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Security-Based Swap Dealers and Major Security-Based Swap Participants:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

See also: Comments on Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act; File No. S7-16-10 and
Comments on Proposed Rule: Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"; File No. S7-39-10




Submitted Comments

(Click here for meetings with SEC officials)
Jun. 18, 2012 Joseph L. Seidel, Managing Director, Credit Suisse Securities (USA) 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
Jul. 7, 2011 John M. Damgard, President, FIA; Robert G. Pickel, Chief Executive Office, ISDA; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Jun. 3, 2011 Adam Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC
Jun. 3, 2011 Jeff Gooch, Chief Executive Officer, MarkitSERV
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 18, 2011 Sen. John Kerry and Sen. Jeanne Shaheen, United States Senate
May 11, 2011 Branch Banking and Trust Company, East West Bank, Fifth Third Bank, The PrivateBank and Trust Company, Regions Bank, SunTrust Bank, U.S. Bank National Association, and Wells Fargo Bank, N.A.
May 6, 2011 The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation
May 4, 2011 Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association
May 3, 2011 Reps. Tom Harkin, Max Baucus, Tim Johnson, Debbie Stabenow, Jeff Bingaman and Bob Casey, Jr., United States House of Representatives
Apr. 14, 2011 "Swap Dealers and Major Swap Participants Should Not be Treated as Identical Twins" submitted by Blackrock
Apr. 5, 2011 Edward J. Rosen, Cleary Gottlieb Steen & Hamilton LLP, on behalf of 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., Societe Generale, UBS Securities LLC, Wells Fargo & Company
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Mar. 24, 2011 Antonio Sáinz de Vicuña, European Financial Markets Lawyers Group
Mar. 15, 2011 Rep. Spencer Bachus, United States House of Representatives
Feb. 22, 2011 Mike Nicholas, Chief Executive Officer, Bond Dealers of America
Feb. 22, 2011 Timothy Selby, Chair, The Committee on Futures and Derivatives Regulation, New York City Bar Association
Feb. 22, 2011 Frank Iacono, Riverside Risk Advisors LLC
Feb. 22, 2011 Timothy Cameron, Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Feb. 17, 2011 Lanny Schwartz, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Societe Generale, and UBS AG
Feb. 17, 2011 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA and Robert G. Pickel, Executive Vice Chairman, ISDA
Feb. 3, 2011 Gerald Donini, Barclays Capital Inc.
Jan. 22, 2011 Barbara Roper, Consumer Federation of America; Lisa Donner, Americans for Financial Reform; Michael Greenberger, J.D, University of Maryland; and Damon Silvers, AFL-CIO
Jan. 18, 2011 Natural Gas Supply Association, American Gas Association, Edison Electric Institute, Independent Petroleum Association of America, and Southwestern Energy
Jan. 18, 2011 Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Jan. 11, 2011 Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Societe Generale, and UBS AG
Nov. 23, 2010 Laura J. Schisgall, Managing Director and Senior Counsel, Societe Generale
Nov. 2, 2010 James P. Hoffa, General President, and C. Thomas Keegel, General Secretary-Treasurer, The International Brotherhood of Teamsters
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 22, 2010 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA and Robert G. Pickel, Executive Vice Chairman, ISDA
Oct 6, 2010 Ernest Goodrich and Marcelo Riffaud, Deutche Bank AG
Sep. 22, 2010 Richard H. Baker, President and CEO, Managed Funds Association
Sep 8, 2010 Lynn D. Dudley, Senior Vice President Policy, American Benefits Council
Sep 2, 2010 Christopher Klem, Ropes & Gray LLP, Boston, Massachussetts
Aug. 5, 2010 Coalition for Derivatives End-Users
Jul. 29, 2010 D. Furr
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia
Jul. 28, 2010 Grant Calkins, retired VP, Paine Webber and others
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
Nov. 14, 2013 Memorandum from the Division of Trading and Markets regarding a November 7, 2013, meeting with representatives from the International Swaps and Derivatives Association
Feb. 15, 2013 Memorandum from the Division of Trading and Markets regarding a February 15, 2013, meeting with representatives from Citigroup
Jan. 18, 2013 Memorandum from the Division of Trading and Markets regarding a January 18, 2013, meeting with representatives from Barclays
Sep. 28, 2012 Memorandum from the Division of Trading and Markets regarding a September 28, 2012, meeting with representatives from SIFMA
Sep. 21, 2012 Memorandum from the Division of Trading and Markets regarding a September 21, 2012, meeting with representatives from Goldman Sachs
Aug. 3, 2012 Memorandum from the Division of Trading and Markets regarding an August 2, 2012, meeting with representatives of JP Morgan
Jul. 3, 2012 Memorandum from the Division of Trading and Markets regarding a June 13, 2012 meeting with representatives of Barclays
Jun. 6, 2012 Memorandum from the Division of Trading and Markets regarding a June 6, 2012 meeting with representatives of Americans for Financial Reform, Public Citizen, and University of Maryland Center for Health & Homeland Security
Jun. 5, 2012 Memorandum from the Division of Trading and Markets regarding a June 5, 2012, meeting with representatives from Natixis
May 23, 2012 Memorandum from the Division of Trading and Markets regarding a May 23, 2012, conference call with representatives from KfW Bankengruppe
