mar. 11, 2020 | William Nelson, Chief Compliance Officer, Mercer Advisors |
| Mar. 11, 2020 | Aseel M. Rabie, Managing Director and Associate General Counsel, SIFMA |
| Mar. 11, 2020 | James E. Bowlus, Administrative Vice President,
Assistant General Counsel, Wilmington Trust, National Association |
| Mar. 10, 2020 | Shaun Jolley |
| Mar. 9, 2020 | Daniel D. Dolan, Jr., Managing Member, Dolan McEniry Capital Management, LLC and Roger S. McEniry, Managing Member, Dolan McEniry Capital Management, LLC |
| Mar. 9, 2020 | Barbara Roper, Director of Investor Protection, and Micah Hauptman, Financial Services Counsel; Consumer Federation of America |
| Mar. 9, 2020 | Kenneth J. Berman, Debevoise Plimpton LLP, on behalf of Private Investor Coalition |
| Mar. 9, 2020 | Kevin S. Kim, Partner, Corporate and Securities, and Olivia Durnell,Associate Attorney, Corporate and Securities; Geraci LLP |
| Mar. 9, 2020 | Patrick Gouhin, Chief Executive Officer, and Linda Smith, Chair Emeritus and Public Policy Chair; Angel Capital Association |
| Mar. 8, 2020 | Mark Pond, Business Research Librarian, Spokane Public Library |
| Mar. 8, 2020 | Adam Moehn, CFA |
| Mar. 6, 2020 | Graham Gintz |
| Mar. 4, 2020 | Kevin Gebert, Investment Analyst, Holualoa Companies |
| Mar. 3, 2020 | Christine Sage, Chairman, Southern UTE Indian Tribal Council |
| Mar. 3, 2020 | Melinda Schramm, Founder and Chairman, National Introducing Brokers Association |
| Mar. 3, 2020 | James J. Angel, Associate Professor, McDonough School of Business, Georgetown University |
| Mar. 1, 2020 | Brian Belley, Founder and Managing Member, Crowdwise, LLC |
| Feb. 27, 2020 | Brian Egan, Policy Director, National Association of State Treasurers (NAST), et al. |
| Feb. 26, 2020 | David C. Damschen, Utah State Treasurer |
| Feb. 26, 2020 | Corey Wangler, Sunpointe Investments |
| Feb. 23, 2020 | Robert Hall |
| Feb. 23, 2020 | Cody L. West |
| Feb. 21, 2020 | Raymond Wu |
| Feb. 21, 2020 | Howard Lichtman |
| Feb. 20, 2020 | Brian Schreiner, Senior VP, Private Wealth Group, CMG Capital Management Group, Inc. |
| Feb. 19, 2020 | Kevin King, CFA |
| Feb. 19, 2020 | Daniel Hoeller, Real Estate Broker and Investor |
| Feb. 18, 2020 | Tyler Page |
| Feb. 18, 2020 | Billy Stern, Managing Partner, Stern Brothers Asset Management, LLC |
| Feb. 17, 2020 | Kenton V. McCarthy, CEO, Vulcan Consultants, L.L.C. and Adjunct Professor of Finance at Arizona State University |
Feb. 15, 2020 | Stephen J. Inglis, CFA, CEO, InPortal |
| Feb. 14, 2020 | Keith M. Williams, President, California Association of County Treasurers and Tax Collectors |
| Feb. 14, 2020 | Joe Horowitz, Managing General Partner, Icon Ventures |
| Feb. 14, 2020 | David F. Freeman, Jr., Arnold Porter Kaye Scholer LLP |
| Feb. 13, 2020 | Fernando Sanchez |
| Feb. 13, 2020 | William O'Malley, CFA, Income Research and Management |
| Feb. 13, 2020 | Isaac Pino |
| Feb. 12, 2020 | Thomas J. Metz. J.D., M.B.A., Chairman, CMTA Legislative Committee |
| Feb. 12, 2020 | Joseph Carrabes, Amundi Pioneer Institutional Asset Management, Inc. |
| Feb. 11, 2020 | Gerald M. Miller |
| Feb. 11, 2020 | James Evans |
| Feb. 10, 2020 | Jared Smith |
| Feb. 7, 2020 | Mark Headrick, Financial Advisor, Dempsey Lord Smith, LLC |
| Feb. 7, 2020 | Ashley Wunderlich, CFA |
| Feb. 7, 2020 | Kurt Wunderlich, Client Development Advisor, Buckingham Strategic Wealth |
