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

[Release Nos. 33-11130; File No. S7-26-22]

Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type
A: 107
B: 23
C: 2,868
D: 5
E: 1241
Apr. 22, 2024 Jane Heinrichs, Head of US Regulatory Affairs, Federated Hermes, Inc.
Mar. 20, 2024 Paul Ellenbogen, Principal, Circumreferential, LLC and Avi Nachmany, Independent Consultant
Feb. 13, 2024 Ted Basta, Executive Vice President - Analytics & Strategy and Tess Virmani, Deputy General Counsel & Executive Vice President - Head of Policy, LSTA
Jan. 10, 2024 Olivier Davanne, Risk Premium Invest
Dec. 22, 2023 Investment Company Institute and ICI Southwest
Dec. 8, 2023 David Flattum, Managing Director and Global General Counsel, PIMCO, and Heidi Hardin, Executive Vice President and General Counsel, MFS
Nov. 30, 2023 Ken Bentsen, Jr., President and CEO, SIFMA
Nov. 21, 2023 Investment Company Institute; ICI Southwest
Oct. 3, 2023 Tess Virmani, Deputy General Counsel, Co-Head of Policy, LSTA
Sep. 19, 2023 Ken Kivenko
Sep. 5, 2023 U.S. Representatives Ann Wagner, Chairman, Subcommittee on Capital Markets, House Committee on Financial Services, Brad Sherman, Ranking Member, Subcommittee on Capital Markets, House Committee on Financial Services, Gregory Meeks, Blaine Luetkemeyer, Bill Huizenga, David Scott, Andy Barr, Emanuel Cleaver, Frank D. Lucas, Bill Foster, Roger Williams, Joyce Beatty, Bryan Steil, Juan Vargas, Dan Meuser, Josh Gottheimer, Andrew R. Garbarino, Vicente Gonzalez, Young Kim, Steven Horsford, Mike Flood, Wiley Nicke, Michael V. Lawler, Brittany Pettersen, Zach Nunn, Linda T. Sanchez, Erin Houchin, Jimmy Panetta, Gregory F. Murphy, M.D., Joseph Morelle, Claudia Tenney, Brad Schneider, David Kustoff, Don Beyer, Carol D. Miller, Chris Pappas, Ron Estes, and Rob Menendez
Sep. 5, 2023 Jonathan Chiel, General Counsel, Fidelity Investments
Aug. 24, 2023 Patrick Reeder, Vice President & Deputy General Counsel, American Council of Life Insurers, and Jennifer McAdam, Associate General Counsel, Committee of Annuity Insurers
Aug. 17, 2023 Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute
Jul. 25, 2023 Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Jul. 12, 2023 Roberta R.W. Kameda, General Counsel, Dodge and Cox
Jul. 6, 2023 George C.W. Gatch, CEO, J.P. Morgan Asset Management
Jun. 28, 2023 Bill Cassidy, Ranking Member, Senate Committee on Health, Education, Labor, and Pensions, and Virginia Foxx, Chairwoman, House Committee on Education and the Workforce
Apr. 24, 2023 Jason Smith, Chairman and Richard E. Neal, Ranking Member, House Committee on Ways and Means, Ron Wyden, Chairman and Mike Crapo, Ranking Member, Senate Committee on Finance
Mar. 21, 2023 Julie Allecta, Chair, Litman Gregory Funds Trust – iMGP Funds
Mar. 20, 2023 Ronald M. Feiman, Carter Ledyard Milburn, LLP
Mar. 20, 2023 Ann Wagner, Chairman and Brad Sherman, Ranking Member, Subcommittee on Capital Markets, House Committee on Financial Servcies
Mar. 17, 2023 George J. Gorman, Independent Trustee and Chair of the Board of the Eaton Vance Funds
Mar. 14, 2023 Mary Lou H. Ivey, Chairman of the Board and Independent Trustee, World Funds Trust, Independent Trustees
Mar. 8, 2023 Ernst & Young LLP
Mar. 7, 2023 Simon Johnson, Co-Chair and Erkki Liikanen, Co-Chair, CFA Institute Systemic Risk Council
Mar. 3, 2023 Tyler Gellasch, President and CEO, Healthy Markets Association
Mar. 2, 2023 Kathryn L. Quirk, Lead Independent Trustee, Harbor Funds
Mar. 1, 2023 Roberta R.W. Kameda, General Counsel, Dodge & Cox
Mar. 1, 2023 Daniel McSkimming
Feb. 21, 2023 Beth Ann Brown, Independent Chair, Board of Trustees of the Registered Closed-end and Open-end Investment Companies Within the Invesco Funds Complex
Feb. 15, 2023 James M. Williams, Trustee and Lead Non-Interested Trustee, SEI Trusts
Feb. 15, 2023 Kenneth E. Bentsen, Jr. President and CEO, SIFMA
Feb. 15, 2023 Taylor Myers
Feb. 15, 2023 Board of Trustees of the WesMark Funds
Feb. 14, 2023 Dechert LLP
Feb. 14, 2023 Northern Trust Investments, Inc.