May 4, 2012 Memorandum from the Division of Trading and Markets regarding a May 4, 2012, meeting with representatives from Americans for Financial Reform, Public Citizen, and the International Brotherhood of Teamsters
Apr. 24, 2012 Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with a representative from Newedge USA
Apr. 17, 2012 Memorandum from the Division of Trading and Markets regarding an April 10, 2012, meeting with representatives from SIFMA
Apr. 19, 2012 Memorandum from the Office of the Chairman regarding an April 19, 2012, meeting with representatives of Credit Suisse Group AG
Mar. 5, 2012 Memorandum from the Division of Trading and Markets regarding a March 5, 2012, call with representatives of Davis Polk & Wardwell LLP
Mar. 2, 2012 Memorandum from the Division of Trading and Markets regarding a March 2, 2012, call with a representative of J.P. Morgan
Dec. 7, 2011 Memorandum from the Division of Trading and Markets regarding a December 7, 2011 meeting with representatives of SIFMA
Nov. 30, 2011 Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives from international banks
Nov. 29, 2011 Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives from the Managed Funds Association
Sep. 28, 2011 Memorandum from the Division of Trading and Markets regarding a September 28, 2011, meeting with representatives from Barclays
Sep. 26, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Sep. 15, 2011 Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Goldman Sachs
Sep. 8, 2011 Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Goldman Sachs
Aug. 12, 2011 Memorandum from the Division of Trading and Markets regarding an August 3, 2011, meeting with representatives from CIEBA
Aug. 2, 2011 Memorandum from the Division of Trading and Markets regarding an August 2, 2011, meeting with representatives from Barclays
Jul. 19, 2011 Memorandum from the Division of Trading and Markets regarding a July 19, 2011, meeting with representatives from J.P. Morgan Chase
Jul. 13, 2011 Memorandum from the Division of Trading and Markets regarding a June 9, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
Jul. 13, 2011 Memorandum from the Division of Trading and Markets regarding a June 22, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a June 21, 2011, meeting with representatives from various pension plans
Jun. 20, 2011 Memorandum from the Division of Trading and Markets regarding a June 15, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
Jun. 2, 2011 Memorandum from the Division of Trading and Markets regarding a May 26, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 27, 2011 Memorandum from the Office of Commissioner Paredes regarding a May 11, 2011, meeting with representatives of Nomura
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 16, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 11, 2011, meeting with representatives of Nomura
May 16, 2011 Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
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 11, 2011, telephonic meeting with Robert Colby of Davis Polk & Wardwell LLP
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 5, 2011 Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
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)
May 5, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 5, 2011 meeting with representatives of Barclays Capital
Apr. 28, 2011 Memorandum from the Division of Trading and Markets regarding an April 15, 2011 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
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. 15, 2011 Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the California State Teachers' Retirement System
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. 4, 2011 Memorandum from the Division of Trading and Markets regarding a March 4, 2011 meeting with Representatives of U.S. and International Banks
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. 10, 2011 Memorandum from the Division of Trading and Markets regarding a January 27, 2011, meeting of the OTC Derivatives Supervisors Group (ODSG) with major participants in the OTC derivatives market
Feb. 4, 2011 Memorandum from the Division of Trading and Markets regarding a February 4, 2011, telephonic meeting with Ed Rosen of Cleary Gottlieb Steen & Hamilton LLP
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 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 meeting with representatives of Coalition for Derivatives End-Users
Nov. 30, 2010 Memorandum from the Division of Trading and Markets regarding a November 22, 2010 meeting with representatives of Stable Value Firms
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 15, 2010 meeting with representatives of Society Generale
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 10, 2010 meeting with representatives of ERISA-Regulated Pension Plans
Nov. 10, 2010 Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of Nomura
Nov. 8, 2010 Memorandum from the Division of Trading and Markets regarding a November 8, 2010 meeting with representatives of the American Council of Life Insurers
Nov. 4, 2010 Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Committee of Annuity Insurers regarding Business Conduct Standards
Nov. 4, 2010 Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Credit Derivatives Product Companies
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. 21, 2010 Memorandum from the Division of Trading and Markets regarding an October 21, 2010 meeting with American Benefits Council and CIEBA
Oct. 14, 2010 Memorandum from the Division of Trading and Markets regarding an October 14, 2010 meeting with representatives of the Municipal Securities Rulemaking Board