| Feb. 7, 2020 | Jeffrey P Jacobson, Attorney, Securities Litigator |
| Feb. 7, 2020 | Matthew L. Clark, State Investment Officer, South Dakota Investment Council |
| Feb. 6, 2020 | Scott Laughlin, Investment Product Analyst, CrowdStreet, Inc. |
| Feb. 5, 2020 | Neal Reasland |
| Feb. 4, 2020 | Matthew Youngs |
| Feb. 3, 2020 | Ted Earl |
| Jan. 31, 2020 | Hal S. Scott, President; John L. Thornton, Co-Chair; R. Glenn Hubbard, Co-Chair, Committee on Capital Markets Regulation |
| Jan. 31, 2020 | G. Philip Rutledge, Esquire, Partner, Bybel Rutledge LLP |
| Jan. 31, 2020 | Dara S. Albright, President, Dara Albright Media |
| Jan. 29, 2020 | George Humm |
| Jan. 28, 2020 | Joseph Caruso |
| Jan. 26, 2020 | Jason Weisz, Spencer Winston Securities |
| Jan. 24, 2020 | Jeremy Frederick |
| Jan. 23, 2020 | Kevin King, CFA |
| Jan. 23, 2020 | Joshua A. Stockwell, University of Massachusetts |
| Jan. 23, 2020 | Karl T. Muth, JD, MBA, MPhil, PhD, Lecturer, Northwestern University |
| Jan. 23, 2020 | Marc Steinberg, Professor of Law, Southern Methodist University |
| Jan. 20, 2020 | Nathaniel L. Hoopes, Executive Director, Marketplace Lending Association |
| Jan. 17, 2020 | Jeff LaBerge, CEO and co-founder, Viaspace California. |
| Jan. 15, 2020 | Robert R. Champion, President, MarketPlus Capital Company, LLC |
| Jan. 15, 2020 | Chris Ludwig, Ludwig Klewer & Rudner PLLC |
| Jan. 15, 2020 | Gerald A. Monroe, Calfee, Halter & Griswold LLP |
| Jan. 14, 2020 | Alexxander Medeiros |
| Jan. 13, 2020 | Blake W. Delaplane, Editorial Board, Virginia Law Review |
| Jan. 13, 2020 | Alon Y. Kapen, Partner, Partner, Farrell Fritz, P.C. |
| Jan. 12, 2020 | Evan McCracken |
| Jan. 11, 2020 | Philip Todd Cochetti |
| Jan. 10, 2020 | Josh Kelner |
| Jan. 10, 2020 | Rudolf Langenbach |
| Jan. 10, 2020 | Da Kui |
| Jan. 10, 2020 | Daniel Dosch, Esquire |
| Jan. 9, 2020 | James Muir |
| Jan. 9, 2020 | Alex Naegele, Canlaw Corporation |
| Jan. 9, 2020 | Alex Naegele, Canlaw Corporation |
| Jan. 9, 2020 | Cortlandt Chalfant, Managing Member, Nexus Private Capital |
| Jan. 8, 2020 | Steven P. Cariati |
| Jan. 8, 2020 | Wiebke Zuch |
| Jan. 7, 2020 | Alan Donenfeld, Founder and CEO, CITYVEST |
| Jan. 6, 2020 | Greg Hansen |
| Jan. 6, 2020 | Michael Hammer |
| Jan. 6, 2020 | Alan Donenfeld, Founder and CEO, CITYVEST |
| Jan. 5, 2020 | Barb Elwell |
| Jan. 3, 2020 | William D. Sawyer |
| Jan. 2, 2020 | Andrew Rea, Project Manager, Ikove Capital |
| Jan. 2, 2020 | Rick Courtney, President, Brass Multifamily |
| Jan. 2, 2020 | Tony Sparks |
| Dec. 31, 2019 | Stephen Clossick |
| Dec. 30, 2019 | Tim Parker |
| Dec. 30, 2019 | Sam Moore |
| Dec. 30, 2019 | Ruthlynn Edwards Black, CPA, CFE, Spain Price Reader & Thompson, P.C |
| Dec. 30, 2019 | Eric O. January, CEO, Conduit Investment Advisors, LLC |
| Dec. 29, 2019 | Kartheek Pulavarthi |
| Dec. 29, 2019 | Al Hemmingsen, Chief Investment Officer, Parkland Management Company, L.L.C. |
| Dec. 29, 2019 | Seth Haymes |
| Dec. 26, 2019 | Matthew M. Peterson |
| Dec. 23, 2019 | Samuel |
| Dec. 23, 2019 | Ryan L. Doyal, CPA |
| Dec. 23, 2019 | Ben Thompson |
| Dec. 22, 2019 | Luke Denlinger |
| Dec. 22, 2019 | Trevon Crump |
| Dec. 21, 2019 | Walter Pisary |
| Dec. 21, 2019 | Leonard A. Grover, Founder/CEO, FinToolbox (Screener.com) |
| Dec. 21, 2019 | Gordon Hodge |
| Dec. 21, 2019 | Guenadi Jilevski |
| Dec. 20, 2019 | Omar Plummer |
| Dec. 20, 2019 | Christy Logan |
