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(Click here for meetings with SEC officials)
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Comments have been received from individuals and entities using the following Letter Type
A: 2
B: 85 (S7-04-22 form letter A; S7-04-23 form letter D; S7-05-23 form letter B; 4-811 form letter A)
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| May 3, 2024 | National Association of Private Fund Managers, Alternative Investment Management Association, American Investment Council, Loan Syndications and Trading Association, Managed Funds Association, and National Venture Capital Association |
| Nov. 22, 2023 | Investment Company Institute; ICI Southwest |
| Oct. 13, 2023 | Gail C. Bernstein, General Counsel, and William A.
Nelson, Associate General Counsel, Investment Adviser Association |
| Aug. 17, 2023 | Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute |
| Aug. 8, 2023 | Rebekah Goshorn Jurata, General Counsel, American Investment Council |
| Jul. 24, 2023 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Jun. 17, 2023 | Gail C. Bernstein, General Counsel, and Sanjay Lamba, Associate General Counsel, Investment Adviser Association |
| May 8, 2023 | Michael Koffler, Eversheds Sutherland (US) LLP |
| Apr. 20, 2023 | Gail C. Bernstein, General Counsel, and Dianne M. Descoteaux, Associate General Counsel, Investment Adviser Association |
| Feb. 27, 2023 | Alreisbrah, Enagic Affiliate |
| Feb. 24, 2023 | Ian Asvakovith, Piedmont Fund Services, Inc. |
| Jan. 30, 2023 | Josey Moore, Retail Finance Director |
| Jan. 23, 2023 | Amanda Hindlian, President, ICE Fixed Income and Data Services |
| Dec. 27, 2022 | Aaron Morris |
| Dec. 27, 2022 | Patrick T. Campbell, Co-Chair, Compliance Committee, and Adam B. Felsenthal, Co-Chair, Compliance Committee, New York City Bar Committee on Compliance |
| Dec. 27, 2022 | Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP |
| Dec. 27, 2022 | Knut A Rostad, President, Institute for the Fiduciary Standard |
| Dec. 27, 2022 | Dirk Peterson, McIntyre & Lemon, PLLC |
| Dec. 27, 2022 | Denyette DePierro, US Financial Services Lead,
AWS Public Policy, Amazon Web Services |
| Dec. 27, 2022 | Craig Pfeiffer, President and CEO, Money Management Institute |
| Dec. 27, 2022 | Aaron Morris, Partner, Morris Kandinov |
| Dec. 27, 2022 | Kathryn Fulton, Head of the U.S. Public Policy Group, BlackRock, Inc. |
| Dec. 27, 2022 | Thomas T. Kim, Managing Director, Independent Directors Council |
| Dec. 27, 2022 | Brian Daly, Akin Gump Strauss Hauer & Feld LLP |
| Dec. 27, 2022 | Troy Peters, General Counsel, Lincoln International LLC |
| Dec. 27, 2022 | Kroll, LLC |
| Dec. 27, 2022 | Ted Angus EVP, General Counsel, AssetMark Financial Holdings, Inc. |
| Dec. 27, 2022 | Seth A. Miller, President, Advocacy and Administration, Cambridge Investment Research Advisors, Inc. |
| Dec. 27, 2022 | Sean Burke, Corporate Counsel, Flexible Plan Investments, Ltd. |
| Dec. 27, 2022 | FundGuard |
| Dec. 27, 2022 | Scott Pintoff, General Counsel, MarketAxess
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| Dec. 27, 2022 | John Gebauer, Chief Regulatory Officer, COMPLY |
| Dec. 27, 2022 | Houlihan Lokey, Inc. |
| Dec. 27, 2022 | Amber Allen, General Counsel & Executive Vice President of Fairview, LLC, President of Fairview Cyber, LLC, and Ellen Harvin, CEO of Fairview Investment Services, LLC |
| Dec. 27, 2022 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division |
| Dec. 27, 2022 | Schulte Roth & Zabel LLP |
| Dec. 27, 2022 | John F. Phinney, Jr., CEO, Convergence Inc. |
| Dec. 27, 2022 | Jason E. Brown, and Joel Wattenbarger, Ropes Gray LLP |
| Dec. 27, 2022 | James Lutes, Retail Investor |
| Dec. 27, 2022 | Phoebe Papageorgiou, Vice President, Trust Policy, American Bankers Association |
| Dec. 27, 2022 | Chris Iacovella, CEO, American Securities Association |
| Dec. 27, 2022 | Peter J. Germain, Chief Legal Officer, Federated Hermes, Inc. |
| Dec. 27, 2022 | Spencer Brady |
| Dec. 27, 2022 | Sean Murphy and George S. Canellos, Milbank LLP |
| Dec. 27, 2022 | Calvin Satterfield |
| Dec. 27, 2022 | Angelo Evangelou, Chief Policy Officer, Cboe Global Markets, Inc. |
| Dec. 27, 2022 | Marcus Kvarsell |
| Dec. 27, 2022 | Lukas Henriksson |
| Dec. 27, 2022 | Grant Duncan |
| Dec. 27, 2022 | Nathan Lizotte |