Oct. 14, 2010 Memorandum from the Division of Trading and Markets regarding an October 14, 2010 meeting with representatives of Morgan Stanley
Oct. 12, 2010 Memorandum from the Division of Trading and Markets regarding an October 12, 2010 meeting with representatives of the Stable Value Industry Association
Oct. 12, 2010 Memorandum from the Division of Trading and Markets regarding an October 12, 2010 meeting with representatives of Markit
Oct. 6, 2010 Memorandum from the Office of Commissioner Walter regarding an October 6, 2010 meeting with representatives of PIMCO
Oct. 5, 2010 Memorandum from the Division of Trading and Markets regarding an October 5, 2010 meeting with representatives of the National Association of Insurance Commissioners
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding an October 1, 2010 phone conference with representatives of the International Swaps and Derivatives Association
Oct. 1, 2010 Memorandum from the Division of Trading and Markets regarding an October 1, 2010 phone conference with dealer members of the Securities Industry and Financial Markets Association
Sep. 28, 2010 Memorandum from the Division of Trading and Markets regarding a September 28, 2010, meeting with representatives of the Coalition for Derivatives End Users
Sep. 28, 2010 Memorandum from the Division of Trading and Markets regarding a September 28, 2010 meeting with representatives of Trade Information Warehouse
Sep. 27, 2010 Memorandum from the Division of Trading and Markets regarding a September 27, 2010 consultation with representatives of Goldman, Sachs & Co.
Sep. 23, 2010 Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of the Pan-Canadian Investors Committee for Third-Party Structured Asset-Backed Commercial Paper
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. 22, 2010 Memorandum from the Division of Trading and Markets regarding an September 22, 2010 meeting with representatives of Assured Guaranty
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 21, 2010 phone meeting with Omgeo
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. 17, 2010 David Geen, General Counsel, International Swaps and Derivatives Association, Inc.
Sep. 15, 2010 Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with representatives of the Not-For-Profit Energy End User Coalition
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. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 17, 2010 morning meeting with representatives of TriOptima
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. 9, 2010 Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association
Sep. 7, 2010 Memorandum from the Division of Trading and Markets regarding an August 13, 2010 meeting with representatives of Municipal Entities
Sep. 7, 2010 Memorandum from the Division of Trading and Markets regarding a September 2, 2010 meeting with representatives of Assured Guaranty
Sep. 2, 2010 Memorandum from the Division of Trading and Markets regarding a series of August meetings with Peter Shapiro of Swap Financial Group
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 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 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 30, 2010 consultation with Groom Law Group
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. 23, 2010 Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of D.E. Shaw
Aug. 23, 2010 Memorandum from the Division of Trading and Markets regarding an August 20, 2010 consultation with HBK
Aug. 19, 2010 Memorandum from the Division of Trading and Markets regarding an August 19, 2010 consultation with Citibank
Aug. 19, 2010 Memorandum from the Division of Trading and Markets regarding an August 19, 2010 meeting with representatives of Goldman, Sachs & Co.
Aug. 18, 2010 Memorandum from the Division of Trading and Markets regarding an August 18, 2010 meeting with representatives of BlackRock
Aug. 13, 2010 Memorandum from the Division of Trading and Markets regarding an August 13, 2010 meeting with representatives of Municipal Entities
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. 12, 2010 Memorandum from the Division of Trading and Markets regarding a August 3, 2010 meeting with representatives of MarkitSERV
Aug. 12, 2010 Memorandum from the Division of Trading and Markets regarding an August 12, 2010 meeting with representatives of certain public pension plans
Aug. 12, 2010 Memorandum from the Division of Trading and Markets regarding an August 12, 2010 meeting with representatives of the Air Transportation Association
Aug. 11, 2010 Memorandum from the Division of Trading and Markets regarding an August 11, 2010 consultation with representatives of American Public Gas Association
Aug. 11, 2010 Memorandum from the Division of Trading and Markets regarding an August 6, 2010 meeting with representatives of the Chicago Mercantile Exchange Group
Aug. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 9, 2010 meeting with representatives of Americans for Financial Reform, et al.
Aug. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 5, 2010 meeting with representatives of the Municipal Securities Rulemaking Board
Aug. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 5, 2010 meeting with representatives of the Intercontinental Exchange
Aug. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 4, 2010 meeting with representatives of the National Futures Association
Aug. 3, 2010 Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the Financial Industry Regulatory Authority
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/swap/swap.shtml


Modified: 11/19/2013