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Real-Time Reporting:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

See also: Comments on Proposed Rule: Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information; File No. S7-34-10


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 23, 2013 Kara L. Dutta, General Counsel, ICE Trade Vault, LLC
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
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
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 3, 2011 Gerald Donini, Barclays Capital Inc.
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. 25, 2010 Bank of America Merrill Lynch, Barclays Capital, BNP Paribas, Citi, Credit Agricole Corporate and Investment Bank, Credit Suisse Securities (USA), Deutsche Bank AG, HSBC, Morgan Stanley, Nomura Securities International, Inc., PNC Bank, National Association, UBS Securities LLC, Wells Fargo & Company
Oct. 20, 2010 James F Cawley, CEO, Javelin Capital Markets Founder, Swaps Derivatives Market Association, New York, New York
Oct. 1, 2010 James Toffey, CEO, Benchmark Solutions Inc., New York, New York
Sep. 17, 2010 David Geen, General Counsel, International Swaps and Derivatives Association, Inc.
Aug. 31, 2010 Jordan F. Fogal, Consumer advocate, Wetumpka, Alabama
Aug. 23, 2010 Arthur Lewis
Aug. 5, 2010 Coalition for Derivatives End-Users
Jul. 27, 2010 Lewis E. Hutchison, Knoxville, Tennessee
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 3, 2011 Memorandum from the Office of the Chairman regarding a September 27, 2011, meeting with representatives from Delta Strategy Group
May 20, 2011 Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley
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 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.
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. 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. 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
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 Division of Trading and Markets regarding a December 8, 2010, meeting with representatives from and members of the Managed Funds Association
Dec. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners
Dec. 3, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a November 18, 2010, meeting with representatives of PIMCO
Nov. 30, 2010 Memorandum from the Division of Trading and Markets regarding a November 30, 2010, telephone conference with representatives of BlackRock
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 Bank of America
Nov. 3, 2010 Memorandum from the Division of Trading and Markets regarding a November 3, 2010 meeting with representatives of Benchmark Solutions
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. 14, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 14, 2010 meeting with representatives of UBS
Oct 13, 2010 Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with Financial Services Forum
Oct. 13, 2010 Memorandum from the Office of Commissioner Troy A. Paredes 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 Office of the Chairman regarding an October 12, 2010, meeting with Labor Union Representatives
Oct. 8, 2010 Memorandum from the Division of Trading and Markets regarding an October 8, 2010 meeting with representatives of Bank of America
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
Oct. 5, 2010 Memorandum from the Office of Commissioner Paredes regarding an October 5, 2010 meeting with representatives of JPMorgan
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting with representatives of Oracle
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting with J.P. Morgan
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting with representatives of the Financial Industry Regulatory Authority
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting with representatives of the Depository Trust & Clearing Corporation
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting with representatives of Bank of America
Sep. 29, 2010 Memorandum from the Division of Trading and Markets regarding a September 28, 2010 meeting with representatives of Reval
Sep. 29, 2010 Memorandum from the Division of Trading and Markets regarding a September 28, 2010 meeting with representatives of MarkitSERV
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. 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. 20, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with certain industry representatives
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. 16, 2010 Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of Bloomberg LP
Sep. 15, 2010 Memorandum from the Division of Trading and Markets regarding a September 15, 2010 meeting with representatives of PIMCO
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 an August 17, 2010 afternoon meeting with representatives of TriOptima
Sep. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 17, 2010 morning meeting with representatives of TriOptima
Sep. 2, 2010 Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of MarkitSERV
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. 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. 19, 2010 Memorandum from the Division of Trading and Markets regarding an August 19, 2010 phone meeting with JPMorgan Chase & Co. regarding OTC Derivative Legislation
Aug. 12, 2010 Memorandum from the Division of Trading and Markets regarding a August 3, 2010 meeting with representatives of MarkitSERV
Aug. 11, 2010 Memorandum from the Division of Trading and Markets regarding an August 11, 2010 meeting with representatives of J.P. Morgan
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/real-time-reporting/real-time-reporting.shtml


Modified: 09/26/2013