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Comments on Broker-Dealer Reports
[Release No. 33-9222; File No. S7-23-11]
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(Click here for meetings with SEC officials)
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| Apr. 17, 2012 | Sutherland Asbill & Brennan LLP |
| Sep. 15, 2011 | Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York |
| Sep. 14, 2011 | N.M. Hamlet, Seattle, Washington |
| Sep. 13, 2011 | Suzanne H. Shatto, Seattle |
| Aug. 26, 2011 | Annette Lege, Chief Financial Officer, and Mark Gregson, Financial and Operations Principal, Van Kampen Funds Inc. and Invesco Distributors, Inc. |
| Aug. 26, 2011 | Ernst & Young LLP |
| Aug. 26, 2011 | Holly H. Smith and Michael B. Koffler, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Aug. 26, 2011 | Susan S. Coffey, CPA, Senior Vice President, Public Practice and Global Alliances, American Institute of CPAs |
| Aug. 26, 2011 | Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC |
| Aug. 26, 2011 | Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc. |
| Aug. 26, 2011 | McGladrey & Pullen, LLP |
| Aug. 26, 2011 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University |
| Aug. 26, 2011 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University |
| Aug. 26, 2011 | Grant Thornton LLP |
| Aug. 25, 2011 | Robert Kaufmann and David Grumer, Partners, Citrin Cooperman & Co., LLP, New York, New York |
| Aug. 25, 2011 | PricewaterhouseCoopers, LLP |
| Aug. 25, 2011 | KPMG LLP |
| Aug. 25, 2011 | Cynthia M. Fornelli, Executive Director, Center for Audit Quality |
| Aug. 25, 2011 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association |
| Aug. 25, 2011 | Deloitte & Touche LLP |
| Aug. 14, 2011 | Suzanne Shatto |
| Aug. 2, 2011 | Todd Genger, New York, New York |
| Jul. 25, 2011 | Suzanne H. Shatto, Washington |
| Jul. 25, 2011 | Suzanne Shatto |
| Jul. 20, 2011 | Chris Barnard, Germany |
| Jun. 27, 2011 | Robert R. Kelley, Weldona, Colorado |
| Jun. 22, 2011 | Naphtali M. Hamlet, Seattle, Washington |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Feb. 7, 2012 | Memorandum from the Division of Trading and Markets regarding a January 25, 2012, meeting with representatives of the Securities Industry and Financial Markets Association |
| Jan. 10, 2012 | Memorandum from the Division of Trading and Markets regarding a January 10, 2012, meeting with representatives of the Committee of Annuity Insurers |
| Dec. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of the Securities Industry and Financial Markets Association |
| Oct. 7, 2011 | Memorandum from the Division of Trading and Markets regarding an October 6, 2011, telephone call with representatives of the AICPA Stockbrokerage and Investment Banking Expert Panel |
| Oct. 5, 2011 | Memorandum from the Division of Trading and Markets regarding an October 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association |
| Sep. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a September 21, 2011, telephonic meeting with the AICPA Stockbrokerage and Investment Banking Expert Panel |
| Jul. 11, 2011 | Memorandum from the Division of Trading and Markets regarding a July 11, 2011, telephonic meeting with representatives of the Securities Industry and Financial Markets Association |
http://www.sec.gov/comments/s7-23-11/s72311.shtml
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