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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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 14, 2023 meeting with representatives of Allspring
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 13, 2023 virtual meeting with representatives of TIAA
Public Comment Ann Wagner, Chairman and Brad Sherman, Ranking Member, Subcommittee on Capital Markets, House Committee on Financial Services
Public Comment Ernst & Young LLP
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a March 8, 2023 meeting with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2023 meeting with John Gulliver
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 24, 2023 meeting with representatives of Fidelity
Public Comment Tyler Gellasch, President and CEO, Healthy Markets Association
Public Comment Kathryn L. Quirk, Lead Independent Trustee, Harbor Funds, on Behalf of Scott M. Amero, Donna J. Dean, Robert A. Kasdin, Douglas J. Skinner, Ann M. Spruill, and Landis Zimmerman
Public Comment Daniel McSkimming
Public Comment Roberta R.W. Kameda, General Counsel, Dodge & Cox
Public Comment Beth Ann Brown, Independent Chair, The Invesco Funds, on Behalf of the Independent Trustees
Public Comment James M. Williams, Trustee and Lead Non-Interested Trustee of: Adviser Managed Trust, New Covenant Funds, SEI Asset Allocation Trust, SEI Catholic Values Trust, SEI Daily Income Trust, SEI Exchange Traded Funds, SEI Institutional International Trust, SEI Institutional Investments Trust, SEI Institutional Managed Trust, and SEI Tax Exempt Trust, SEI Trusts
Public Comment Taylor Myers
Public Comment Alison E. Baur, Deputy General Counsel, Franklin Templeton
Public Comment Americans for Tax Reform
Public Comment Amy J. Lee, Guggenheim Investments
Public Comment Andrew Banducci, Senior Vice President, Retirement and Compensation Policy, The ERISA Industry Committee
Public Comment Andrew G. Arnott, Global Head of Retail, Manulife Investment Management, Head of Wealth and Asset Management, United States and Europe, President and CEO, John Hancock Investment Management
Public Comment Andrew Owen, President, Allspring Funds Management, LLC
Public Comment Andrew Park, Americans for Financial Reform Education Fund
Public Comment Anna Helmke, PhD Candidate, Wharton School, University of Pennsylvania
Public Comment Bret C. Hester, Executive Vice President, General Counsel, Strategy, Policy & Operations, Teachers Insurance and Annuity Association of America
Public Comment Brian H. Graff, Esq., APM Executive Director/CEO, and Allison Wielobob, General Counsel, American Retirement Association
Public Comment Charles Upchurch, Senior Vice President, Operations, LPL Financial LLC
Public Comment Chris Jackson, Sr. Vice President & General Counsel, Calamos Investments LLC
Public Comment Chris Payne, Vice President and Head of Government Relations, Principal Financial Group
Public Comment Craig Damos, Lead Independent Board Member, Principal Funds Independent Board Members
Public Comment Cynthia Lo Bessette, Chief Legal Officer, Fidelity Investments

Last Reviewed or Updated: Dec. 18, 2025

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