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

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Comment
A: 107
B: 23
C: 2,868
D: 5
E: 1,241

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Date Received
Date Letter Type Commenter Name
Public Comment Ken Kivenko
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 19, 2023 meeting with representatives of BlackRock, MFS, and PIMCO
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a September 19, 2023 meeting with representatives of BlackRock
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a September 14, 2023 meeting with Yiming Ma, Kairong Xiao, Yao Zeng
Public Comment Jonathan Chiel, General Counsel, Fidelity Investments
Public Comment 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, Blaine Luetkemeyer, Gregory Meeks, 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
Public Comment Patrick Reeder, Vice President & Deputy General Counsel, and Jennifer McAdam, Associate General Counsel, American Council of Life Insurers; Stephen E. Roth, Esq., and Ronald Coenen Jr., Esq, Partner, Eversheds Sutherland (US) LLP, Committee of Annuity Insurers
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a July 27, 2023 virtual meeting with representatives of the CATO Institute
Public Comment Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an August 9, 2023 meeting with representatives of Insured Retirement Institute
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an August 2, 2023 virtual meeting with representatives of the Consumer Federation of America
Public Comment Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 21, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 19, 2023 meeting with representatives of the Independent Directors Counsel
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2023 meeting with representatives of the ICI
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 12, 2023 meeting with representatives of Dodge & Cox
Public Comment Roberta R.W. Kameda, General Counsel, Dodge & Cox
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of PIMCO
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 20, 2023, meeting with representatives of the Capital Group
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 21, 2023, meeting with representatives of the the California Alternative Investments Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline A. Crenshaw regarding a May 22, 2023, meeting with representatives of State Street
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 10, 2023 meeting with representatives of Dodge & Cox
Public Comment George C.W. Gatch, CEO, J.P. Morgan Asset Management
Public Comment Bill Cassidy, Ranking Member, Senate Committee on Health, Education, Labor, and Pensions, and Virginia Foxx, Chairwoman, House Committee on Education and the Workforce
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 14, 2023 meeting with representatives of Dodge & Cox
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 14, 2023 meeting with representatives of Dodge & Cox
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 14, 2023 meeting with representatives of Dodge & Cox Funds
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 13, 2023 meeting with representatives of Intercontinental Exchange, Inc.
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 1, 2023, meeting with representatives of Fidelity Investments

Last Reviewed or Updated: Dec. 18, 2025

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