SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

See also: Comments on Proposed Rule: Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC; File No. S7-27-10


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 12, 2011 Christopher A. Klem, Ropes & Gray LLP
Sep. 8, 2011 ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
Jun. 3, 2011 Natural Gas Supply Association and National Corn Growers Association
May 31, 2011 Deloris Wakeford, Morganton, North Carolina
May 31, 2011 Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce
May 4, 2011 Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association
May 1, 2011 Walter J. Jack
Apr. 19, 2011 James Cawley, The Swaps & Derivatives Market Association
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 22, 2011 Natural Gas Supply Association and National Corn Growers Association, Washington, District of Columbia
Feb. 16, 2011 National Corn Growers Association and Natural Gas Supply Association
Feb. 8, 2011 Kenneth A. Monahan, Principal, Vizier Ltd.
Feb. 3, 2011 Gerald Donini, Barclays Capital Inc.
Dec. 28, 2010 Alan Thomas, Managing Director, Morgan Stanley
Nov. 29, 2010 Timothy B. Selby, Chair, Committee on Futures and Derivatives Regulation, New York City Bar
Nov. 10, 2010 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Nov. 1, 2010 James Hill, Managing Director, Morgan Stanley
Oct. 27, 2010 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Oct 6, 2010 Ernest Goodrich and Marcelo Riffaud, Deutche Bank AG
Sep. 24, 2010 Roger Liddell, Chief Executive, LCH.Clearnet
Sep. 22, 2010 Richard H. Baker, President and CEO, Managed Funds Association
Sep. 17, 2010 David Geen, General Counsel, International Swaps and Derivatives Association, Inc.
Aug. 23, 2010 Arthur Lewis
Aug. 5, 2010 Coalition for Derivatives End-Users
July 28, 2010 Robin McLeish, Virginia Beach, Virginia
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
Mar. 28, 2013 Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA
Jan. 17, 2013 Memorandum from the Division of Trading and Markets regarding a January 17, 2013, meeting with representatives from MFA
Oct. 26, 2012 Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
Jul. 24, 2012 Memorandum from the Division of Trading and Markets, Division of Risk, Strategy, and Financial Innovation and Office of Compliance Inspections and Examinations, regarding a July 23, 2012, meeting with representatives from SIFMA
Feb.1, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with a representative of the Swaps & Derivatives Market Association
Nov. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase
Oct. 21, 2011 Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Oct. 3, 2011 Memorandum from the Office of the Chairman regarding a September 23, 2011, meeting with representatives from LCH.Clearnet
Oct. 3, 2011 Memorandum from the Office of the Chairman regarding a September 27, 2011, meeting with representatives from Delta Strategy Group
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC
Jun. 20, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P.
Jun. 15, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC
Jun. 6, 2011 Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP
May 20, 2011 Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley
May 20, 2011 Memorandum from the Division of Trading and Markets regarding a May 15, 2011, meeting with representatives from Siemens Corporation
May 13, 2011 Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC
May 13, 2011 Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital
May 13, 2011 Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 11, 2011 Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA)
May 10, 2010 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group
May 4, 2011 Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB)
Apr. 21, 2011 Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Apr. 14, 2010 Memorandum from the Division of Trading and Markets regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
Apr. 7, 2011 Memorandum from the Office of the Chairman regarding an April 5, 2011 meeting with members of the Board of SIFMA
Apr. 5, 2011 Memorandum from the Division of Trading and Markets regarding an April 5, 2011, telephone meeting with representatives of CME Group Inc.
Mar. 30, 2011 Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc.
Mar. 25, 2011 Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs
Mar. 21, 2010 Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC
Mar. 9, 2011 Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA)
Mar. 3, 2011 Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB)
Mar. 3, 2011 Memorandum from the Division of Trading and Markets regarding a March 3, 2011, telephone meeting with representatives of Better Markets, Inc.
Mar. 1, 2011 Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc
Feb. 18, 2011 CFTC Phase-in Implementation Discussion
Feb. 3, 2011 Memorandum from the Office of Commissioner Aguilar regarding a February 3, 2011, meeting with representatives of Barclays Capital
Jan. 31, 2011 Memorandum from the Office of Commissioner Walter regarding a January 31, 2011, meeting with representatives of Nomura Holding America Inc.
Dec. 8, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of GETCO, LLC
Dec. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners
Nov. 17, 2010 Memorandum from the Division of Trading and Markets regarding a November 17, 2010 meeting with representatives of Property Casualty Association of America
Nov. 15, 2010 Memorandum from the Division of Trading and Markets regarding a November 2, 2010 meeting with the OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Nov. 12, 2010 Memorandum from the Office of Commissioner Walter regarding a November 12, 2010 meeting with representatives of the International Swaps and Derivatives Association