| Dec. 26, 2022 | Robert Reilly, Director of Client Services, CSC Global Financial Markets |
| Dec. 26, 2022 | Dana Mcwatters |
| Dec. 26, 2022 | Deok Park |
| Dec. 26, 2022 | Keith Paul Bishop, Former California Commissioner of Corporations |
| Dec. 26, 2022 | Jerry Agloro, Cable construction |
| Dec. 24, 2022 | Dylan H. Bruce, Financial Services Counsel, Consumer Federation of America |
| Dec. 23, 2022 | Andrew Moyad, CEO, Shared Assessments LLC |
| Dec. 23, 2022 | Rick Redding, Chief Executive Officer, Index Industry Association |
| Dec. 23, 2022 | Alison Baur, Deputy General Counsel, Franklin Resources, Inc. |
| Dec. 23, 2022 | Neil Acres, Managing Director and Global Head of Government and Regulatory Affairs, MSCI Inc. |
| Dec. 23, 2022 | Joseph J. Barry, Global Head of Regulatory, Industry and Government Affairs, State Street Corporation, and Sean O’Malley, General Counsel, State Street Global Advisors |
| Dec. 23, 2022 | Melissa MacGregor, Managing Director & Associate General Counsel, and Kevin Ehrlich, Managing Director, SIFMA and SIFMA Asset Management Group |
| Dec. 23, 2022 | Gail C. Bernstein, General Counsel, and Dianne M. Descoteaux, Associate General Counsel, Investment Adviser Association |
| Dec. 23, 2022 | Aron Szapiro, Head of Retirement Studies and Public Policy, Morningstar, Inc. |
| Dec. 23, 2022 | Susan M. Olson, General Counsel, Investment Company Institute |
| Dec. 23, 2022 | Michael Rasmussen, Founder, United Atlantic Legal Services |
| Dec. 22, 2022 | Gerard O’Reilly, Co-CEO and Chief Investment Officer, Dimensional Fund Advisors LP |
| Dec. 22, 2022 | Stephan Wolf, CEO, GLEIF |
| Dec. 22, 2022 | Rebekah Goshorn Jurata, General Counsel, American Investment Council |
| Dec. 22, 2022 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Dec. 22, 2022 | Christopher McLoughlin, General Counsel, S&P Global Market Intelligence |
| Dec. 21, 2022 | Hugh Berkson, President, Public Investors Advocate Bar Association |
| Dec. 21, 2022 | Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Dec. 21, 2022 | Lisa Crossley, National Society of Compliance Professionals |
| Dec. 20, 2022 | Elliot Ganz, Head of Advocacy, Co-Head Public Policy, Loan Syndications and Trading Association |
| Dec. 20, 2022 | Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association |
| Dec. 19, 2022 | Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Dec. 18, 2022 | Adrian Day, Investment Advisor |
| Dec. 16, 2022 | Scott P. Gill, CEO, Synergy RIA Compliance Solutions |
| Dec. 2, 2022 | Lisa Crossley, Executive Director, National Society of Compliance Professionals |
| Nov. 23, 2022 | Concerned Compliance |
| Nov. 16, 2022 | Elliot Ganz, General Counsel, Co-Head Public Policy,
Loan Syndications and Trading Association et al. |
| Nov. 5, 2022 | Douglas C. Standerfer, Cornell Law School Graduate Student |
| Nov. 5, 2022 | Jonathan Rogers, Principal of a Registered Investment Adviser |
| Nov. 4, 2022 | U.S. Senator Thom Tillis |
| Nov. 2, 2022 | Anonymous |
| Nov. 1, 2022 | Justin Struble, CFP, Retirement Planner at BSG Advisers |
| Oct. 30, 2022 | Alejandro Rangel |
| Oct. 30, 2022 | Kathy Barsky |
| Oct. 29, 2022 | Ben Passlow |
| Oct. 29, 2022 | Jack Pieper |
| Oct. 29, 2022 | Josh Sweetland |
| Oct. 29, 2022 | Brian |
| Oct. 28, 2022 | Jack Pieper |
| Oct. 28, 2022 | MD |
| Oct. 28, 2022 | Anonymous |
| Oct. 28, 2022 | Generation Code 202210041250 |
| Oct. 27, 2022 | Ivan Manuel Illan, Chief Investment Officer, Aligne Wealth Advisors Investment Managemen |
| Oct. 27, 2022 | Anonymous |
| Oct. 27, 2022 | James Hartsock, Registered Investment Advisor |
| Oct. 27, 2022 | Daniel H. Kolber, CEO, Intellivest Securities, Inc. |
| Oct. 27, 2022 | Scott Pollan, Professional Trader |
| Oct. 26, 2022 | Laird Hepburn, CCO, Business-owner Strategies Group, LLC |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Apr. 23, 2024 | Memorandum from the Division of Investment Management regarding an April 23, 2024 meeting with Managed Funds Association |
| Feb. 23, 2024 | Memorandum from the Office of the Chair regarding a February 22, 2024 meeting with MFA |
| Dec. 1, 2023 | Memorandum from the Office of the Chair regarding a December 1, 2023 meeting with representatives of the Investment Advisers Association (IAA) |
| Nov. 15, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a November 3, 2023 meeting with representatives of AWS |