| Dec. 20, 2019 | Davis Treybig |
| Dec. 20, 2019 | Marc Steinberg, Radford Professor of Law, Dedman School of Law, Southern Methodist University |
| Dec. 20, 2019 | Amrik Mann |
| Dec. 20, 2019 | Michael Penn Smith |
| Dec. 20, 2019 | Mark R. Maisonneuve |
| Dec. 20, 2019 | Joseph Peter |
| Dec. 20, 2019 | Patrick Poole |
| Dec. 19, 2019 | Thomas Englis, Associate, Clearvision Ventures |
| Dec. 19, 2019 | Karen Salay |
| Dec. 19, 2019 | Mike L. |
| Dec. 19, 2019 | Michael Bernstein, Sr. Investment Analyst, Gaustad Stein |
| Dec. 19, 2019 | Timothy E. Messenger |
| Dec. 19, 2019 | Bruce A. Wallick |
| Dec. 19, 2019 | Timo Muro |
| Dec. 19, 2019 | Bryan Cane |
| Dec. 19, 2019 | Dar'shun Kendrick |
| Dec. 19, 2019 | Michael Seng |
| Dec. 19, 2019 | Easan Katir, Managing Member, Cube Point LLC |
| Dec. 19, 2019 | Paul Brodsky |
| Dec. 19, 2019 | Max Harker, Adjunct Professor, BYU-I |
| Dec. 19, 2019 | Hunter Todd |
| Dec. 19, 2019 | Stuart |
| Dec. 18, 2019 | Chris Lakumb |
| Dec. 18, 2019 | Malcolm Douglas |
| Dec. 18, 2019 | Seyed Arab |
| Dec. 18, 2019 | Sean Mortensen |
| Dec. 18, 2019 | Daniel Morgan |
| Dec. 18, 2019 | Einar Vollset, General Partner, Tinyseed.com |
| Dec. 18, 2019 | Scott Smiley |
| Dec. 18, 2019 | Rafay H. Farooqui, Chief Executive Officer, SAF Financial Securities LLC |
| Dec. 18, 2019 | Ryan Carpel |
| Dec. 18, 2019 | Robert Miller |
| Dec. 18, 2019 | Ben Peterman, CAIA® (Chartered Alternative Investment Analyst) |
| Dec. 18, 2019 | Matt Langford, Senior Manager of Financial Reporting, InvenTrust Properties Corp. |
| Nov. 20, 2019 | Tron Black |
| Oct. 23, 2019 | Senators John Thune, John Barasso, M. Michael Rounds, and Michael B. Enzi, U.S. Senate |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Aug. 6, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an August 6, 2020, discussion with representatives of the Angel Capital Association |
| Jul. 8, 2020 | Memorandum from the Office of Chairman Clayton regarding a July 8, 2020, telephone conference with representatives of the CFA Institute |
| Jul. 6, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a June 30, 2020, discussion with representatives of the CFA Institute |
| Jun. 30, 2020 | Memorandum from the Division of Corporation Finance regarding a June 30, 2020, telephone conference with representatives of the CFA Institute |
| Jun. 17, 2020 | Memorandum from the Office of Chairman Clayton regarding a June 17, 2020, telephone conference with representatives of the Institute for Portfolio Alternatives |
| Mar. 30, 2020 | Memorandum from the Office of Chairman Clayton regarding a March 26, 2020, meeting with representatives of 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 |
| Mar. 26, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 26, 2020 meeting with representativs of MFA |
| Jan. 21, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 21, 2020, meeting with representatives of Private Investor Coalition |
| Jan. 21, 2020 | Memorandum from the Division of Corporation Finance and the Division of Investment Management regarding a January 21, 2020, meeting with representatives of Private Investor Coalition |
| Jan. 15, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 15, 2020 meeting with representatives of the Bond Dealers of America |
| Jan. 14, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 9, 2020, meeting with representatives of SeedInvest and Circle |
