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(Click here for meetings with SEC officials)
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| Feb. 17, 2022 | Paul S. Mishkin, Davis Polk & Wardell LLP on behalf of the New York Stock Exchange LLC |
| Feb. 4, 2022 | Thomas F. Price, Managing Director Operations, Technology, Cyber & BCP, SIFMA |
| Feb. 4, 2022 | Heidi Hardin, Executive Vice President and General Counsel, MFS Investment Management |
| Feb. 3, 2022 | Gary A. LaBranche, President and CEO, National Investor Relations Institute and Darla C. Stuckey, President and Chief Executive Officer, Society for Corporate Governance |
| Feb. 3, 2022 | Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc. |
| Feb. 3, 2022 | Timothy W. McHale, Senior Vice President and Senior Counsel, Fund
Business Management Group |
| Feb. 3, 2022 | Susan Olson, General Counsel, Investment Company Institute;
Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute; and Sarah Bessin, Associate General Counsel, Securities Regulation, Investment Company Institute |
| Feb. 1, 2022 | Robert Colby, Executive Vice President and Chief Legal Officer, FINRA |
| Feb. 1, 2022 | John Endean, American Business Conference |
| Sep. 13, 2021 | Eric J. Pan, President & CEO, Investment Company Institute |
| Sep. 7, 2021 | Eric J. Pan, President & CEO, Investment Company Institute |
| May. 19, 2021 | Heidi Hardin, Executive Vice President and General Counsel, MFS Investment Management |
| May. 18, 2021 | The Capital Group Companies, Inc. |
| May 13, 2021 | Sarah Bessin, Associate General Counsel, Securities Regulation, Investment Company Institute and Joanne Kane, Senior Director, Operations and Transfer Agency, Investment Company Institute |
| Apr. 28, 2021 | John Carey, Senior Director, NYSE |
| Apr. 14, 2021 | Todd J. May, President, Securities Transfer Association |
| Apr. 14, 2021 | Thomas F. Price, Managing Director, Operations, Technology, Cyber & BCP", SIFMA |
| Apr. 14, 2021 | Paul Conn, President, Global Capital Markets, Computershare Limited |
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| Apr. 14, 2021 | Marcia E. Asquith, Executive Vice President, Board & External Relations, FINRA |
| Mar. 1, 2021 | Todd J. May, President, Securities Transfer Association |
| Jan. 20, 2021 | Niels Holch, Executive Director, Shareholder Communications Coalition |
| Jan. 14, 2021 | Noah Hamman, Chief Executive Officer, AdvisorShares Investments, LLC |
| Jan. 14, 2021 | Thomas E. Faust Jr., Chairman and Chief Executive Officer, Eaton Vance Corp. |
| Jan. 11, 2021 | Timothy W. McHale, Senior Vice President & Senior Counsel,
Capital Research and Management Company and Anthony M. Seiffert, Chief Compliance Officer, American Funds Service Company |
| Jan. 11, 2021 | Paul Conn, President, Global Capital Markets, Computershare Limited |
| Jan. 11, 2021 | Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors |
| Jan. 11, 2021 | Marcia Asquith, Executive Vice President, Board & External Relations,
Financial Industry Regulatory Authority, Inc. |
| Jan. 11, 2021 | Basil K. Fox, Jr., President, Franklin Templeton Investor Services, LLC |
| Jan. 11, 2021 | Heidi Hardin, Executive Vice President and General Counsel, MFS Investment Management |
| Jan. 11, 2021 | Peter J. Germain, Chief Legal Officer, Federated Hermes, Inc. |
| Jan. 8, 2021 | Dorothy M. Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute and Joanne Kane, Senior Director, Operations and Transfer Agency, Investment Company Institute |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Feb. 16, 2022 | Memorandum from the Office of Market Supervision, Division of Trading and Markets regarding a February 15, 2022, conference call with representatives from Broadridge Financial Solutions, Inc. |
| Feb. 10, 2022 | Memorandum from the Office of Market Supervision, Division of Trading and Markets regarding a February 10, 2022, conference call with representatives from Broadridge Financial Solutions, Inc. |
| Oct. 6, 2021 | Memorandum from Megan Mitchell, Office of Market Supervision, Division of Trading and Markets regarding a Oct. 5, 2021, conference call with representatives from the Investment Company Institute |
| Jun. 17, 2021 | Memorandum from Megan Mitchell, Office of Market Supervision, Division of Trading and Markets regarding a Jun. 17, 2021, conference call with representatives from the Investment Company Institute |
