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

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Comment
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B: 23
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D: 5
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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 1, 2023, meeting with representatives of the SPARK Institute and American Benefits Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 31, 2023 meeting with representatives of Federated Hermes, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 22, 2023 meeting with representatives of State Street Global Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 22, 2023, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 25, 2023 teleconference with representatives of Capital Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 23, 2023 meeting with representatives of the UK Investment Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 22, 2023 meeting with representatives of State Street Global Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 22, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 22, 2023 meeting with representatives of State Street Global Advisors
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 10, 2023 meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 9, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 2, 2023 meeting with representatives of the Independent Directors Council
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an April 26, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 24, 2023 meeting with representatives of the Boston Asset Managers Association
Public Comment 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 19, 2023 meeting with representatives of the Independent Directors Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 13, 2023 meeting with representatives of the American Retirement Association
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 29, 2023 teleconference with representatives of Independent Directors Council and other members
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a March 28, 2023 virtual meeting with representatives of the Insured Retirement Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 24, 2023 teleconference with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2023 meeting with representatives of Saturna Capital Corporation
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2023 meeting with representatives of the Independent Directors Council
Public Comment Julie Allecta, Chair, Litman Gregory Funds Trust - iMGP Funds, on Behalf of Thomas W. Bird, Independent Trustee, Jennifer M. Borggaard, Independent Trustee, Robert Jonathan W. DePriest, Independent Trustee, Frederick A. Eigenbrod, Jr., Independent Trustee, and Harold M. Shefrin, Independent Trustee
Public Comment Ronald M. Feiman, Carter Ledyard Milburn, LLP
Public Comment George J. Gorman, Independent Trustee and Chair of the Board of the Eaton Vance Funds
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a March 15, 2023 meeting with representatives of Morgan Stanley Investment Management
Public Comment Mary Lou H. Ivey, Chairman of the Board and Independent Trustee, David J. Urban, and Theo H. Pitt, Jr., Independent Trustee, Independent Trustees of World Funds Trust

Last Reviewed or Updated: Dec. 18, 2025

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