Feb. 14, 2023 Andrew Park, Americans for Financial Reform Education Fund
Feb. 14, 2023 John Hagarty, Chief Operating Officer, Morgan Stanley Investment Management Inc.
Feb. 14, 2023 Eric J. Pan, President and CEO, Investment Company Institute
Feb. 14, 2023 Tom D. Seip, Chair, Neuberger Berman Funds
Feb. 14, 2023 Sean O’Malley, General Counsel, State Street Global Advisors
Feb. 14, 2023 John M. Perlowski, CPA, Managing Director, and Samantha DeZur, BlackRock, Inc.
Feb. 14, 2023 T. Rowe Price
Feb. 14, 2023 J. G. Lallande AVP, Assistant General Counsel, Pacific Asset Management LLC
Feb. 14, 2023 Jon Hunt and Joseph T. Grause, Trustee and Lead Non-Interested Trustee, Advisors' Inner Circle Funds Trusts
Feb. 14, 2023 Joseph V. Amato, President and Chief Investment Officer -- Equities, Neuberger Berman Group LLC
Feb. 14, 2023 Brian H. Graff, Esq., APM Executive Director/CEO, and Allison Wielobob, General Counsel, American Retirement Association
Feb. 14, 2023 Greg Feldberg, Research Director, Yale Program on Financial Stability
Feb. 14, 2023 John F. Finn, Chairman of the Board of Trustees of the J.P. Morgan Funds
Feb. 14, 2023 James R. Seward, Chairman of the Board, RBC Funds Trust
Feb. 14, 2023 Melanie Ringold, Head of Legal Affairs, Americas, Invesco Ltd.
Feb. 14, 2023 Thomas Kim, Managing Director, Independent Directors Council
Feb. 14, 2023 Rick Wurster, President, The Charles Schwab Corporation
Feb. 14, 2023 Nelson N. Lee Senior Vice President and Senior Counsel, and Joshua R. Diggs, Counsel, Capital Research and Management Company
Feb. 14, 2023 Micah Hauptman, Director of Investor Protection, Consumer Federation of America
Feb. 14, 2023 Kathleen T. Barr, Lead Independent Trustee, William Blair Funds
Feb. 14, 2023 Douglas B. Sieg, CEO & Managing Partner, Lord, Abbett & Co. LLC
Feb. 14, 2023 James F. Perna, Chairman of the Board, Homestead Funds
Feb. 14, 2023 Alison E. Baur, Deputy General Counsel, Franklin Templeton
Feb. 14, 2023 Terence J. Toth, Chairman of the Board, Nuveen Funds
Feb. 14, 2023 Emily C. Micale, Director, Federal Regulatory Affairs, Insured Retirement Institute
Feb. 14, 2023 Heidi W. Hardin, Executive Vice President, MFS Investment Management
Feb. 14, 2023 James L.L. Tullis, Independent Chair, on behalf of Independent Trustees and Directors of the Lord Abbett Funds
Feb. 14, 2023 Stephen W. Hall, Legal Director and Securities Specialist, and Scott Farnin, Legal Counsel, Better Markets, Inc.
Feb. 14, 2023 David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Feb. 14, 2023 George C.W. Gatch, CEO, J.P. Morgan Asset Management
Feb. 14, 2023 Stradley Ronon Stevens & Young, LLP
Feb. 14, 2023 Vedder Price P.C.
Feb. 14, 2023 Andrew Owen, President, Allspring Funds Management, LLC
Feb. 14, 2023 Craig Damos, Lead Independent Board Member, Principal Funds Independent Board Members
Feb. 14, 2023 Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management
Feb. 14, 2023 Gregory Davis, Chief Investment Officer, The Vanguard Group, Inc.
Feb. 14, 2023 Ronald E. Toupin, Jr. Chair, Guggenheim Funds
Feb. 14, 2023 Michael J. Trabold, Director, Compliance Risk, Paychex, Inc.
