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Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds:
Title VI Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

See also: Comments on Proposed Rule: Comments on Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; File No. S7-41-11


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 13, 2012 Jim Welke, Ferndale, Michigan
Jul. 18, 2011 Senators Jeff Merkley and Carl Levin, U.S. Senate
Jul. 4, 2011 William Michael Cunningham, Creative Investment Research, Inc., Washington, District of Columbia
Jun. 28, 2011 Senator Scott Brown, U.S. Senate
Jun. 14, 2011 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Jun. 8, 2011 Robert M. Chandler, Honolulu, Hawaii
May 10, 2011 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers
May 10, 2011 Douglas Lowenstein, President, Private Equity Growth Capital Council
May 9, 2011 Randolph C. Snook, Executive Vice President, SIFMA, New York, New York
May 5, 2011 Craig R. Jackson, Cypress, Texas
Apr. 18, 2011 Timothy Harrington, CPA
Apr. 15, 2011 Randolph C. Snook, Executive Vice President, SIFMA, New York, New York
Apr. 14, 2011 Cherie L. Johnson, Kansas City, Missouri
Mar. 22, 2011 Bill Whitt, Retired bank auditor., Chicago, Illinois
Mar. 16, 2011 John A Claras, Sunnyvale, California
Mar. 15, 2011 Representatives Spencer Bachus and Randy Neugebauer, U.S. House of Representatives
Jan. 18, 2011 Irene Karamanou, P.h.D.
Oct. 6, 2010 Robert O.L. Lynn, Financial services consultant, New Jersey
Sep. 18, 2010 Paul Jensen
Aug. 3, 2010 Senators Jeffrey Merkley and Carl Levin, U.S. Senate
Sep. 6, 2010 Donald F. Young, Madison, Wisconsin
Aug. 30, 2010 Ralph S. Saul
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia

Meetings with SEC Officials

(Click here for submitted comments from the public)
Sep. 1, 2011 Memorandum from the Division of Investment Management regarding a September 1, 2011, conference call with representatives of Credit Suisse Asset Management
Jun. 9, 2011 Memorandum from the Division of Trading and Markets regarding a June 9, 2011, meeting with representatives of Goldman Sachs, JP Morgan, and Morgan Stanley
Jun. 3, 2011 Memorandum from the Division of Investment Management regarding a June 3, 2011, conference call with representatives of Goldman Sachs
May 20, 2011 Memorandum from the Division of Investment Management regarding a May 20, 2011, meeting with representatives of American Council of Life Insurers
May 18, 2011 Memorandum from the Division of Trading and Markets regarding a May 18, 2011, meeting with representatives of RBC Capital Markets and Sullivan & Cromwell LLP
Apr. 28, 2011 Memorandum from the Office of Commissioner Walter regarding an April 28, 2011, meeting with representatives of Royal Bank of Canada
Apr. 22, 2011 Memorandum from the Division of Trading and Markets, regarding an April 20, 2011, meeting with representatives of Credit Suisse
Apr. 13, 2011 Memorandum from the Division of Trading and Markets, regarding an April 13, 2011, meeting with representatives of Americans for Financial Reform
Apr. 7, 2011 Memorandum from the Office of the Chairman regarding an April 5, 2011 meeting with members of the Board of SIFMA
Apr. 6, 2011 Memorandum from the Division of Trading and Markets, regarding an April 6, 2011, meeting with representatives of Morgan Stanley
Mar. 29, 2011 Memorandum from the Division of Trading and Markets, regarding a March 29, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Mar. 16, 2011 Memorandum from the Division of Investment Management regarding a March 16, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Mar. 9, 2010 Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with a representative of the Goldman Sachs Group, Inc.
Feb. 24, 2011 Memorandum from the Division of Investment Management regarding a February 24, 2011, meeting with representatives of the Financial Services Roundtable
Feb. 16, 2011 Memorandum from the Office of Commissioner Elisse B. Walter regarding a February 16, 2011, meeting with representatives of Barclays Capital
Feb. 4, 2011 Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc.
Feb. 4, 2011 Memorandum from the Division of Trading and Markets and the Division of Risk, Strategy, and Financial Innovation regarding a February 3, 2011 telephone call with representatives of Woodbine Associates, Inc.
Jan. 11, 2011 Memorandum from the Office of the Chairman regarding a January 5, 2011 meeting with representatives of Morgan Stanley
Jan. 11, 2011 Memorandum from the Office of the Chairman regarding a January 10, 2011 meeting with representatives of Credit Suisse
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 17, 2010, meeting with representatives of BNY ConvergEx Group, LLC
Dec. 14, 2010 Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a December 13, 2010 telephone call with staff from Senators Merkley and Levin's offices
Dec. 9, 2010 Memorandum from the Division of Trading and Markets regarding a December 8, 2010 meeting with representatives of Citigroup
Dec. 9, 2010 Memorandum from the Division of Trading and Markets regarding a December 2, 2010 meeting with representatives of Morgan Stanley
Dec. 9, 2010 Memorandum from the Division of Trading and Markets regarding a November 30, 2010 meeting with representatives of JP Morgan
Dec. 9, 2010 Memorandum from the Division of Trading and Markets regarding a November 29, 2010 meeting with representatives of Goldman Sachs
Dec. 9, 2010 Memorandum from the Division of Trading and Markets regarding a November 29, 2010 meeting with representatives of Bank of America
Dec. 1, 2010 Memorandum from the Office of the Chairman regarding a December 1, 2010, meeting with representatives of BlackRock
Nov. 8, 2010 Memorandum from the Division of Trading and Markets regarding an November 8, 2010 meeting with representatives of Credit Suisse
Oct. 22, 2010 Memorandum from the Division of Investment Management regarding an October 22, 2010 meeting with representatives of the Silicon Valley Bank Financial Group
Oct. 13, 2010 Memorandum from the Office of the Chairman regarding an October 12, 2010, meeting with Labor Union Representatives
Oct. 8, 2010 Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum
Oct. 8, 2010 Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable
Oct. 5, 2010 Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a September 30, 2010 meeting with staff of Senator Jeff Merkley and Senator Carl Levin
Sep. 23, 2010 Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a September 17, 2010 meeting with staff of Senator Jeff Merkley and Senator Carl Levin
Sep. 9, 2010 Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association

 

http://www.sec.gov/comments/df-title-vi/prohibitions/prohibitions.shtml


Modified: 03/30/2012