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(Click here for meetings with SEC officials)
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| Mar. 5, 2020 | Gwen Moore, Steve Stivers, Brad Sherman and Bill Huizenga, Members of Congress |
| Feb. 28, 2020 | Brett Palmer, President, Small Business Investor Alliance (SBIA), et al. |
| Jan. 16, 2020 | David P. Cohen, Attorney, Coalition for Business Development |
| Jan. 8, 2020 | Michael J. Triessl, Senior Vice President and Senior Counsel, Capital Research and Management Company |
| Dec. 12, 2019 | Ryan M. Louvar, Esq., General Counsel, WisdomTree Asset Management, Inc. |
| Jun. 11, 2019 | Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association |
| Jun. 9, 2019 | Phillip Goldstein, Managing Member, Bulldog Investors, LLC |
| Jun. 7, 2019 | Peter J. Germain, General Counsel, Federated Investors, Inc. |
| May 24, 2019 | Carlos S. Montoya, Esq., Cooper LLC |
| May 14, 2019 | William C. Rand, Esq., Law Office of William Coudert Rand |
| May 13, 2019 | Scott D. Laton, Kauff Laton Miller LLP |
| May 6, 2019 | Phil Goldstein, Managing Member, Bulldog Investors, LLC |
| May 3, 2019 | Alexis Rosenblum, Director, Global Public Policy Group, et al., BlackRock |
| May 3, 2019 | Peter Gunning, Chairman and President, Russell Investment Management, LLC |
| May 2, 2019 | Gail C. Bernstein, General Counsel, Investment Adviser Association |
| May 2, 2019 | Clarence A. Davis |
| May 2, 2019 | Peter Baldino |
| May 2, 2019 | Thomas R. Hiller, et al., Ropes & Gray LLP |
| May 2, 2019 | Stuart S. Parker, President, PGIM Investments LLC |
| May 2, 2019 | Barry P. Barbash, Chair, Committee on Investment Management Regulation, New York City Bar Association |
| May 2, 2019 | Heidi W. Hardin, MFS Investment Management |
| May 2, 2019 | Helder Pereira, Lead Counsel, Corporate Law, Massachusetts Mutual Life Insurance Company |
| May 2, 2019 | Clifford R. Cone, Partner, Clifford Chance US LLP |
| May 2, 2019 | J. Christopher Jackson, Senior Vice President & General Counsel, Calamos Investments LLC |
| May 2, 2019 | Jeffrey W. Priest, President and Chief Executive Officer, General American Investors Company, Inc. |
| May 2, 2019 | Insured Retirement Institute |
| May 2, 2019 | Dechert LLP |
| May 2, 2019 | Jonathan Chiel, Executive Vice President and General Counsel, Fidelity Investments |
| May 2, 2019 | Timothy W. Cameron, Head, Asset Management Group, Securities Industry and Financial Markets Association, (SIFMA) |
| May 2, 2019 | Micheal F. Gerber, Senior Managing Director, Corporate Affairs, Franklin Square Holdings, L.P., d/b/a FS Investments |
| May 2, 2019 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| May 2, 2019 | Skadden, Arps, Slate, Meagher & Flom LLP |
| May 2, 2019 | Anne Lester, Senior Portfolio Manager & Head of Retirement Solu, J.P. Morgan Asset Management |
| May 2, 2019 | David Oestreicher, Chief Legal Counsel, and Charles Shriver, Portfolio Manager(Multi-Asset Division), Co-Chair, Asset Allocation Committee; T. Rowe Price |
| May 2, 2019 | Peter J. Germain, Chief Legal Officer and General Counsel, Federated Investors, Inc. |
| May 2, 2019 | Andrew G. Arnott, President & CEO, John Hancock Investments |
| May 2, 2019 | Jason Mulvihill, Chief Operating Officer and General Counsel, American Investment Council |
| May 2, 2019 | Jonathan de St Paer, Chief Executive Officer, Charles Schwab Investment Management |
| May 2, 2019 | Michael J. Triessl, Senior Vice President and Senior Counsel, Capital Research and Management Company |
| May 2, 2019 | Randall C. Barnes, et al., Independent Trustees, Advent Capital Management, LLC |
| May 2, 2019 | Andrew Owen, President, Wells Fargo Funds Management, LLC |
| May 2, 2019 | Salvatore Subblells |
| May 2, 2019 | Mary C. Farrell, Lead Independent Trustee, Fidelity Rutland Square Trust II (Fidelity Strategic Advisers Funds) |
| May 2, 2019 | Catherine L. Newell, President, Dimensional Funds |
| May 2, 2019 | Brian E. Binder, Chief Administrative Officer, Guggenheim Investments |
| May 2, 2019 | Kinchen C. Bizzell |
| May 2, 2019 | David Schachter |