Feb. 14, 2023 Amy J. Lee, Guggenheim Investments
Feb. 14, 2023 Patrick J. Riley, Independent Board Chair, The Independent Trustees of the State Street Funds
Feb. 14, 2023 Stuart S. Parker, President, PGIM Investments LLC
Feb. 14, 2023 Andrew G. Arnott, Global Head of Retail, Manulife Investment Management, President and CEO, John Hancock Investment Management
Feb. 14, 2023 Anna Helmke, PhD Candidate, Wharton School, University of Pennsylvania
Feb. 14, 2023 Timothy Keehan, Vice President & Senior Counsel, American Bankers Association
Feb. 14, 2023 David Giunta, President and CEO, Natixis Investment Managers - US
Feb. 14, 2023 Charles Upchurch Senior Vice President, Operations, LPL Financial LLC
Feb. 14, 2023 Meredith Coffey and Elliot Ganz, LSTA
Feb. 14, 2023 James Easton, Compliance Senior Manager - North America, Baillie Gifford Overseas Limited
Feb. 14, 2023 Cynthia Lo Bessette, Chief Legal Officer, Fidelity Investments
Feb. 14, 2023 Bret C. Hester, Executive Vice President, General Counsel, Strategy, Policy & Operations, Teachers Insurance and Annuity Association of America
Feb. 14, 2023 Thomas A. Kloet, Chairman of the Board, Northern Funds
Feb. 14, 2023 Michael J. Rongetti Managing Director, Credit Suisse Asset Management, LLC
Feb. 14, 2023 Patrick Reeder, Vice President & Deputy General Counsel, and James H. Szostek, Vice President & Deputy, Retirement Security, American Council of Life Insurers, and Stephen E. Roth, Esq. Partner, Ronald Coenen Jr., Esq. on behalf of Committee of Annuity Insurers
Feb. 14, 2023 Andrew Banducci, Senior Vice President, Retirement and Compensation Policy, The ERISA Industry Committee
Feb. 14, 2023 Gerard O’Reilly, Co-CEO and Chief Investment Officer, and Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors LP
Feb. 14, 2023 Thomas Roberts, David Levine, Kevin Walsh, and George Sepsakos, Groom Law Group
Feb. 14, 2023 Ronald C. Parker, Lead Independent Trustee of the PIMCO Funds
Feb. 14, 2023 Tim Rouse, Executive Director, SPARK Institute, Inc.
Feb. 14, 2023 Lindsey Keljo, Head,and Kevin Ehrlich, Managing Director, SIFMA Asset Management Group, SIFMA AMG
Feb. 14, 2023 Lindsey Keljo, Head,and Kevin Ehrlich, Managing Director, SIFMA Asset Management Group, SIFMA AMG
Feb. 14, 2023 Chris Payne, Vice President and Head of Government Relations, Principal Financial Group
Feb. 14, 2023 Lynn D. Dudley, Senior Vice President, Global Retirement & Compensation Policy, American Benefits Council
Feb. 14, 2023 David Scalzetti, CFA, Senior Director, Regulatory Products & Strategy, Intercontinental Exchange, Inc.
Feb. 14, 2023 Kevin O'Connor, Head of Analytics, Virtu Financial, Inc.
Feb. 14, 2023 Bryan Bashur, Americans for Tax Reform
Feb. 14, 2023 Chris Jackson, Sr. Vice President & General Counsel, Calamos Investments LLC
Feb. 14, 2023 John Belanger, Chief Operating Officer, Global X Management Company LLC
Feb. 14, 2023 Jirí Król, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association
Feb. 14, 2023 John L. Carter, President and Chief Operating Officer, Nationwide Financial Services, Inc
Feb. 14, 2023 Eric Falkeis, Independent Trustee and Chair of the Board, on behalf of The Independent Trustees of Professionally Managed Portfolios
Feb. 14, 2023 David M. Thomas and Michael E. Kenneally, Lead Independent Trustees, Fidelity Equity and High Income Funds and Fidelity Fixed Income and Asset Allocation Funds
Feb. 14, 2023 Peter J. Germann, Chief Legal Officer, Federated Hermes, Inc.
Feb. 14, 2023 Peter Callahan, Head of AllianceBernstein Investor Services
Feb. 14, 2023 William F. Truscott, President, Columbia Threadneedle Investments
Feb. 14, 2023 Pamela G. Carlton, Independent Chair of Columbia Funds
Feb. 14, 2023 Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Feb. 13, 2023 John L. Thornton, Co-Chair, Hal S. Scott, President and R. Glenn Hubbard, Co-Chair, Committee on Capital Markets Regulation
Feb. 13, 2023 Emmanuel Roman, Chief Executive Officer, PIMCO
Feb. 13, 2023 GuideStone
Feb. 13, 2023 Chris Carlson, Chairman, Ohio National Fund Inc.
