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XXVII. Investment Adviser Reporting

Date
MEETING WITH
REGARDING RULEMAKING
12/20/2012
3:00 PM
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Investment Company Institute (ICI)

U.S. Chamber of Commerce
XXVII. Investment Adviser Reporting

08/09/2012
1:00 PM
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ICI
XXVII. Investment Adviser Reporting

06/28/2012
11:00 AM
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Managed Funds Association
XXVII. Investment Adviser Reporting

06/15/2012
8:30 AM
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Davis Polk

Fidelity

Goldman Sachs Asset Management

MFS

PIMCO

SIFMA

SIFMA Asset Management Group

Vanguard
I. Registration

XXVII. Investment Adviser Reporting

01/31/2012
1:00 PM
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Steben & Company
XXVII. Investment Adviser Reporting

01/30/2012
2:00 PM
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Fidelity Investments

MFS

PIMCO

SIFMA

SIFMA AMG

Vanguard
XXVII. Investment Adviser Reporting

01/30/2012
10:00 AM
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Investment Adviser Association

Managed Funds Association
XXVII. Investment Adviser Reporting

01/27/2012
11:00 AM
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GSAM

PIMCO

SIFMA

Vanguard

Fidelity Investments
XXVII. Investment Adviser Reporting

01/24/2012
4:00 PM
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K&L Gates

Investment Adviser Association
XXVII. Investment Adviser Reporting

01/24/2012
3:00 PM
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Darcy Bradbury

Graham Harper
XXVII. Investment Adviser Reporting

01/24/2012
2:00 PM
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Altegris
XXVII. Investment Adviser Reporting

01/24/2012
11:00 AM
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NFA
XXVII. Investment Adviser Reporting

01/24/2012
10:00 AM
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Investment Company Institute
XXVII. Investment Adviser Reporting

01/23/2012
11:30 AM
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Skadden
XXVII. Investment Adviser Reporting

11/10/2011
10:30 AM
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U.S. Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting

10/20/2011
3:00 PM
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Department of Treasury

Office of Management and Budget (OMB)

Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting

10/20/2011
2:00 PM
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Commodity Futures Trading Commission (CFTC)

Securities and Exchange Commission (SEC)

Office of Management and Budget (OMB)
XXVII. Investment Adviser Reporting

09/14/2011
11:30 AM
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Managed Funds Association

Willkie Farr
XXVII. Investment Adviser Reporting

07/27/2011
10:30 AM
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Sandalwood Securities
XXVII. Investment Adviser Reporting

07/20/2011
1:00 PM
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Equinox Fund Management, LLC

Dechert LLP
XXVII. Investment Adviser Reporting

07/20/2011
12:00 PM
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Equinox Fund Managment

Dechert LLP
XXVII. Investment Adviser Reporting

07/19/2011
2:00 PM
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Campbell & Company

Managed Futures Association (MFA)
XXVII. Investment Adviser Reporting

07/19/2011
10:00 AM
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AQR Capital Management
XXVII. Investment Adviser Reporting

06/22/2011
12:30 PM
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Futures Industry Association Board of Directors
II. Definitions

XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

XXVII. Investment Adviser Reporting

05/12/2011
4:00 PM
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Convexity Capital Management
XXVII. Investment Adviser Reporting

05/10/2011
4:30 PM
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K&L Gates LLP

Investment Advisor Association

MFS Investment Management
XXVII. Investment Adviser Reporting

General

04/13/2011
11:00 AM
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Steben & Company
XXVII. Investment Adviser Reporting

General

04/13/2011
10:00 AM
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Steben & Co.
XXVII. Investment Adviser Reporting

03/01/2011
3:30 AM
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NFA

SEC

FINRA
XXVII. Investment Adviser Reporting

11/23/2010
2:00 PM
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The Investment Company Institute (ICI)

Prudential Investments

PIMCO

Fidelity Investments
XXVII. Investment Adviser Reporting

11/04/2010
11:00 AM
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Albourne Partners Ltd., Securities and Exchange Commission, Department of Treasury, Federal Reserve Board
XXVII. Investment Adviser Reporting

09/27/2010
5:00 PM
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Winton Capital
XXVII. Investment Adviser Reporting

09/01/2010
11:30 AM
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National Futures Association (NFA)

U.S. Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting

09/01/2010
8:00 AM
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Represenatives of various energy companies, financial firms, consultants, and other interested persons.  The session was open to the press.
All
08/18/2010
2:00 PM
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FIA
All
08/05/2010
2:00 PM
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BlackRock
All
08/04/2010
1:30 PM
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NFA
XXVII. Investment Adviser Reporting
07/30/2010
10:00 AM
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National Futures Association (NFA)
All

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions