|
|
 |
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]
|
|
|
| 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
|
| 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]
|
|
(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)
|
| 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
|