Feb. 13, 2023 Garry L. Moody, Independent Chair, on behalf of the Independent Directors/Trustees of the AB Funds
Feb. 13, 2023 Robert L. Reynolds, Putnam Investments
Feb. 13, 2023 Vivian Tsai, Chair, College Savings Foundation
Feb. 13, 2023 Melanie Ringold, Head of Legal, Americas, and Scott Baskind, Head of Global Private Credit and Chief Investment Officer, Invesco Ltd.
Feb. 13, 2023 Allie Lin, Executive Vice President and General Counsel, Brighthouse Financial, Inc.
Feb. 13, 2023 Bryce Fegley, CFA, Senior Research Analyst, Saturna Capital Corp
Feb. 10, 2023 Thomas M. O'Brien, Independent Board Chair, on behalf of Independent Directors of the Prudential Insurance Funds
Feb. 10, 2023 Edmund F. Murphy, III, President & CEO, Empower
Feb. 10, 2023 Lloyd A. Wennlund, Independent Trustee and Chairman of the Board of Trustees, Datum One Series Trust
Feb. 10, 2023 William White, CEO, ReFlow Services, LLC
Feb. 9, 2023 Deloitte & Touche LLP
Feb. 9, 2023 Burton Keller, Director, Delta Data Software, Inc.
Feb. 9, 2023 Keith F. Hartstein, Independent Chair, on behalf of Independent Directors of the PGIM Retail Funds
Feb. 8, 2023 Ryan Mensing, Executive Director, Government and Regulatory Affairs, MSCI Inc.
Feb. 8, 2023 John M. Tesoro, Independent Chairman, Board of Trustees of the Bridge Builder Trust
Feb. 7, 2023 Edward C. Wood, Independent Chair of the Board, Independent Trustees of the JNL Funds
Feb. 3, 2023 Theresa Hamacher, Chair, Barry Benjamin, and Linda Davis Taylor, Independent Trustees of Morningstar Funds Trust
Feb. 2, 2023 Peter Strelow
Feb. 1, 2023 Andres Vinelli, Chief Economist, Research, Advocacy and Standards, CFA Institute and Stephen Deane, CFA, Senior Director, Capital Markets Policy, CFA Institute
Jan. 30, 2023 Josey Moore, Retail Finance Director
Jan. 28, 2023 John Neal, Virginia Breen, William Rybak, Karen Stuckey, Christopher Toub, and Lloyd Wennlund, Calamos Funds
Jan. 25, 2023 Geoffrey Black
Jan. 25, 2023 Mr. Chungus
Jan. 19, 2023 Board of Trustees for the Aquila Group of Funds
Jan. 17, 2023 Anonymous
Jan. 16, 2023 Kens Bane, Retail Investor
Jan. 13, 2023 Anonymous
Jan. 13, 2023 Anonymous
Jan. 13, 2023 Matthias Sabel
Jan. 13, 2023 Annonymous
Jan. 12, 2023 Colin Castillo
Jan. 12, 2023 Luke Copeland, Programmer
Jan. 12, 2023 Dalton Brink
Jan. 12, 2023 Curtis
Jan. 12, 2023 Scott Witte
Jan. 12, 2023 Anonymous
Jan. 12, 2023 Jiban Laskar
Jan. 12, 2023 Winston
Jan. 12, 2023 Daniel K.
Jan. 12, 2023 Daniel Song
Jan. 12, 2023 Robert Graham Brunner
Jan. 12, 2023 Keagan Donahue
Jan. 12, 2023 Patrick Pleau
Jan. 12, 2023 Anonymous
Jan. 12, 2023 Greg Linder, Founder and CEO, SolarSCADA
Jan. 12, 2023 Adam Lindsey, CEO LNK Lawn and Pest Maintenance
Jan. 12, 2023 Bell
Jan. 12, 2023 Mark Guttman
Jan. 11, 2023 Anonymous
Jan. 10, 2023 Thomas Roberts, David N. Levine, Kevin L. Walsh and George M. Sepsakos, Groom Law Group
Jan. 9, 2023 American Benefits Council, American Retirement Association, The ERISA Industry Committee, Insured Retirement Institute, Securities Industry and Financial Markets Association and The SPARK Institute
Dec. 31, 2022 Robert Howard
Dec. 31, 2022 Kenneth Brinley
Dec. 30, 2022 Generation Code 202210041250
Dec. 30, 2022 Anonymous
Dec. 27, 2022 Marcus Kvarsell
Dec. 27, 2022 Kelly Taylor
Dec. 27, 2022 Lukas Henriksson
Dec. 27, 2022 Grant Duncan
Dec. 27, 2022 Nathan Lizotte
Dec. 26, 2022 Kam Muchi, Shareholder
Dec. 26, 2022 Jerry Agloro, Cable Construction