| May 2, 2019 | Barry M. Olliff, Director, City of London Investment Management Co Ltd |
| May 2, 2019 | Jasmin Sethi, Associate Director of Policy Research, and Aron Szapiro, Director of Policy Research; Morningstar, Inc. |
| May 2, 2019 | Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| May 2, 2019 | Huey Falgout, Managing Director and Chief Counsel, Voya Investment Management LLC |
| May 2, 2019 | Christopher M. Rohrbacher, Managing Director and Associate General Counsel, Nuveen, LLC |
| May 2, 2019 | David B. Smith, Executive Vice President and General Counsel, Mutual Fund Directors Forum |
| May 2, 2019 | Jirí Król, Global Head, Alternative Credit Council |
| May 2, 2019 | Carter Austin |
| May 2, 2019 | Arthur E. Johnson, Chair, Independent Trustees, Fidelity Fixed Income and Asset Allocation Funds |
| May 2, 2019 | Felice R. Foundos, Partner, Chapman and Cutler LLP |
| May 2, 2019 | Joseph Glatt, Chairman, Coalition for Business Development |
| May 2, 2019 | Gregory Davis, Chief Investment Officer, The Vanguard Group, Inc. |
| May 2, 2019 | Brad D. Wagner, General Counsel and Chief Compliance Officer, Gracie Asset Management |
| May 2, 2019 | Joshua Easterly, Chairman and Chief Executive Officer, TPG Specialty Lending, Inc. |
| May 1, 2019 | Anthony Chereso, President and CEO, Institute for Portfolio Alternatives |
| May 1, 2019 | Saba Capital Management, L.P. |
| May 1, 2019 | Amy B.R. Lancellotta, Managing Director, Independent Directors Council |
| May 1, 2019 | Emmanuel Roman, Chief Executive Officer, Pacific Investment Management Company LLC |
| May 1, 2019 | Edward C. Delk, General Counsel & Chief Compliance Officer, Advent Capital Management, LLC |
| May 1, 2019 | Elizabeth C. Bogan, Director for four Gabelli Funds |
| May 1, 2019 | Davis Polk & Wardwell LLP |
| May 1, 2019 | William Bartlett, Parallax Volatility Advisers, L.P. |
| May 1, 2019 | Michael Kremenak, Vice President, Chief Legal Officer, Thrivent |
| May 1, 2019 | Erik T. Nelson, Chief Legal Officer, Allianz Investment Management LLC |
| Apr. 30, 2019 | Robert C. Kolodny, M.D. |
| Apr. 30, 2019 | Michael J. Melarkey |
| Apr. 30, 2019 | Nicholas W. Platt |
| Apr. 30, 2019 | Daniel D. Harding |
| Apr. 30, 2019 | William F. Heitmann, Director, Investor, Gabelli Funds |
| Apr. 30, 2019 | Edward T. Tokar |
| Apr. 30, 2019 | Anthonie van Ekris |
| Apr. 30, 2019 | Anthony J. Colavita |
| Apr. 30, 2019 | Molly A. Marion |
| Apr. 30, 2019 | Leslie Fahrenkopf Foley |
| Apr. 30, 2019 | Paul Fanelli |
| Apr. 30, 2019 | Anthony S. Colavita |
| Apr. 30, 2019 | Bruce N. Alpert, Executive Vice President, et al., Gabelli Funds, LLC |
| Apr. 30, 2019 | Paul Schott Stevens, President and CEO, Investment Company Institute |
| Apr. 30, 2019 | Adam Tokar |
| Apr. 30, 2019 | Susan Watson |
| Apr. 30, 2019 | Vincent D. Enright |
| Apr. 30, 2019 | Mark D. Epley, Executive Vice-President & Managing Director, General Counsel, and Matthew Newell, Associate General Counsel; Managed Funds Association |
| Apr. 30, 2019 | Jeff Kupor, Head of Legal, Americas, Invesco Ltd. |
| Apr. 30, 2019 | Brett Palmer, President, Small Business Investor Alliance |
| Apr. 30, 2019 | Bethany Uhlein |
| Apr. 30, 2019 | Laurissa Martire |
| Apr. 27, 2019 | E.V. Cerutti |
| Apr. 26, 2019 | Michael S. Spangler, President and Chief Executive Officer, Nationwide Funds Group |
| Apr. 25, 2019 | Kuni Nakamura |
| Mar. 22, 2019 | John Birch |
| Mar. 10, 2019 | Rohan Ronvelia |
| Dec. 28, 2018 | Anonymous |
| Oct. 1, 2018 | Sharon French, Executive Vice President, and Cynthia Lo Bessette, Executive Vice President and General Counsel, OppenheimerFunds |
| Sep. 28, 2018 | Dechert LLP |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 3, 2022 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 27, 2022 meeting with representatives of Capital Group Companies, Inc. |
| Jul. 30, 2020 | Office of Commissioner Hester M. Peirce regarding a July 30 2020 meeting with representativs of the Coalition for Business Development |
| Jun. 12, 2020 | Office of Commissioner Hester M. Peirce regarding a June 12, 2020 meeting with representativs of the SIFMA AMG Subcommittee |
