Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 18, 2024, meeting and videoconference with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a January 25, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 10, 2023 meeting with representatives of Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 20, 2023 meeting with representatives of Edward Jones
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 25, 2023 meeting with representatives of Dodge & Cox
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a June 1, 2023 meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a June 12, 2023 meeting with representatives of Nationwide
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 1, 2023 meeting with representatives of the American Retirement Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 15, 2023 meeting with representatives of PIMCO
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 2, 2023 meeting with representatives of Ropes & Gray LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 8, 2023 meeting with JP Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 8, 2023 meeting with the Independent Directors Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an August 27, 2024 meeting with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 27, 2024 meeting with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 1, 2024 meeting with representatives of the Investment Company Institute ("ICI")
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 1, 2024 meeting with representatives of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 11, 2024 meeting with representatives of T. Rowe Price
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 10, 2024 meeting with LSTA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 7, 2024 meeting with the Loan Syndications & Trading Association ("LSTA")
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 29, 2024 meeting with representatives of the Loan Syndications & Trading Association ("LSTA")
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an April 26, 2024 meeting with representatives of Nationwide Mutual Insurance Company
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a May 23, 2024 meeting with State Street Global Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 23, 2024 meeting with representatives of the State Street Global Advisors (SSGA)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 22, 2024 meeting with representatives of State Street Global Advisors (SSGA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 14, 2024 meeting with representatives of LSTA
Public Comment Jane Heinrichs, Head of US Regulatory Affairs, Federated Hermes, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 22, 2024 meeting with Vanguard
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 17, 2024 meeting with SIFMA AMG
Public Comment Paul Ellenbogen, Principal, Circumreferential, LLC; Avi Nachmany, Independent Consultant, (Retired Director of Research, Strategic Insight)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 18, 2024 meeting with representatives of Ropes and Gray

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-26-22
Release Number
33-11130
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