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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. S7-08-12]


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 24, 2014 Dan Waters, Managing Director, ICI Global
Nov. 24, 2014 David W. Blass, General Counsel, Investment Company Institute
Nov. 24, 2014 John Court, Managing Director and Senior Associate General Counsel, The Clearing House Association L.L.C.; Jason Shafer, Vice President, American Bankers Association; and Cecelia Calaby, Executive Director and General Counsel, American Bankers Association Securities Association
Oct. 29, 2014 Sebastian Crapanzano, Managing Director, and Soo-Mi Lee, Managing Director, Morgan Stanley
Sep. 10, 2014 Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York
May 19, 2014 The American Benefits Council, The Committee on Investment of Employee Benefit Assets, PensionsEurope, The European Association of Paritarian Institutions, The National Coordinating Committee for Multiemployer Plans, The Pension Investment Association of Canada
Mar. 17, 2014 Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association Limited (AIMA)
Mar. 12, 2014 Kenneth E. Bentsen, Jr., President and Chief Executive Officer, SIFMA
Feb. 25, 2014 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Feb. 5, 2014 Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association
Dec. 5, 2013 Karrie McMillan, General Counsel, Investment Company Institute
Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jul. 22, 2013 Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers
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

(
Click here for submitted comments from the public)
Aug. 14, 2014 Memorandum from the Division of Trading and Markets regarding an August 12, 2014, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc.
Jul. 28, 2014 Memorandum from the Division of Trading and Markets regarding a July 23, 2014, meeting with representatives of Morgan Stanley & Co.
Jul. 14, 2014 Memorandum from the Division of Trading and Markets regarding a July 9, 2014, meeting with representatives of Morgan Stanley & Co.
May 19, 2014 Memorandum from the Division of Trading and Markets regarding a May 15, 2014, meeting with representatives of Morgan Stanley & Co.
May 9, 2014 Memorandum from the Division of Trading and Markets regarding a May 8, 2014, meeting with representatives of the Managed Funds Association
Apr. 9, 2014 Memorandum from the Division of Trading and Markets regarding an April 8, 2014, meeting with representatives of Morgan Stanley
Mar. 24, 2014 Memorandum from the Division of Trading and Markets regarding a March 21, 2014, meeting with representatives of SIFMA
Jan. 10, 2014 Memorandum from the Division of Trading and Markets regarding a January 10, 2014, meeting with representatives of SIFMA
Oct. 8, 2013 Memorandum from the Division of Trading and Markets regarding a October 8, 2013, meeting with representatives of the Managed Funds Assocation
Oct. 1, 2013 Memorandum from the Division of Trading and Markets regarding a October 1, 2013, meeting with representatives of the Alternative Investment Management Association
Sep. 25, 2013 Memorandum from the Division of Trading and Markets regarding a September 25, 2013, meeting with representatives of SIFMA
Sep. 19, 2013 Memorandum from the Division of Trading and Markets regarding a September 19, 2013, meeting with representatives of the Investment Company Institute
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. 1, 2013 Memorandum from the Division of Trading and Markets regarding a July 31, 2013, meeting with representatives of MetLife
Jun. 24, 2013 Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association
May 21, 2013 Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of the Managed Funds Association (MFA)
May 21, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association
May 21, 2013 Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)

 

Comments on Proposed Rule: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

[Release No. IC-29969; File No. S7-08-12]


