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Comments on Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

[Release No. 34-69490; File No. S7-02-13]

See also: Comments on File No. S7-34-10, Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information, and Comments on File No. S7-40-11, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 19, 2013 Kim Taylor, General Counsel, CME Group, and Kara L. Dutta, President, Clearing ICE Trade Vault, LLC
Oct. 2, 2013 Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, American Bar Association
Sep. 23, 2013 Kara L. Dutta, Assistant General Counsel, ICE Trade Vault, LLC
Sep. 3, 2013 Matti Leppälä, Secretary General/CEO, PensionsEurope
Aug. 22, 2013 Americans for Financial Reform
Aug. 21, 2013 Steven Maijoor, Chair, European Securities and Markets Authority
Aug. 21, 2013 Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and Fady Zeidan, Acting Deputy/General Counsel, International Finance Corporation
Aug. 21, 2013 Futures and Options Association, London, United Kingdom
Aug. 21, 2013 Kenneth E. Bentsen, Jr., President, SIFMA; Walt Lukken, President & Chief Executive Officer, Futures Industry Association; and Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Aug. 21, 2013 Per Sjöberg, Chief Executive Officer, TriOptima AB and Christoffer Mohammar, General Counsel, TriOptima AB
Aug. 21, 2013 Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation
Aug. 21, 2013 Jeff Gooch, Head of Processing, Markit, Chair and CEO, MarkitSERV
Aug. 21, 2013 Agricultural Retailers Association, Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, National Association of Manufacturers, and U.S. Chamber of Commerce
Aug. 21, 2013 Kathleen Cronin, Senior Managing Director, General Counsel, CME Group Inc.
Aug. 21, 2013 Adam C. Cooper, Senior Managing, Director and Chief Legal Officer, Citadel LLC
Aug. 21, 2013 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers
Aug. 21, 2013 Sullivan & Cromwell LLP
Aug. 21, 2013 Søren Elbech, Treasurer, lnter-American Development Bank and Jorge Alers, General Counsel, lnter-American Development Bank
Aug. 21, 2013 Karrie McMillan, General Counsel, Investment Company Institute and Dan Waters, Managing Director, ICI Global
Aug. 21, 2013 Dennis M. Kelleher,President & CEO, Better Markets, Inc.; Stephen W. Hall,Securities Specialist, Better Markets, Inc.; and Katelynn 0. Bradley, Attorney, Better Markets, Inc.
Aug. 21, 2013 Monique S. Botkin, Associate General Counsel, Investment Adviser Association
Aug. 21, 2013 Patrick Pearson, European Commission
Aug. 21, 2013 Dr. Lutz-Christian Funke, Senior Vice President, KfW and Dr. Frank Czichowski, Senior Vice President and Treasurer, KfW
Aug. 21, 2013 Koichi lshikura, Executive Chief of Operations for International Headquarters, Japan Securities Dealers Association
Aug. 20, 2013 Bruce Stern, Association of Financial Guaranty Insurers
Aug. 20, 2013 Ernst-Albrecht Brockhaus, Member of the Management, Board, and Dr. Nico Zachert, Authorized Signatory, Legal/Compliance, FMS Wertmanagement
Aug. 19, 2013 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association
Aug. 19, 2013 R. Glenn Hubbard and John L. Thornton, Co-Chairs, and Hal S. Scott, Director, Committee on Capital Markets Regulation
Aug. 17, 2013 R. Glenn Hubbard and John L. Thornton, Co-Chairs, and Hal S. Scott, Director, Committee on Capital Markets Regulation
Aug. 15, 2013 Jonathan B. Kindred and Shigesuke Kashiwagi, Co-chairs, Japan Financial Markets Council
Aug. 14, 2013 Robert Pickel, International Swaps and Derivatives Association, Inc. (ISDA)
Aug. 14, 2013 Robert Pickel, International Swaps and Derivatives Association, Inc. (ISDA)
Aug. 8, 2013 Masaaki Tanaka, Deputy President, Mitsubishi UFJ Financial Group, Inc.
Aug. 8, 2013 Kevin Nixon, Managing Director, Institute of International Finance
Aug. 6, 2013 Jeffrey A. Merkley, et al., U.S. Congress
Jul. 15, 2013 Chris Barnard, Germany
May 22, 2013 Senators Sherrod Brown, Carl Levin, Tom Harkin, Elizabeth Warren, Jeff Merkley, and Dianne Feinstein; U.S. Senate
May 9, 2013 Karim Shariff, Cupertino, California
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Aug. 11, 2014 Memorandum from the Division of Trading and Markets regarding an August 11, 2014, conference call with representatives of HSBC
Jul. 28, 2014 Memorandum from the Division of Trading and Markets regarding a July 28, 2014, meeting with representatives of HSBC
Jul. 1, 2014 Memorandum from the Division of Trading and Markets regarding a July 1, 2014, conference call with a representative of Sullivan & Cromwell LLP
Jun. 19, 2014 Memorandum from the Division of Trading and Markets regarding a June 17, 2014, conference call with representatives of Better Markets