Dec. 26, 2022 Dana Mcwatters
Dec. 26, 2022 Deok Park
Dec. 20, 2022 Patrick Reeder, Vice President & Deputy General Counsel, American Council of Life Insurers; Stephen E. Roth, Esq., Partner, Eversheds Sutherland LLP; and Emily Micale, Director of Federal Regulatory Affairs, Insured Retirement Institute
Dec. 19, 2022 Yiming Ma, Assistant Professor of Business, Columbia Business School; Kairong Xiao, Associate Professor of Business, Columbia Business School; and Yao Zeng, Assistant Professor of Finance, Wharton School, University of Pennsylvania
Dec. 16, 2022 Larry Huber
Dec. 13, 2022 Thomas Archer
Dec. 13, 2022 Carol Singer
Dec. 13, 2022 Jocelyn Near
Nov. 28, 2022 Indraneel Chakraborty, University of Miami, Elia Ferracuti, Duke University, John Heater, Duke University, and Matthew Phillips, MIT
Nov. 22, 2022 Brian Graff, Chief Executive Officer, American Retirement Association and Allison Wielobob, General Counsel, American Retirement Association
Nov. 20, 2022 Yonatan Gershon
Nov. 17, 2022 Joey Valentine, Individual Investor
Nov. 16, 2022 Elliot Ganz, General Counsel, Co-Head Public Policy, Loan Syndications and Trading Association et al.
Nov. 16, 2022 Anonymous
Nov. 16, 2022 Brad
Nov. 16, 2022 Derek Saucie Raulz
Nov. 11, 2022 Ben Passlow
Nov. 11, 2022 Gregory Brandano
Nov. 11, 2022 Dennis, Small Business Owner
Nov. 11, 2022 Robert Franke, The Energy Sector
Nov. 11, 2022 Jesse Taylor
Nov. 11, 2022 Linus Olsson
Nov. 11, 2022 John Serrano
Nov. 11, 2022 L. Toner
Nov. 11, 2022 Lael Nomar
Nov. 10, 2022 Yan Kouramanis
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Ross Bright
Nov. 10, 2022 Henning Klimaczewski
Nov. 10, 2022 Frederik K.
Nov. 10, 2022 Charl Martinsen
Nov. 10, 2022 Neil McLaughlin
Nov. 10, 2022 Ed Lloyd
Nov. 10, 2022 Daryll Fogal
Nov. 10, 2022 Daniel Hof zum Ahaus
Nov. 10, 2022 Robert Nromund
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Benjamin Lyddon
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Viraj Kamdar, Franchise Owner
Nov. 10, 2022 John Cikut, CAP Manager, Pure Storage
Nov. 10, 2022 Keagan Donahue
Nov. 10, 2022 Greg S. Warner
Nov. 10, 2022 Dinh Ba Tuong
Nov. 10, 2022 David Dannenberg, Self-Employed Chef
Nov. 10, 2022 Young
Nov. 10, 2022 JB
Nov. 10, 2022 Jason Myers
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Dane
Nov. 10, 2022 Alex
Nov. 10, 2022 David Fields
Nov. 10, 2022 Kyle Walters, Sales Professional
Nov. 10, 2022 Mathieu Charbonneau
Nov. 10, 2022 Harrison Renny, Software Developer
Nov. 10, 2022 J. Hykaway
Nov. 10, 2022 Evan Harting
Nov. 10, 2022 Austin Ernesti, CEO, Trajectory
Nov. 10, 2022 Ryan Hovivian
Nov. 10, 2022 Chris, Retail Investor
Nov. 10, 2022 Anonymous
Nov. 10, 2022 J. Edwards
Nov. 10, 2022 Jared
Nov. 10, 2022 Valentino Nucci
Nov. 10, 2022 Matt, Tobin
Nov. 10, 2022 Andrew Head, DOI
Nov. 10, 2022 Ben Miletich, Redstone American Grill
Nov. 10, 2022 Paul Martinelli
Nov. 10, 2022 Eric Burhop
Nov. 10, 2022 Anthony
Nov. 10, 2022 Thomas Lopez, Professional
Nov. 10, 2022 Kirby Broderick
Nov. 10, 2022 Jason Karkiewicz
Nov. 10, 2022 Kyle Wadsworth, Retail Investor
Nov. 10, 2022 Omar F.
Nov. 10, 2022 J. Park
Nov. 10, 2022 Jason, Investor
Nov. 10, 2022 Hai Nguyen
Nov. 10, 2022 Matthew DeVries
Nov. 10, 2022 Joel Sawyer, Business Travel Consultant
Nov. 10, 2022 Fernando, Business Owner
Nov. 10, 2022 Laine Thompson, Teacher
Nov. 10, 2022 Helen DeLIlla
Nov. 10, 2022 Anonymous
Nov. 10, 2022 Marc R.
