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Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act

[Release No. 34-69491; File No. S7-08-11]


Submitted Comments

Jul. 22, 2013 Jeff Gooch, Head of Processing, Markit
Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jul. 19, 2013 Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois
May 21, 2013 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association

Meetings with SEC Officials

Nov. 22, 2013 Memorandum from the Division of Trading and Markets regarding a November 22, 2013 conference call with representatives of the Depository Trust & Clearing Corporation

 

Comments on Proposed Rule: Clearing Agency Standards for Operation and Governance

[Release No. 34-64017; File No. S7-08-11]


Submitted Comments

(Click here for meetings with SEC officials)
Jul. 26, 2011 Kevin Gould, President, Markit North America, Inc.
Jul. 21, 2011 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Jul. 15, 2011 Jeff Gooch, Chief Executive Officer, MarkitSERV
Jul. 7, 2011 Mark Beeston, Chief Executive Officer, Portfolio Risk Services, ICAP plc, London, United Kingdom
Jun. 3, 2011 James Cawley, Co-Founder, Swaps & Derivatives Market Association
May 6, 2011 American Benefits Council
May 5, 2011 Norman M. Reed, General Counsel, Omgeo LLC
Apr. 29, 2011 Ernst & Young LLP
Apr. 29, 2011 Larry E. Thompson, General Counsel, The Depository Trust & Clearing Corporation
Apr. 29, 2011 Jeff Gooch, Chief Executive Officer, MarkitSERV
Apr. 29, 2011 Kevin Gould, President, Markit North America, Inc.
Apr. 29, 2011 R. Trabue Bland, IntercontinentalExchange, Inc.
Apr. 29, 2011 Joanne T. Medero, Managing Director, Richard Prager and Supurna VedBrat, BlackRock, Inc., San Francisco, California
Apr. 29, 2011 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Apr. 29, 2011 Christoffer Mohammar, General Counsel, TriOptima Group
Apr. 29, 2011 Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc.
Apr. 29, 2011 William H. Navin, Executive Vice President and General Counsel, The Options Clearing Corporation
Apr. 29, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Apr. 29, 2011 Craig Donohue, Chief Executive Officer, CME Group, Inc
Apr. 28, 2011 Ian Axe, CEO, LCH.Clearnet Group
Apr. 14, 2011 Glenn Davis, Council of Institutional Investors, Washington, District of Columbia
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Mar. 21, 2011 Chris Barnard, Germany

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. 30, 2013 Memorandum regarding a January 30, 2013, meeting with representatives of MarkitSERV
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)
Aug. 16, 2012 Memorandum from the Office of Commissioner Aguilar regarding an August 13, 2012, telephonic meeting with a representative of ICAP plc
Apr. 17, 2012 Memorandum from the Division of Trading and Markets regarding the April 16, 2012, publication of the CPSS-IOSCO FMI Report
Feb. 6, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Feb. 1, 2012 Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 1, 2012, meeting with representatives of Citadel
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. 5, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Markit, MarkitSERV, DTCC and Latham & Watkins
Sep. 29, 2011 Memorandum from the Division of Trading and Markets regarding a September 29, 2011 meeting with representatives of LCH.Clearnet and The Rich Feuer Group
Sep. 26, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Sep. 8, 2011 Memorandum from the Office of Commissioner Walter regarding a September 8, 2011, meeting with representatives from ICAP
Jul. 21, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Omgeo
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. 10, 2011 Memorandum from the Division of Trading and Markets Regarding a Meeting with Representatives of TriOptima, Clifford Chance LLP and Delta Strategy Group
Jun. 8, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from The Depository Trust Clearing Corporation
Jun. 6, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Markit, MarkitSERV, The Depository Trust & Clearing Corporation and Winston & Strawn LLP
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 19, 2011 Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 17, 2010 Memorandum from the Division of Trading and Markets regarding a May 17, 2011 Meeting with Representatives of ICAP and Patton Boggs LLP
May 11, 2010 Memorandum from the Division of Trading and Markets regarding a May 11, 2011 Telephone Call with Representatives of TriOptima
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
Apr. 28, 2010 Memorandum from the Office of Commissioner Paredes regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
Apr. 14, 2010 Memorandum from the Office of Commissioner Walter regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
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. 12, 2010 Memorandum from the Division of Trading and Markets regarding an April 12, 2011 meeting with representatives of The Options Clearing Corporation
Apr. 7, 2010 Memorandum from the Division of Trading and Markets regarding an April 7, 2011 telephone call with representatives of The Depository Trust Clearing Corporation
Apr. 4, 2010 Memorandum from the Division of Trading and Markets regarding an April 4, 2011 telephone call with representatives of The Depository Trust Clearing Corporation
Mar. 29, 2010 Memorandum from the Division of Trading and Markets regarding a March 29, 2011 meeting with representatives of MarkitSERV, Markit, The Depository Trust Clearing Corporation and Winston & Strawn
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, 2010 Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association

 

http://www.sec.gov/comments/s7-08-11/s70811.shtml

Modified: 11/25/2013