Nov. 12, 2010 Memorandum from the Division of Trading and Markets regarding a November 12, 2010 meeting with representatives of MetLife
Nov. 12, 2010 Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of ERISA-Regulated Pension Plans
Nov. 4, 2010 Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Association of Institutional Investors
Nov. 3, 2010 Memorandum from the Division of Trading and Markets regarding a November 3, 2010 meeting with representatives and members of ISDA
Nov. 1, 2010 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2010 meeting with representatives of ICE Trust and the Intercontinental Exchange, Inc.
Oct. 28, 2010 Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association
Oct. 28, 2010 Memorandum from the Division of Trading and Markets re: Phone Conference with Representatives of the Depository Trust and Clearing Corporation
Oct. 13, 2010 Memorandum from the Office of Commissioner Elise Walter regarding a October 13, 2010 meeting with representatives of Goldman Sachs
Oct. 13, 2010 Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with representatives of various Buy-Side Firms
Oct 13, 2010 Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with Financial Services Forum
Oct. 8, 2010 Memorandum from the Division of Trading and Markets regarding an October 8, 2010 meeting with representatives of Bank of America
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. 6, 2010 Memorandum from the Division of Trading and Markets regarding an October 6, 2010 meeting with representatives of ICE Link
Oct. 5, 2010 Memorandum from the Division of Trading and Markets regarding an October 4, 2010 meeting with representatives of the Association of Institutional Investors
Sep. 30, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting representatives of the ICE Trust
Sep. 29, 2010 Memorandum from the Office of the Chairman regarding a September 21, 2010, meeting with representatives of NYSE
Sep. 28, 2010 Memorandum from the Division of Trading and Markets regarding a September 28, 2010 meeting with representatives of Goldman Sachs
Sep. 23, 2010 Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of Javelin Capital Markets, LLC
Sep. 23, 2010 Memorandum from the Division of Trading and Markets regarding a September 21, 2010 meeting with the Financial Services Roundtable
Sep. 22, 2010 Memorandum from the Division of Trading and Markets re: U.S. Chamber of Commerce, Center for Capital Markets Competitiveness event on "Over the Counter (OTC) Derivatives Reform: Preparing for a Changing Marketplace."
Sep. 20, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with the CFTC and representatives from certain pension plans
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (p.m.) with representatives of Morgan Stanley
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley
Sep. 15, 2010 Memorandum from the Office of Commissioner Paredes regarding a September 8, 2010, meeting with representatives of Credit Suisse
Sep. 15, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 31, 2010 meeting with representatives of the Managed Funds Association
Sep. 10, 2010 Memorandum from the Division of Trading and Markets regarding a September 9, 2010 meeting with representatives of the Alternative Investment Management Association (AIMA)
Sep. 9, 2010 Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association
Sep. 8, 2010 Memorandum from the Division of Trading and Markets regarding a September 8, 2010 meeting with representatives of Tradeweb, LLC
Sep. 7, 2010 Memorandum from the Division of Trading and Markets regarding a September 2, 2010 meeting with representatives of Assured Guaranty
Sep. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 1, 2010 teleconference with representatives of Goldman, Sachs & Co. and Goldman Sachs Execution & Clearing LLC
Sep. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 1, 2010 meeting with representatives from the Conference of State Bank Supervisors ("CSBS"), the National Association of Insurance Commissioners ("NAIC"), and the North American Securities Administrators Association ("NASAA")"
Sep. 1, 2010 Memorandum from the Office of Commissioner Walter regarding an August 31, 2010 meeting with representatives of the Managed Funds Association
Aug. 31, 2010 Memorandum from the Division of Trading and Markets regarding an August 31, 2010 meeting with representatives of the Managed Funds Association
Aug. 30, 2010 Memorandum from the Division of Trading and Markets regarding an August 27, 2010 meeting with representatives of Americans for Financial Reform, et al.
Aug. 26, 2010 Memorandum from the Division of Trading and Markets regarding an August 26, 2010 meeting with representatives of the International Swaps and Derivatives Association (ISDA)
Aug. 25, 2010 Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
Aug. 25, 2010 Memorandum from the Office of International Affairs regarding an August 25, 2010 meeting with a representative of the Institute of International Finance
Aug. 24, 2010 Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of the National Association of College and University Business Officers (NACUBO)
Aug. 24, 2010 Memorandum from the Office of International Affairs regarding an August 16, 2010 meeting with representatives of the Government of Singapore Investment Corporation
Aug. 16, 2010 Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq
Aug. 13, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 13, 2010 meeting with representatives from The Cypress Group and Koch Companies Public Sector, LLC
Aug. 3, 2010 Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association

 

http://www.sec.gov/comments/df-title-vii/mandatory-clearing/mandatory-clearing.shtml


Modified: 04/01/2013