Nov. 10, 2022 Joshua C. Lilienthal
Nov. 10, 2022 Paololuca Barbieri Marchi
Nov. 10, 2022 Aaron, Individual investor
Nov. 10, 2022 Mike Kerr
Nov. 10, 2022 Harrison Renny, Software Developer
Nov. 4, 2022 U.S. Senator Thom Tillis

Meetings with SEC Officials

(Click here for submitted comments from the public)
Sep. 18, 2024 Memorandum from the Division of Investment Management regarding a September 18, 2024, meeting and Videoconference with representatives of the U.S. Chamber of Commerce
Aug. 27, 2024 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 27, 2024 meeting with representatives of Capital Group
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding an August 27, 2024 meeting with representatives of Capital Group
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 25, 2023 meeting with Dodge & Cox
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 20, 2023 meeting with Edward Jones
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 10, 2023 meeting with Investment Company Institute
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a June 12, 2023 meeting with Nationwide
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a June 1, 2023 meeting with Fidelity Investments
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 15, 2023 meeting with PIMCO
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 8, 2023 meeting with JP Morgan
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 8, 2023 meeting with Independent Directors Council
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 2, 2023 meeting with representatives of Ropes & Gray LLP
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 1, 2023 meeting with representatives of American Retirement Association
Aug. 27, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a January 25, 2023 meeting with representatives of Investment Company Institute
Aug. 2, 2024 Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 1, 2024 meeting with representatives of the Investment Company Institute ("ICI")
Aug. 1, 2024 Memorandum from the Division of Investment Management regarding an August 1, 2024 meeting with representatives of BlackRock, Inc.
Jul. 11, 2024 Memorandum from the Division of Investment Management regarding a July 11, 2024 meeting with representatives of T. Rowe Price
Jul. 10, 2024 Memorandum from the Division of Investment Management regarding a July 10, 2024 meeting with LSTA
Jun. 7, 2024 Memorandum from the Office of the Chair regarding a June 7, 2024 meeting with the Loan Syndications & Trading Association ("LSTA")
May 29, 2024 Memorandum from the Division of Investment Management regarding a May 29, 2024 meeting with the Loan Syndications & Trading Association ("LSTA")
May 28, 2024 Memorandum from the Office of Commissioner Mark T. Uyeda regarding an April 26, 2024 meeting with representatives of Nationwide Mutual Insurance Company
May 24, 2024 Memorandum from the Office of Public Engagement regarding a May 23, 2024 meeting with State Street Global Advisors
May 23, 2024 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 23, 2024 meeting with representatives of the State Street Global Advisors (SSGA)
May 22, 2024 Memorandum from the Division of Investment Management regarding a May 22, 2024 meeting with representatives of State Street Global Advisors (SSGA)
May 14, 2024 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 14, 2024 meeting with representatives of LSTA
Apr. 22, 2024 Memorandum from the Division of Investment Management regarding an April 22, 2024 meeting with Vanguard
Apr. 17, 2024 Memorandum from the Division of Investment Management regarding an April 17, 2024 meeting with SIFMA AMG
Mar. 18, 2024 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 18, 2024 meeting with representatives of Ropes and Gray
Mar. 6, 2024 Memorandum from the Division of Investment Management regarding a March 6, 2024 meeting with representatives of PwC
Feb. 13, 2024 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 13, 2024 meeting with representatives of Federated
Feb. 8, 2024 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 8, 2024 meeting with representatives of PIMCO
Feb. 8, 2024 Memorandum from the Division of Investment Management regarding a February 8, 2024 meeting with BlackRock, Inc.
Jan. 30, 2024 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a January 30, 2024 meeting with ICI
Jan. 16, 2024 Memorandum from the Office of the Chair regarding a January 16, 2024 meeting with the Loan Syndications & Trading Association ("LSTA")
Dec. 21, 2023 Memorandum from the Division of Investment Management regarding an October 11, 2023 meeting with Independent Directors Council, Governing Council
Dec. 15, 2023 Memorandum from the Division of Investment Management regarding a December 15, 2023 meeting with representatives of ICI, LSTA, Fidelity, T. Rowe Price, and Invesco
Dec. 14, 2023 Memorandum from the Office of the Chair regarding a December 14, 2023 meeting with the Investment Company Institute
Dec. 7, 2023 Memorandum from the Division of Investment Management regarding a December 7, 2023 meeting with Federal Regulation of Securities Committee, American Bar Association Business Law Section
Dec. 1, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 1, 2023 meeting with representatives of the Chamber of Commerce
Nov. 29, 2023 Memorandum from the Office of the Chair regarding a November 29, 2023 meeting with representatives of the the Loan Syndications and Trading Association
Nov. 17, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 17, 2023 meeting with representatives of The Vanguard Group
Nov. 17, 2023 Memorandum from the Division of Investment Management regarding a November 17, 2023 meeting with representatives of Vanguard
Nov. 8, 2023 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 8, 2023 meeting with representatives of LSTA
Nov. 7, 2023 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 7, 2023 meeting with representatives of Vanguard Group, Inc.