Jun. 18, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a June 17, 2014, telephone call with a representative of Better Markets
Jun. 13, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a June 12, 2014, meeting with representatives of the Institute of Intemational Bankers
Jun. 3, 2014 Memorandum from the Division of Trading and Markets regarding a May 29, 2014, meeting with a representative of Americans for Financial Security
Jun. 3, 2014 Memorandum from the Division of Trading and Markets regarding a June 3, 2014, conference call with representatives of Better Markets
Jun. 3, 2014 Memorandum from the Division of Trading and Markets regarding a May 29, 2014, meeting with representatives of Better Markets
May 28, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 28, 2014, meeting with representatives of the Institute of International Bankers
May 27, 2014 Memorandum from the Division of Trading and Markets regarding a May 20, 2014, meeting with representatives of the Alternative Investment Management Association
May 27, 2014 Memorandum from the Division of Trading and Markets regarding a May 23, 2014, meeting with representatives of Better Markets
May 22, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 22, 2014, meeting with representatives of Barclays
May 21, 2014 Memorandum from the Division of Trading and Markets regarding a May 19, 2014, meeting with representatives of Citigroup
May 13, 2014 Memorandum from the Division of Trading and Markets regarding a May 10, 2014, call with a representative of J.P. Morgan
May 13, 2014 Memorandum from the Division of Trading and Markets regarding a May 10, 2014, call with a representative of Goldman Sachs
May 13, 2014 Memorandum from the Division of Trading and Markets regarding a May 9, 2014, conference call with representatives of the Institute of International Bankers
May 13, 2014 Memorandum from the Division of Trading and Markets regarding a May 8, 2014, conference call with representatives of Goldman Sachs
May 13, 2014 Memorandum from the Division of Trading and Markets regarding a May 8, 2014, conference call with representatives of Barclays Capital Inc.
May 13, 2014 Memorandum from the Division of Trading and Markets regarding a May 8, 2014, meeting with representatives of Americans for Financial Security, Public Citizen, and the Institute for Agriculture and Trade Policy
May 7, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 7, 2014, meeting with representatives of the Institute of Intemational Bankers
May 7, 2014 Memorandum from the Division of Trading and Markets regarding a May 6, 2014, conference call with representatives of J.P. Morgan
May 2, 2014 Memorandum from the Division of Trading and Markets regarding a May 2, 2014, conference call with representatives of the Institute of International Bankers
Apr. 29, 2014 Memorandum from the Division of Trading and Markets regarding an April 29, 2014, conference call with representatives of Goldman Sachs
Apr. 25, 2014 Memorandum from the Division of Trading and Markets regarding an April 25, 2014, conference call with representatives of Goldman Sachs
Apr. 24, 2014 Memorandum from the Division of Trading and Markets regarding an April 24, 2014, conference call with representatives of Barclays Capital Inc.
Apr. 14, 2014 Memorandum from the Division of Trading and Markets regarding an April 14, 2014, conference call with representatives of Bank of America
Mar. 20, 2014 Memorandum from the Division of Trading and Markets regarding a March 20, 2014, meeting with representatives of HSBC
Mar. 5, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 4, 2014, meeting with representatives of Nomura Securities
Jan. 31, 2014 Memorandum from the Office of the Chair regarding a January 26, 2014, meeting with representatives of the Corporate Directors Forum
Jan. 9, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 9, 2014, meeting with representatives of Credit Suisse
Nov. 20, 2013 Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC
Nov. 4, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers
Oct. 30, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 30, 2013, meeting with representatives of IntercontinentalExchange, Inc. (ICE)
Oct. 29, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013, meeting with representatives of ICE Trade Vault
Oct. 23, 2013 Memorandum from the Division of Trading and Markets regarding an October 23, 2013, meeting with representatives of HSBC
Oct. 18, 2013 Memorandum from the Division of Trading and Markets regarding an October 18, 2013, meeting with representatives of Cadwalader, Wickersham & Taft LLP
