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Comments on Other Initiatives to be Undertaken by the SEC in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act


Submitted Comments

(Click here for meetings with SEC officials)
Aug. 20, 2013 Jon Mark Morgan
Nov. 6, 2012 Peter Rowley
Aug. 29, 2012 Martin Eakes, Center for Responsible Lending; Antonio González, William C. Velasquez Institute; Lisa Hasegawa, National Coalition for Asian Pacific American Community Development; Wade Henderson, Leadership Council on Civil and Human Rights; Marc Morial, National Urban League; Hilary O. Shelton, National Association for the Advancement of Colored People; and Shanna Smith, National Fair Housing Association
Aug. 24, 2012 Larry D. Hardin
Jul. 23, 2012 Jeff Mahoney, General Counsel, Council of Institutional Investors
Dec. 23, 2011 Mora P. Johnson, Government of Canada, Foreign Affairs and International Trade, Ottawa, Canada
Dec. 9, 2011 Edna Sussman, Esq., Distinguished ADR Practitioner in Residence, Fordham Law School, Immediate Past Chair, New York State Bar Association
Nov. 27, 2011 Katherine R. Roberts, Certified Financial Planner, former instructor U of C, Berkeley
Oct. 5, 2011 Maneesh Pangasa, Yuma, Arizona
Sep. 1, 2011 Thomas McNamara, Ph.D., The ESC Rennes School of Business, Rennes, France
Jul. 31, 2011 S. Gregory Lipton, Ph.D, Researcher, Mercer Island, Washington
Jun. 20, 2011 Sally Decelis, Williamson County Board of REALTORS, Round Rock, Texas
Jun. 20, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jun. 17, 2011 P. Georgia Bullitt and Michael A. Piracci, Morgan Lewis Counselors at Law, on behalf of Pershing LLC
May 1, 2011 Keally L. DeWitt, University of Cincinnati, Cincinnati, Ohio
Mar. 28, 2011 National Corn Growers Association and Natural Gas Supply Association
Mar. 25, 2011 Mary Pitman, Author, The Little Book of Missing Money
Jan. 31, 2011 Andrew Waring, Chief Executive, Merchant Navy Officers Pension Fund Trustees Ltd.
Jan. 12, 2011 J. Lang, Bloomington, Minnesota
Jan. 12, 2011 Mary Richardson, Director of Regulatory & Tax Department, Alternative Investment Management Association Limited
Dec. 15, 2010 Jeramy Heath
Dec. 15, 2010 Corinne Cordon, President, Capella Commercial Mortgage
Dec. 8, 2010 Rob Wilson, CIMC, President & CEO, Statement Clarity, Dallas, Texas
Dec. 3, 2010 Richard Ostrander, Managing Director, Morgan Stanley
Dec. 6, 2010 American Bankers Association, ABA Securities Association, The Clearing House Association L.L.C., Financial Services Forum, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Managed Funds Association, Securities Industry and Financial Markets Association
Nov. 7, 2010 Barbara Novick, Vice Chairman, Black Rock
Oct. 29, 2010 Robert W. Row, Palo Alto, California
Oct. 17, 2010 Anonymous
Sep. 22, 2010 Richard H. Baker, President and CEO, Managed Funds Association
Sep. 20, 2010 D. J. Heaton, Kalamazoo, Michigan
Sep. 13, 2010 Tom O'Hara, Edward Jones
Sep. 8, 2010 Shane Bird
Sep. 4, 2010 William Bristol
Sep. 2, 2010 Herbert Milstein, Cohen Milstein Sellers & Toll PLLC, Washington, D.C.
Sep. 1, 2010 Joan E. Schaller, Realtor, investor, Brooklyn Park, Minnesota
Aug. 30, 2010 Knud Lindgard
Aug. 30, 2010 Joe Jefferis, Compliance Accountant, Dayton, Ohio
Aug. 30, 2010 Edward Resnick, Jr., Nautic Partners, LLC, Providence, Rhode Island
Aug. 27, 2010 Donna Patton, Financial Advisor, Fairway, Kansas
Aug. 26, 2010 L D Hartman, CPA (retired), Carmel, Indiana
Aug. 25, 2010 State of Alaska
Aug. 19, 2010 Michael Manton, Senior Vice President, Thomson Reuters, Securities Information Center, Boston, Massachusetts
Aug. 18, 2010 Anthony T Moreschi, North Andover, Massachusetts
Aug. 16, 2010 Troy M. Smith, CFP, Raleigh, North Carolina
Aug. 10, 2010 Michael Decker, Managing Director, Securities Industry and Financial Markets Association, Washington, District of Columbia
Aug. 8, 2010 George R. Louderbough, Albuquerque, New Mexico
Aug. 4, 2010 Mark Rome, MBA, CEO, Sacramento, California
Aug. 3, 2010 Peter Schwartz, Hoboken, New Jersey
Aug. 3, 2010 Joyce E Heinzerling, Esquire, Principal, Meridian Fund Advisers, New York City, New York
Aug. 2, 2010 Jack Zaban, CPA, Northbrook, Illinois
Aug. 2, 2010 Robin McLeish, Virginia Beach, Virginia
Jul. 30, 2010 Charles W Wilcoxson
Jul. 30, 2010 Michelle F Sedivy, Mesa, Arizona
Jul. 30, 2010 David Salvitti
Jul. 30, 2010 P Lundstedt
Jul. 29, 2010 Dan D Shelburne, Investor, Westlake Village, California
Jul. 29, 2010 Shane Atwell
Jul. 28, 2010 W.K.
Jul. 28, 2010 Paula Doss, Roanoke, Virginia
Jul. 28, 2010 Robert J. Salmon, Retired, Chevy Chase, Maryland
Jul. 28, 2010 Stephen Shisler, Port Matilda, Pennsylvania
Jul. 28, 2010 Chris Locovare, President, KewlStuff Inc., Bay Shore, New York
Jul. 27, 2010 Gene Matarese
Jul. 27, 2010 Lucille J. Geremia, Vernon Hills, Illinois

