SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks

[Release No. 34-54946; File No. S7-22-06]


Aug. 9, 2007 Sally Miller, Director & Chief Regulatory Counsel Center for Securities, Trust and Investments, American Bankers Association, and Norman R. Nelson, General Counsel, The Clearing House Association L.L.C.
Aug. 2, 2007 Lisa Tate, Associate General Counsel, Litigation, American Council of Life Insurers
Jul. 16, 2007 Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. and Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments American Bankers Association and General Counsel, ABA Securities Association
Jun. 21, 2007 Joe Belew, President, Consumer Bankers Association
Jun. 19, 2007 Memorandum regarding a June 19, 2007 telephone meeting regarding Regulation R with a representative of the Institute of International Bankers
Jun. 7, 2007 Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. and Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments American Bankers Association and General Counsel, ABA Securities Association
May 24, 2007 Memorandum regarding a May 23, 2007 meeting regarding Regulation B with representatives of American Bankers Association, Arvest Bank, LaSalle Bank Midwest, First National Bank and Trust Company, The Union Bank Company, and the Board of Governors of the Federal Reserve System
May 8, 2007 Memorandum regarding a May 4, 2007 meeting regarding Regulation R with representatives of Federated Investors, Inc.
Apr. 19, 2007 Thomas M. Selman, NASD, Washington, District of Columbia
Apr. 12, 2007 Joseph P. Borg, Esq., NASAA President and Director, Alabama Securities Commission
Apr. 2, 2007 Sandra Mico, President, West Coast Trust Company, Inc.
Apr. 3, 2007 Keith F. Higgins, Chair and James E. Scott, Chair, Committee on Federal Regulation of Securities of the American Bar Association
Mar. 30, 2007 Jeffrey P. Neubert, President and CEO, The Clearing House Association L.L.C.
Mar. 30, 2007 Carl Howard, General Counsel, Bank Regulatory, Citigroup Inc.
Mar. 28, 2007 Carol A. Jameson, Vice President and Deputy General Counsel, National Securities Clearing Corporation, New York, New York
Mar. 26, 2007 Lawrence A. Knecht, Sr., Vice President & Legal Counsel, UMB Bank, n.a.
Mar. 26, 2007 Christopher Cole, Regulatory Counsel, Independent Community Bankers of America
Mar. 26, 2007 F. Jay Meyer, Vice President & Senior Attorney, TD Banknorth, N.A.
Mar. 26, 2007 Stefan M. Gavell, Executive Vice President and Head of Regulatory and Industry Affairs, State Street Corporation
Mar. 26, 2007 Martha A. Pampel, Deputy Regulatory Counsel, HSBC Bank USA
Mar. 26, 2007 Norman R. Nelson, General Counsel, The Clearing House Association L.L.C.
Mar. 26, 2007 Gregory S. Meredith, JPMorgan Chase & Co.
Mar. 26, 2007 Rich Whiting, Executive Director and General Counsel, Financial Services Roundtable
Mar. 26, 2007 David W. Lauer, Vice President and Senior Counsel, Wells Fargo & Company
Mar. 26, 2007 Sharon A. Haeger, Regulatory Counsel, America's Community Bankers
Mar. 26, 2007 Kurt R. Bauer, President/CEO, Wisconsin Bankers Association
Mar. 26, 2007 Joe Belew, President, Consumer Bankers Association
Mar. 26, 2007 Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments, American Bankers Association
Mar. 26, 2007 Gregory A. Baer, Deputy General Counsel, Bank of America Corporation
Mar. 26, 2007 Barbara Black, Charles Hartsock Professor of Law and Director, Corporate Law Center, University of Cincinnati College of Law, Cincinnati, Ohio
Mar. 26, 2007 Melanie L. Fein, Federated Investors, Inc.
Mar. 26, 2007 Alan E. Sorcher, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association
Mar. 26, 2007 Lisa Tate, Associate General Counsel, Litigation, American Council of Life Insurers
Mar. 26, 2007 Jeffrey Bloch, Senior Assistant General Counsel, Credit Union National Association
Mar. 26, 2007 William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Mar. 26, 2007 James S. Keller, Legal Department, The PNC Financial Services Group, Inc.
Mar. 26, 2007 Andrew C. Svarre, Associate General Counsel, TIAA-CREF
Mar. 26, 2007 John B. Sullivan, Senior Vice President and Assistant General Counsel, U.S. Trust
Mar. 26, 2007 Jill I. Gross, Esquire, Professor of Law, Pace University School of Law and Director, Pace Investor Rights Project
Mar. 26, 2007 Paul V. Reagan, Executive Vice President and U.S. General Counsel, The Harris Bank N.A.
Mar. 26, 2007 John F. Kozlowski, General Counsel, Ohio Credit Union League
Mar. 26, 2007 Karen L. Garrett, Bryan Cave LLP, Kansas City, Missouri
Mar. 26, 2007 Michael W. Emerson, HSBC Securities (USA) Inc., New York, New York
Mar. 26, 2007 Carl Krasik, General Counsel, Mellon Financial Corporation
Mar. 26, 2007 Dale K. Nichols, Assistant General Counsel, Northern Trust Corporation
Mar. 26, 2007 Fred R. Becker, Jr., President/CEO, National Association of Federal Credit Unions
Mar. 26, 2007 Joanne Radmore Ratkai, Vice President and General Counsel, Fiserv Trust Company, Denver, Colorado
Mar. 26, 2007 Julius L. Loeser, Comerica Bank, Detroit, Michigan
Mar. 23, 2007 Beverley Rutherford, Virginia Credit Union, Richmond, Virginia
Mar. 23, 2007 Scott A. Glave, Vice President, Charles Schwab Trust Company
Mar. 23, 2007 Mark E. Hoaglin, President and CEO, XCU Corporation, Inc.
Mar. 23, 2007 Timothy J. Lathe, Executive Vice President, National City Corporation
Mar. 23, 2007 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Mar. 23, 2007 Johannes H. Worsoe, Executive Vice President, Union Bank of California
Mar. 23, 2007 Lawrence R. Uhlick, Chief Executive Officer, Institute of International Bankers
Mar. 23, 2007 John W. Low, on behalf of the Association of Colorado Trust Companies
Mar. 23, 2007 Sandra J. Troutman, Executive Vice President, Government Relations, National Association of State Credit Union Supervisors
Mar. 23, 2007 Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services, Inc.
Mar. 22, 2007 Richard D. Starr, Director, Government Relations, Bank Insurance and Securities Association
Mar. 21, 2007 Thomas C. Davis, President and Guy Messick, Legal Counsel, National Association of Credit Union Service Organizations
Mar. 16, 2007 Barry J. Zadworny, Senior Vice President, Compliance, Roma Bank
Mar. 9, 2007 Alan R. Konetzki, Sr. Vice President, Community Bank & Trust
Mar. 8, 2007 Cutler Dawson, President/CEO, Navy Federal Credit Union
Jan. 31, 2007 John A. Malkovich, Tareik, California
Jan. 2, 2007 John R. Boyd, CFP, Certified Financial Planning Practitioner, Worcester, Massachusetts

 

http://www.sec.gov/comments/s7-22-06/s72206.shtml

Modified: 10/16/2014