Comments on Concept Release: Transfer Agent Regulations

[Release No. 34-76743; File No. S7-27-15]

Submitted Comments

(Click here for meetings with SEC officials)
Apr. 24, 2018 Henry Ward, Chief Executive Officer, Carta, Inc.
Nov. 23, 2016 Eric T. Anderson, Pottsboro, Texas
Sep. 23, 2016 Keith Paul Bishop, Former California Commissioner of Corporations, Trabuco Canyon, California
Aug. 19, 2016 Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones & Co., LP
Apr. 15, 2016 Niels Holch, Executive Director, Coalition of Mutual Fund Directors
Apr. 15, 2016 J. Steven Duncan, President, American Funds Service Company, et al.
Apr. 14, 2016 Paul Ellenbogen, Director, Board Consulting Services, and Scott Cooley, Director of Policy Research; Morningstar, Inc.
Apr. 14, 2016 Anne Sheehan, Director of Corporate Governance, California State Teachers’ Retirement System
Apr. 14, 2016 Cristeena Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investments, American Bankers Association, Washington, District of Columbia
Apr. 14, 2016 Stefan M. Gavell, Executive Vice President and Head of Regulatory, Industry and Government Affairs, State Street Corporation
Apr. 14, 2016 Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA
Apr. 14, 2016 Erik S. Nelson, Coral Capital Partners, Inc., Atlanta, Georgia
Apr. 14, 2016 Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc.
Apr. 14, 2016 Marshal Shichtman, Esq., Marshal Shichtman & Associates, P.C.
Apr. 14, 2016 Tammy Virnig, Principal, Vanguard
Apr. 14, 2016 Niels Holch, Executive Director, Shareholder Communications Coalition
Apr. 14, 2016 Marco A. Santori, Pillsbury Winthrop Shaw Pittman LLP, on behalf of Symbiont, Inc.
Apr. 14, 2016 Martin J. McHale, Jr., President, U.S. Equity Services, Computershare Inc., President, Computershare Trust Company, N.A., et al.
Apr. 14, 2016 Campbell Pryde, President and CEO, XBRL US, Inc.
Apr. 14, 2016 Tim Rouse, Executive Director, SPARK Institute
Apr. 14, 2016 Daniel Thieke, Managing Director, General Manager Settlement and Asset Services, The Depository Trust and Clearing Corporation
Apr. 14, 2016 Erik S. Nelson, Mountain Share Transfer, LLC, Atlanta, Georgia
Apr. 14, 2016 Glenn Davis, Director of Research, Council of Institutional Investors
Apr. 14, 2016 Marisa Choy and Carmen Lu, Students, Yale Law School Financial Markets and Corporate Law Clinic, New Haven, Connecticut
Apr. 14, 2016 Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Apr. 14, 2016 Alvin Santiago, President, and Bernadette V. Maffei, Vice President, Shareholder Services Association
Apr. 14, 2016 Susan Ferris Wyderko, President, CEO, Mutual Fund Directors Forum, Washington, District of Columbia
Apr. 14, 2016 Brian H. Graff, Esq., APM, Executive Director/CEO, American Retirement Association, et al.
Apr. 13, 2016 Lori Livingston, CEO, Transfer Online, Portland, Oregon
Apr. 13, 2016 J. L. Zorab
Apr. 13, 2016 Stephen P. Norman, Chairman, Independent Steering Committee of Broadridge, Edgewood, New York
Apr. 13, 2016 Michael Manton, Head of Securities Information Center, Thomson Reuters
Apr. 13, 2016 William J. Speirs, President, Securities Transfer Association of Canada
Apr. 13, 2016 Charles V. Rossi, Chairman, Advisory Board, The Securities Transfer Association, Inc., Hazlet, New Jersey
Apr. 13, 2016 Carl T. Hagberg, Carl T. Hagberg and Associates, Jackson, New Jersey
Apr. 12, 2016 Kara Kennedy, Executive Director, ClearTrust, LLC
Apr. 12, 2016 Jeff Cook, Director of Regulatory Compliance, DST Systems, Inc.
Mar. 10, 2016 David Blass, General Counsel, Investment Company Institute
Mar. 1, 2016 Elliot Grossman, Managing Director, Dinosaur Financial Group, LLC
Feb. 29, 2016 Joshua A. Joyce, President and Arizona Department of Revenue, Unclaimed Property Administrator, et al.; National Association of Unclaimed Property Administrators (NAUPA)
Feb. 29, 2016 Michael J. Hogan, Esq., CEO and President, FOLIOfn Investments, Inc., McLean, Virginia
Feb. 26, 2016 Jack Sunday, Group Five LLC
Feb. 26, 2016 Kevin B. Halter, Jr., President, Securities Transfer Corporation
Feb. 26, 2016 Gary Retelny, President and CEO, Institutional Shareholder Services Inc.
Feb. 26, 2016 Erik S. Nelson, Mountain Share Transfer, LLC., Atlanta, Georgia
Feb. 10, 2016 Sullivan & Cromwell LLP
Feb. 1, 2016 Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA
Jan. 27, 2016 Alvin Santiago, President, Shareholder Services Association
Jan. 26, 2016 James P. Ferguson, Pleasant Dale
Jan. 22, 2016 Cristeena Naser, American Bankers Association, Vice President and Senior Counsel, Center for Securities, Trust & Investment, Washington, District of Columbia
Jan. 18, 2016 Brenda Hamilton, Esq., Hamilton & Associates Law Group
Jan. 15, 2016 Martin J. McHale, Jr., President, U.S. Equity Services, Computershare Inc.
Jan. 7, 2016 Richard Pickering
Jan. 7, 2016 Todd J. May, President, The Securities Transfer Association, Inc.
Dec. 28, 2015 Sharon E. Gardner, Tucson, Arizona

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 18, 2016 Memorandum from the Division of Trading and Markets regarding an October 12, 2016, meeting with representatives of the Investment Company Institute
Sep. 12, 2016 Memorandum from the Division of Trading and Markets regarding a September 9, 2016 meeting with representatives of the Securities Transfer Association
May 11, 2016 Memorandum from the Division of Trading and Markets regarding an April 12, 2016 meeting with representatives of Seward & Kissel LLP
May 11, 2016 Memorandum regarding from the Division of Trading and Markets regarding a March 24, 2016, meeting with representatives of the American Bankers Association
May 3, 2016 Memorandum regarding from the Division of Trading and Markets regarding an April 4, 2016, meeting with representatives of Computershare
May 3, 2016 Memorandum regarding from the Division of Trading and Markets regarding a February 17, 2016, meeting with representatives of the Shareholders Services Association
May 3, 2016 Memorandum regarding from the Division of Trading and Markets regarding a March 15, 2016, meeting with representatives of the Securities Transfer Association