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(Click here for meetings with SEC officials)
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| Nov. 12, 2024 | Jennifer W. Han, Executive Vice President, Chief Counsel and Head of Global Regulatory Affairs, Managed Funds Association |
| Oct. 21, 2024 | Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel |
| Oct. 11, 2024 | Joanna Mallers,
Secretary, FIA Principal Traders Group |
| Aug. 1, 2024 | Laura Klimpel, Managing Director, Head of Fixed Income and Financing Solutions, The Depositry Trust & Clearing Corporation |
| Jul. 31, 2024 | Robert Toomey, Head of Capital Markets, Managing Director/Associate General Counsel, SIFMA |
| Jul. 18, 2024 | Katherine Darras, General Counsel, The International Swaps and Derivatives Association, Inc. |
| Jun. 20, 2024 | Sarah A. Bessin, Deputy General Counsel, Investment Company Institute and Nhan Nguyen, Associate General Counsel, Investment Company Institute |
| May 24, 2024 | William C. Thum, Managing Director and Assistant General
Counsel, SIFMA Asset Management Group |
| May 22, 2024 | Robert Toomey, Head of Capital Markets, Manging Director/Associate General Counsel, Securities Industry and Financial Markets Association |
| Apr. 23, 2024 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Apr. 18, 2024 | Walt L. Lukken, President & Chief Executive Officer, The Futures Industry Association ("FIA") |
| Apr. 17, 2024 | Jennifer W. Han, Executive Vice President, Chief Counsel and Head of Global Regulatory Affairs, Managed Funds Association |
| Apr. 17, 2024 | Katherine Darras, General Counsel, International Swaps
and Derivatives Association, Inc. |
| Apr. 17, 2024 | Sarah A. Bessin, Deputy General Counsel, Investment Company Institute |
| Apr. 17, 2024 | Joanna Mallers, Executive Director, FIA Principal Traders Group |
| Apr. 16, 2024 | Rob Toomey, SIFMA, William Thum, SIFMA AMG, Sarah Bessin, ICI, Katherine Darras, ISDA, Jiri Krol, AIMA, SIFMA, SIFMA AMG, ICI, ISDA, AIMA |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Nov. 4, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 4, 2024, meeting with representatives of the Depository Trust & Clearing Corporation |
| Sep. 17, 2024 | Memorandum from the Office of Public Engagement regarding a July 16, 2024 meeting with representatives of DTCC |
| Sep. 9, 2024 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 5, 2024, meeting with representatives of the AIMA |
| Aug. 23, 2024 | Memorandum from the Division of Investment Management regarding an August 23, 2024 meeting with representatives of Pacific Investment Management Company LLC |
| Aug. 23, 2024 | Memorandum from the Division of Investment Management regarding an August 19, 2024 meeting with representatives of BlackRock, Inc. |
| Aug. 7, 2024 | Memorandum from the Office of Public Engagement regarding a July 10, 2024 meeting with representatives of FIA |
| Jul. 31, 2024 | Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 31, 2024 meeting with representatives of DTCC |
| Jul. 17, 2024 | Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 17, 2024,meeting with representatives of the the Alternative Investment Management Association |
| Jul. 11, 2024 | Memorandum from the Division of Investment Management regarding a July 11, 2024 meeting with representatives of the Investment Company Institute and Securities Industry and Financial Markets Association, Asset Management Group |
| Jul. 3, 2024 | Memorandum from the Office of Public Engagement regarding a July 2, 2024 meeting with representatives of FIA PTG |
| Jun. 28, 2024 | Memorandum from the Division of Trading and Markets regarding a June 5, 2024, meeting with representatives of the Managed Funds Association |
| Jun. 18, 2024 | Memorandum from the Division of Trading and Marketing regarding a June 18, 2024, meeting with representatives of the Alternative Investment Management Association |
| May 30, 2024 | Memorandum from the Division of Trading and Markets regarding a May 30, 2024 meeting with representatives of the AIMA |
| May 30, 2024 | Memorandum from the Office of Public Engagement regarding a May 17, 2024 meeting with FIA PTG |
| May 23, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 23, 2024, meeting with representatives of the Alternative Investment Management Association |
| May 7, 2024 | Memorandum from the Office of Clearance and Settlement, Division of Trading and Markets regarding an April 24, 2024, meeting with representatives of the Independent Dealer and Trader Association |
