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(Click here for meetings with SEC officials)
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| Apr. 23, 2024 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc. |
| Apr. 6, 2023 | Tom Quaadman, Executive Vice President, Center for Capital Markets Coompetitiveness, U.S. Chamber of Commerce |
| Feb. 21, 2023 | Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. and Gary Stone, Regulatory Analyst and Market Structure Strategist, Regulatory Affairs, Bloomberg L.P. |
| Feb. 21, 2023 | Michael Decker, Senior Vice President for Public Policy, Bond Dealers of America |
| Feb. 21, 2023 | Tyler Gellasch, President and CEO, Healthy Markets Association |
| Feb. 21, 2023 | David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation |
| Feb. 21, 2023 | Christopher B. Killian, Managing Director,
Securitization and Corporate Credit, Securities Industry and Financial Markets Association |
| Feb. 16, 2023 | John Gulliver, Executive Director, Committee on Capital Markets Regulation |
| Jan. 19, 2023 | Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc. |
| Nov. 1, 2022 | Tyler Gellasch, President and CEO, Healthy Markets Association |
| Sep. 28, 2022 | John Gulliver, Executive Director, Committee on Capital Markets Regulation |
| Apr. 24, 2020 | Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA and Alexander Ellenberg, Associate General Counsel, FINRA |
| Mar. 16, 2020 | Bloomberg |
| Mar. 16, 2020 | Hal S. Scott, President, Committee on Capital Markets Regulations |
| Mar. 16, 2020 | FINRA |
| Mar. 13, 2020 | David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation |
| Nov. 27, 2019 | Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. |
| Oct. 29, 2019 | Alexander Ellenberg, Associate General Counsel, FINRA |
| Oct. 25, 2019 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Oct. 24, 2019 | Tom Quaadman, Executive Vice President, Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Oct. 24, 2019 | Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. |
| Oct. 24, 2019 | Christopher B. Killian, Managing Director, Securitization and Credit Marke, SIFMA |
| Oct. 23, 2019 | David Burton, Senior Fellow, Economic Policy, The Heritage Foundation |
| Oct. 22, 2019 | John L. Thornton, Co-chair, et al., Committee on Capital Markets Regulation |
| Oct. 3, 2019 | Alexander Ellenberg, Associate General Counsel, FINRA |
| Jul. 29, 2019 | Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, US Chamber of Commerce |
| Jul. 29, 2019 | David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation |
| Jul. 29, 2019 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Jul. 29, 2019 | Christopher B. Killian, Managing Director Securitization and Credit Market, SIFMA |
| Jul. 29, 2019 | Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. |
| Jul. 25, 2019 | John L. Thornton, Co-Chair, et al., Committee on Capital Market Regulation |
| Jul. 1, 2019 | Greg Babyak, Global Head of Regulatory Affairs, Bloomberg, L.P. |
| Jun. 11, 2019 | Recommendation of the SEC Fixed Income Market Structure Advisory Committee |
| May 24, 2019 | John Plansky, Executive Vice President and Chief Executive Officer, Charles River Development |
| May 17, 2019 | Lawrence Harris, Ph.D., CFA, Fred V. Keenan Chair in Finance, USC Marshall School of Business |
| May 15, 2019 | Larry Tabb, Tabb Group |
| Apr. 29, 2019 | Christopher B. Killian, Managing Director, Securitization and Corporate Credit, SIFMA |
| Apr. 29, 2019 | Marshall Nicholson, President, Creditex Securities Corporation, and Thomas S. Vales, Chief Executive Officer, TMC Bonds, L.L.C.; ICE Bonds |
| Apr. 29, 2019 | Greg Babyak, Global Head of Regulatory Affairs, Bloomberg L.P. |
| Apr. 29, 2019 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Apr. 29, 2019 | Lynn Martin, President and COO, ICE Data Services |
| Apr. 29, 2019 | Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce |
| Apr. 29, 2019 | David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation |
| Apr. 29, 2019 | Salman Banaei, Executive Director, IHS Markit |
| Apr. 29, 2019 | Cathy Scott, Director, Fixed Income Forum, On behalf of The Credit Roundtable |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Mar. 29, 2023 | Memorandum from the Division of Trading and Markets regarding a March 29, 2023,
meeting with representatives of Bloomberg L.P. |
| Dec. 17, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 11, 2020, telephone call with representatives of the Committee on Capital Markets Regulation |
| Dec. 17, 2020 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 17, 2020, telephone call with representatives of the U.S. Chamber of Commerce |
| Dec. 2, 2020 | Memorandum from the Division of Trading and Markets regarding a December 2, 2020, meeting with representatives of the Financial Industry Regulatory Authority, Inc. |
| Dec. 2, 2020 | Memorandum from the Office of Commissioner Allison Herren Lee regarding a December 2, 2020, meeting with representatives of Bloomberg |
| Aug. 30, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 25, 2019, meeting with a representative of the Heritage Foundation |
| Jun. 12, 2019 | Memorandum from the Division of Trading and Markets regarding a June 12, 2019, phone call with a representative of Bank of America Merrill Lynch |