| May 28, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 28, 2020, meeting with representatives of the Small Business Investor Alliance |
| Feb. 27, 2020 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 24, 2020, meeting with representatives of T. Rowe Price |
| Dec. 9, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2019, meeting with representatives of the Securities Industry and Financial Markets Association Swap Dealer & Derivatives Government Representatives Committees |
| Oct. 3, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 23, 2019, meeting with representatives of JP Morgan Asset Management |
| Sep. 23, 2019 | Memorandum from the Office of the Chairman regarding a September 23, 2019, meeting with representatives of the Investment Company Institute |
| Sep. 18, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 18, 2019, meeting with representatives of the Investment Company Institute and certain of its members |
| Sep. 18, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 18, 2019, meeting with representatives of the Investment Company Institute |
| Sep. 12, 2019 | Memorandum from the Division of Investment Management regarding a September 12, 2019 meeting with representatives of the Investment Company Institute and certain of its members |
| Aug. 27, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 26, 2019 meeting with representatives of the Investment Company Institute (ICI) |
| Aug. 20, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 19, 2019 meeting with representatives of Gabelli Funds, Advent Capital Management, and The Raben Group |
| Jun. 25, 2019 | Memorandum from the Division of Investment Management regarding a June 25, 2019, meeting with representatives of Broadridge Financial Solutions, Inc. |
| Jun. 18, 2019 | Memorandum from the Division of Investment Management regarding a June 12, 2019, meeting with trustees of Advent Claymore Convertible Securities and Income Fund and Advent Capital Management |
| Jun. 13, 2019 | Memorandum from the Division of Investment Management regarding a June 12, 2019, meeting with representatives of Guggenheim Partners, LLC |
| Jun. 10, 2019 | Memorandum from the Division of Investment Management regarding a June 10, 2019, meeting with representatives of TPG Specialty Lending, Inc. |
| Jun. 6, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 6, 2019, meeting with representatives of Advent Capital Management, et al. |
| Jun. 4, 2019 | Memorandum from the Division of Investment Management regarding a June 4, 2019, meeting with representatives of Federated Investors, Inc. |
| May 31, 2019 | Memorandum from the Division of Investment Management regarding a May 29, 2019, meeting with representatives of Saba Capital Management, L.P. |
| May 16, 2019 | Memorandum from the Division of Investment Management regarding a May 16, 2019, meeting with representatives of Federated Investors, Inc. |
| May 13, 2019 | Memorandum from the Division of Investment Management regarding a May 10, 2019, meeting with representatives of Advent Capital Management and Gabelli Asset Management |
| May 1, 2019 | Memorandum from the Division of Investment Management regarding a May 1, 2019, meeting with representatives of The Vanguard Group, Inc. |
| Apr. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 2, 2019, meeting with representatives of SIFMA AMG |
| Apr. 3, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an April 2, 2019, meeting with representatives of SIFMA AMG |
| Apr. 3, 2019 | Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an April 2, 2019, meeting with representatives of SIFMA |
| Apr. 3, 2019 | Memorandum from the Division of Investment Management regarding an April 2, 2019, meeting with representatives of SIFMA AMG |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a March 4, 2019, meeting with representatives of Vanguard |
| Feb. 28, 2019 | Memorandum from the Division of Investment Management regarding a February 28, 2019, meeting with representatives of Fidelity Investments |
| Feb. 19, 2019 | Memorandum from the Division of Investment Management regarding a February 15, 2019, meeting with representatives of Willkie Farr & Gallagher LLP |