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 26, 2013 Ronnie Hutto, Elmore, Ohio
Feb. 22, 2013 Timothy W. Cameron, Esq. Managing Director, and Matthew J. Nevins, Esq., Managing Director and Associate General Counsel, Asset Management Group, Securities Industry and Financial Markets Association , New York, New York
Feb. 22, 2013 Coalition for Derivatives End-Users
Feb. 22, 2013 Matthew Shaw, Washington, D.C.
Feb. 22, 2013 Americans for Financial Reform
Feb. 22, 2013 Dennis M. Kelleher, President & CEO; David Frenk, Director of Research; Stephen W. Hall, Securities Specialist; and Katelynn 0. Bradley, Attorney; Better Markets, Inc.
Feb. 22, 2013 Kevin Gould, President, Markit
Feb. 22, 2013 Sebastian Crapanzano, Managing Director, and Soo-Mi Lee, Managing Director, Morgan Stanley
Feb. 22, 2013 Adam Jacobs, Director, Markets Regulation, Alternative Investment Management Association, London, United Kingdom
Feb. 22, 2013 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Feb. 22, 2013 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Feb. 22, 2013 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Feb. 22, 2013 Kathleen Cronin, Senior Managing Director, General Counsel, Legal Department, CME Group, Inc.
Feb. 22, 2013 Kurt Schacht, CFA, Managing Director, Standards and Financial Market Integrity Division, and Beth Kaiser, CFA, CIPM, Director, Capital Markets Policy, CFA Institute, New York, New York
Feb. 22, 2013 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Feb. 21, 2013 Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and David Harris, Acting Vice President and General Counsel, International Finance Corporation
Feb. 21, 2013 Douglas M. Hodge, Managing Director, Chief Operating Officer, Pacific Investment Management Company LLC, Newport Beach, California
Feb. 19, 2013 Thomas G. McCabe, Chief Operating Officer, OneChicago, Chicago, Illinois
Feb. 15, 2013 Bruce Stern, Chairman, Association of Financial Guaranty Insurers
Feb. 14, 2013 David T. McIndoe, Alexander S. Holtan, and Cheryl I. Aaron, Sutherland Asbill & Brennan, LLP, on behalf of The Commercial Energy Working Group
Feb. 4, 2013 Karrie McMillan, General Counsel, Investment Company Institute
Jan. 29, 2013 American Benefits Council, Committee on Investment of Employee Benefit Assets, European Federation for Retirement Provision, The European Association of Paritarian Institutions, The National Coordinating Committee for Multiemployer Plans, The Pension Investment Association of Canada
Jan. 24, 2013 Sheila Bair, Chair, Systemic Risk Council
Jan. 23, 2013 Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association
Jan. 22, 2013 Lisa A. Rutherford, Ivins, Utah
Jan. 22, 2013 Christopher A. Klem, Leigh R. Fraser, and Molly Moore, Ropes & Gray LLP
Jan. 17, 2013 Mark Sokolow, Webster, Texas
Jan. 11, 2013 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Jan. 10, 2013 Timothy W. Cameron, Esq., Managing Director, Asset Management Group, SIFMA
Jan. 3, 2013 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Jan. 2, 2013 Richard M. Whiting, General Counsel, The Financial Services Roundtable, Washington, District of Columbia
Dec. 20, 2012 Jochen Leubner, KfW Bankengruppe, Frankfurt am Main, Germany
Dec. 4, 2012 Chris Barnard, Germany
 

Meetings with SEC Officials

Click here for submitted comments from the public)
Jun. 3, 2013 Memorandum from the Division of Trading and Markets regarding a June 3, 2013, meeting with representatives of the Managed Fund Association
Jan. 18, 2013 Memorandum from the Division of Trading and Markets regarding a January 18, 2013, meeting with representatives of Goldman Sachs
Jan. 17, 2013 Memorandum from the Office of Commissioner Paredes regarding a January 17, 2013, meeting with representatives of the Managed Funds Association (MFA)
Jan. 16, 2013 Memorandum from the Division of Trading and Markets regarding a January 16, 2013, meeting with representatives of Bank of America Merrill Lynch
Jan. 8, 2013 Memorandum from the Division of Trading and Markets regarding a January 8, 2013, meeting with representatives of the Association of Financial Guaranty Insurers
Nov. 28, 2012 Memorandum from the Division of Trading and Markets regarding a November 28, 2012, meeting with representatives of Goldman Sachs
Oct. 23, 2012 Memorandum from the Division of Trading and Markets regarding an October 22, 2012, meeting with representatives of Markit Group Limited and MarkitSERV
Oct. 22, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA

 

http://www.sec.gov/comments/s7-08-12/s70812.shtml

Modified: 12/04/2014