| Nov. 6, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a November 6, 2023 meeting with Investment Adviser Association |
| Oct. 27, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 27, 2023 meeting with representatives of Managed Funds Association |
| Aug. 22, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 1, 2023 meeting with representatives of Investment Adviser Association |
| Aug. 7, 2023 | Memorandum from the Office of the Investor Advocate regarding an August 3, 2023 virtual meeting with representatives of the Managed Funds Association |
| Aug. 7, 2023 | Memorandum from the Office of Public Engagement regarding a July 24, 2023 virtual meeting with National Association of Insurance Commissioners |
| Jul. 10, 2023 | Memorandum from the Division of Investment Management regarding a January 12, 2023, virtual meeting with representatives of the Investment Advisers Association (IAA) and Certain Investment Advisers |
| Jul. 10, 2023 | Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of PIMCO |
| Jun. 12, 2023 | Memorandum from the Office of the Chair regarding a June 12, 2023 meeting with representatives of Investment Adviser Association |
| Jun. 9, 2023 | Memorandum from the Office of the Chair regarding a June 9, 2023 meeting with representatives of the Investment Adviser Association |
| Jun. 6, 2023 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 6, 2023 meeting with Investment Adviser Association's Board of Governors |
| May 26, 2023 | Memorandum from the Division of Economic and Risk Analysis regarding a May 17, 2023 meeting with the Managed Funds Association |
| May 18, 2023 | Memorandum from the Office of Public Engagement regarding a May 12, 2023 meeting with the Managed Funds Association |
| Apr. 18, 2023 | Memorandum from the Division of Investment Management regarding an April 18, 2023 meeting with representatives of the Managed Funds Association |
| Apr. 5, 2023 | Memorandum from the Office of Commissioner Caroline Crenshaw
regarding an April 5, 2023
meeting with representatives of the Index Industry Association |
| Mar. 24, 2023 | Memorandum from the Division of Investment Management regarding a March 22, 2023 meeting with representatives of SIFMA AMG |
| Mar. 14, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 14, 2023 meeting with members of the ICI Executive Committee and ICI staff representatives |
| Mar. 8, 2023 | Memorandum from the Division of Investment Management regarding a March 7, 2023 meeting with representatives of Morningstar, Inc. |
| Mar. 1, 2023 | Memorandum from the Division of Investment Management regarding a February 28, 2023 meeting with representatives of SIFMA AMG |
| Feb. 15, 2023 | Memorandum from the Division of Investment Management regarding a February 13, 2023 meeting with representatives of Morningstar, Inc. |
| Feb. 8, 2023 | Memorandum from the Office of the Chair regarding a February 8, 2023 meeting with representatives of the Index Industry Association |
| Jan. 18, 2023 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 18, 2023 meeting with representatives of the Institute for the Fiduciary Standard |
| Jan. 12, 2023 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a January 11, 2023 meeting with representatives of the Investment Advisers Association |
| Dec. 19, 2022 | Memorandum from the Office of the Chair regarding a December 16, 2022 meeting with representatives of the Association of African American Financial Advisors |
| Dec. 16, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 16, 2022 meeting representatives of the Investment Advisers Association |
| Dec. 13, 2022 | Memorandum from the Division of Investment Management regarding a December 12, 2022 meeting with representatives of the Alternative Investment Management Association |
| Dec. 2, 2022 | Memorandum from the Division of Investment Management regarding a December 2, 2022 meeting with representatives from Goldman Sachs Asset Management |
| Nov. 15, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 3, 2022 meeting with representatives of the Investment Adviser Association |
| Nov. 14, 2022 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2022 meeting with representatives of Garcia Hamilton |
| Nov. 4, 2022 | Memorandum from the Division of Investment Management regarding a November 2, 2022 meeting with representatives of the Index Industry Association |