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Nov. 16, 2011 Memorandum from the Division of Trading and Markets regarding a July 15, 2011, meeting with representatives from Thomson Reuters
Nov. 16, 2011 Memorandum from the Division of Trading and Markets regarding a September 21, 2011, meeting with representatives from HSBC
Nov. 15, 2011 Memorandum from the Division of Trading and Markets regarding a June 7, 2011, meeting with representatives from Assured Guaranty
Aug. 26, 2011 Memorandum from the Office of the Chairman regarding an August 25, 2011, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Jun. 28, 2011 Memorandum from the Office of Commissioner Walter regarding a June 28, 2011, meeting with representatives of Nomura
May 9, 2011 Memorandum from the Office of the Chairman regarding a May 5, 2011, meeting with representatives of PIMCO
May 5, 2011 Memorandum from the Office of Commissioner Walter regarding a May 5, 2011, meeting with representatives of Barclays
Apr. 21, 2011 Memorandum from the Office of Commissioner Walter regarding an April 21, 2011, meeting with representatives of Jefferies & Company, Inc.
Apr. 13, 2011 Memorandum from the Office of Commissioner Walter regarding an April 13, 2011, meeting with representatives of the Institute of International Bankers, Davis Polk & Wardwell LLP, and Cleary Gottlieb Steen & Hamilton, LLP
Mar. 14, 2011 Memorandum from the Office of the Chairman regarding a March 14, 2011, meeting with representatives of PIMCO
Feb. 3, 2011 Memorandum from the Office of the Chairman regarding a January 26, 2011, meeting with representatives of Fidelity
Dec. 1, 2010 Memorandum from the Office of the Chairman regarding a December 1, 2010, meeting with representatives of BlackRock
Oct. 13, 2010 Memorandum from the Office of Commissioner Walter regarding a October 4, 2010 meeting with Representative of the Advanced Practice Advisors
Sep. 27, 2010 Memorandum from the Office of Commissioner Walter regarding a September 14, 2010, meeting with representatives of AFSCME and AFL-CIO
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

 

http://www.sec.gov/comments/other/other-initiatives/otherinitiatives.shtml


Modified: 08/26/2013