Oct. 30, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a meeting with representatives of the Loan Syndications and Trading Association ("LSTA")
Oct. 30, 2023 Memorandum from the Division of Investment Management regarding a meeting with representatives of T. Rowe Price
Oct. 30, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a October 25, 2023 meeting with representatives of TIAA/Nuveen
Oct. 23, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 23,2023 meeting with representatives of the Loan Syndications and Trading Association
Oct. 5, 2023 Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 5, 2023 meeting with Invesco Ltd.
Oct. 2, 2023 Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 2, 2023 meeting with SPARK Institute and American Benefits Council
Oct. 2, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 2, 2023 meeting with representatives of Invesco
Sep. 19, 2023 Memorandum from the Division of Investment Management regarding a September 19, 2023 meeting with representatives of BlackRock, MFS, and PIMCO
Sep. 19, 2023 Memorandum from the Office Of the Chair regarding a September 19, 2023 meeting with representatives of BlackRock
Sep. 17, 2023 Memorandum from the Division of Economic and Risk Analysis regarding a September 14, 2023 meeting with Yiming Ma, Kairong Xiao, Yao Zeng
Aug. 22, 2023 Memorandum from the Office of the Investor Advocate regarding a July 27, 2023 virtual meeting with representatives of the CATO Institute
Aug. 9, 2023 Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a August 9, 2023 meeting with representatives of Insured Retirement Institute
Aug. 7, 2023 Memorandum from the Office of the Investor Advocate regarding an August 2, 2023 virtual meeting with representatives of the Consumer Federation of America
Jul. 24, 2023 Memorandum from the Division of Investment Management regarding a July 21, 2023 meeting with representatives of the Investment Company Institute
Jul. 19, 2023 Memorandum from the Office of the Chair regarding a July 19, 2023 meeting with the Independent Directors Counsel
Jul. 18, 2023 Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2023 meeting with representatives of the ICI
Jul. 13, 2023 Memorandum from the Office Of the Chair regarding a July 12, 2023 meeting with representatives of Dodge and Cox
Jul. 10, 2023 Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of PIMCO
Jul. 10, 2023 Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of the Capital Group
Jul. 10, 2023 Memorandum from the Division of Investment Management regarding a March 21, 2023, meeting with representatives of the the California Alternative Investments Association
Jul. 10, 2023 Memorandum from the Office of Commissioner Caroline A. Crenshaw regarding a May 22, 2023, meeting with representatives of State Street
Jul. 10, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 10, 2023 meeting with representatives of Dodge & Cox
Jun. 26, 2023 Memorandum from the Division of Investment Management regarding a June 14, 2023 meeting with representatives of Dodge & Cox
Jun. 23, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding June 14, 2023 meeting with representatives of Dodge & Cox
Jun. 14, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 14, 2023 meeting with representatives of Dodge & Cox Funds
Jun. 14, 2023 Memorandum from the Division of Investment Management regarding a June 13, 2023 meeting with representatives of Intercontinental Exchange, Inc.
Jun. 6, 2023 Memorandum from the Division of Investment Management regarding a June 6, 2023 meeting with representatives of the American Council of Life Insurers and the Committee of Annuity Insurers
Jun. 2, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding June 1, 2023, meeting with representatives of the SPARK Institute and American Benefits Council
Jun. 2, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding June 1, 2023, meeting with representatives of Fidelity Investments
May 31, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding May 22, 2023, meeting with representatives of the Investment Company Institute
May 31, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 31, 2023 meeting with representatives of Federated Hermes, Inc.