Oct. 7, 2013 Memorandum from the Division of Trading and Markets regarding an October 3, 2013, meeting with representatives of the Alternative Investment Management Association (AIMA) and Crossroads Strategies, LLC
Oct. 7, 2013 Memorandum from the Division of Trading and Markets regarding an October 1, 2013, meeting with representatives of HSBC
Oct. 1, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC
Sep. 27, 2013 Memorandum from the Division of Trading and Markets regarding a September 27, 2013, meeting with representatives of Americans for Financial Reform, Public Citizen, Consumer Federation of America, and AFL-CIO
Sep. 18, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Sep. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Sep. 9, 2013 Memorandum from the Division of Trading and Markets regarding an September 9, 2013, meeting with representatives of Barclays Bank PLC
Aug. 28, 2013 Memorandum from the Division of Trading and Markets regarding an August 28, 2013, meeting with representatives of the Japanese Financial Services Agency
Sep. 5, 2013 Memorandum from the Division of Trading and Markets regarding the September 2, 2013, publication of Basel-IOSCO paper: Margin Requirements for Non-Centrally Cleared Derivatives
Aug. 2, 2013 Memorandum from the Division of Trading and Markets regarding an August 2, 2013, meeting with representatives of Nomura
Jul. 30, 2013 Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee
Jul. 2, 2013 Memorandum from the Division of Trading and Markets regarding a July 2, 2013, meeting with Legislative Counsels to Senators Carl Levin and Senator Jeff Merkley
Jun. 24, 2013 Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association
Jun. 19, 2013 Memorandum from the Office of Commissioner Paredes regarding a June 19, 2013, meeting with Legislative Counsel to Senator Carl Levin
Jun. 18, 2013 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, conference call with representatives of the European Commission
Jun. 18, 2013 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Jun. 18, 2013 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA
Jun. 18, 2013 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the Institute of International Bankers
Jun. 14, 2013 Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with representatives of Better Markets
Jun. 13, 2013 Memorandum from the Office of Commissioner Paredes regarding a June 13, 2013, meeting with Legislative Counsel to Senator Carl Levin
Jun. 11, 2013 Memorandum from the Division of Trading and Markets regarding a June 11, 2013, meeting with representatives of Bank of America
Jun. 11, 2013 Memorandum from the Office of Commissioner Paredes regarding a June 11, 2013, meeting with representatives of Bank of America Merrill Lynch
May 31, 2013 Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Bank of Japan
May 31, 2013 Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Japanese Financial Services Agency
May 31, 2013 Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Japanese Ministry of Finance
May 31, 2013 Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the International Bankers Association Japan
May 30, 2013 Memorandum from the Division of Trading and Markets regarding a May 30, 2013, meeting with representatives of the Japanese Securities Dealers Association
May 29, 2013 Memorandum from the Division of Trading and Markets regarding a May 29, 2013, meeting with representatives of the OTC Derivatives Regulators Group
May 27, 2013 Memorandum from the Division of Trading and Markets regarding a May 27, 2013, meeting with representatives of the Hong Kong Securities and Futures Commission, Hong Kong Monetary Authority, Hong Kong Financial Services and Treasury Bureau, Mandatory Provident Fund Authority, Office of the Commissioner of Insurance, and Monetary Authority of Macao
May 22, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs
May 13, 2013 Memorandum from the Division of Trading and Markets regarding a May 13, 2013, meeting with representatives of the International Swaps and Derivatives Association
May 10, 2013 Memorandum from the Division of Trading and Markets regarding a May 10, 2013, meeting with representatives of the Futures and Options Association
May 9, 2013 Memorandum from the Division of Trading and Markets regarding a May 9, 2013, meeting with representatives of the Bank of England and the UK Financial Conduct Authority
May 9, 2013 Memorandum from the Division of Trading and Markets regarding a May 9, 2013, meeting with representatives of Barclays Bank PLC

 

http://www.sec.gov/comments/s7-02-13/s70213.shtml


Modified: 08/12/2014