May 31, 2023 Memorandum from the Division of Investment Management regarding a May 25, 2023 teleconference with representatives of Capital Group
May 31, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 22, 2023 meeting with representatives of State Street Global Advisors
May 23, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 23, 2023 meeting with representatives of the UK Investment Association
May 22, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 22, 2023 meeting with representatives of the Investment Company Institute
May 22, 2023 Memorandum from the Office of the Chairman regarding a May 22, 2023 meeting with representatives of State Street Global Advisors
May 22, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 22, 2023 meeting with representatives of State Street Global Advisors
May 11, 2023 Memorandum from the Division of Investment Management regarding a May 10, 2023 meeting with representatives of Fidelity Investments
May 9, 2023 Memorandum from the Division of Investment Management regarding a May 9, 2023 meeting with representatives of the Investment Company Institute
May 3, 2023 Memorandum from the Division of Investment Management regarding a May 2, 2023 meeting with representatives of the Securities Industry and Financial Markets Association’s Asset Management Group
May 2, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 2, 2023 meeting with representatives of the Independent Directors Council
Apr. 26, 2023 Memorandum from the Office of the Chairman regarding an April 26, 2023 meeting with the Investment Company Institute
Apr. 24, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 24, 2023 meeting with representatives of the Boston Asset Managers Association
Apr. 19, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 19, 2023 meeting with representatives of the Independent Directors Council
Apr. 13, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 13, 2023 meeting with representatives of the American Retirement Association
Mar. 30, 2023 Memorandum from the Division of Investment Management regarding a March 29, 2023 teleconference with representatives of Independent Directors Council and other members
Mar. 30, 2023 Memorandum from the Division of Investment Management regarding a March 29, 2023 meeting with representatives of the Securities Industry and Financial Markets Association’s Asset Management Group
Mar. 28, 2023 Memorandum from the Office of the Investor Advocate regarding a March 28, 2023 virtual meeting with representatives of the Insured Retirement Institute
Mar. 24, 2023 Memorandum from the Division of Investment Management regarding a March 24, 2023 teleconference with representatives of J.P. Morgan
Mar. 24, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2023 meeting with representatives of Stradley Ronon Stevens & Young LLP, Franklin Templeton, Guidestone, and Nationwide
Mar. 24, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2023 meeting with representatives of the Independent Directors Council
Mar. 24, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2023 meeting with representatives of Saturna Capital Corporation
Mar. 15, 2023 Memorandum from the Office of the Chairman regarding a March 15, 2023 meeting with Morgan Stanley Investment Management
Mar. 14, 2023 Memorandum from the Division of Investment Management regarding a March 14, 2023 meeting with representatives of Allspring
Mar. 14, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 14, 2023 meeting with representatives of the ICI Executive Committee
Mar. 13, 2023 Memorandum from the Division of Investment Management regarding a March 13, 2023 virtual meeting with representatives of TIAA
Mar. 8, 2023 Memorandum from the Office of Public Engagement regarding a March 8, 2023 meeting with representatives of J.P. Morgan
Mar. 3, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 24, 2023 meeting with representatives of Fidelity
Mar. 3, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2023 meeting with John Gulliver
Feb. 13, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 13, 2023 meeting with representatives of Vanguard
Feb. 10, 2023 Memorandum from the Division of Investment Management regarding a February 10, 2023 meeting with representatives of the Investment Company Institute
Feb. 10, 2023 Memorandum from the Office of the Chairman regarding a February 9, 2023 meeting with representatives of Vanguard
Feb. 10, 2023 Memorandum from the Office of the Chairman regarding a February 9, 2023 meeting with representatives of the Investment Company Institute
Feb. 3, 2023 Memorandum from the Division of Investment Management regarding a February 3, 2023 meeting with representative of Vanguard
Feb. 3, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a January 24, 2023 meeting with representatives of the Investment Company Institute
Feb. 2, 2023 Memorandum from the Division of Investment Management regarding a February 2, 2023 meeting with representatives of the Loan Syndications and Trading Association
Feb. 2, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 2, 2023 meeting with representatives of the Loan Symdications and Trading Association
Jan. 24, 2023 Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 24, 2023 meeting with representatives of the Investment Company Institute
Jan. 12, 2023 Memorandum from the Office of the Chairman regarding a December 21, 2022 meeting with representatives of Fidelity Investments
Dec. 21, 2022 Memorandum from the Office of the Chairman regarding a December 21, 2022 virtual meeting with representatives of the U.S. Chamber of Commerce, Center for Capital Markets Competitiveness
Dec. 9, 2022 Memorandum from the Division of Investment Management regarding a December 9, 2022 teleconference with representatives of the American Retirement Association
Dec. 2, 2022 Memorandum from the Division of Investment Management regarding a December 2, 2022 meeting with representatives from TIAA-CREF and Nuveen
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 Commissioner Hester M. Pierce and Ammon Simon regarding a meeting on Nov. 9,2022 with representatives from Stone Ridge Asset Management LLC
Nov. 15, 2022 Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 15, 2022 meeting with representatives of BlackRock