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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. S7-25-11]


Submitted Comments

Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jul. 22, 2013 John M. Damgard, President, FIA; Robert Pickel, Executive Vice Chairman, ISDA; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
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

Nov. 14, 2013 Memorandum from the Division of Trading and Markets regarding a November 7, 2013, meeting with representatives of the International Swaps and Derivatives Association
Sep. 27, 2013 Memorandum from the Division of Trading and Markets regarding a September 27, 2013, meeting with representatives of Americans for Financial Reform, Public Citizen, Consumer Federation of America, and AFL-CIO

 

Comments on Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

[Release No. 34-64766; File No. S7-25-11]


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 17, 2012 Bruce Stern, Chairman, Association of Financial Guaranty Insurers
Dec. 7, 2011 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association and Nir D. Yarden, Chair, Institutional Investors Committee, Business Law Section, American Bar Association
Oct. 31, 2011 Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
Oct. 4, 2011 Joseph Dear, California Public Employees’ Retirement System; Jennifer Paquette, Colorado PERA; Keith Bozarth, State of Wisconsin Investment Board; Brian Guthrie, Teacher Retirement System of Texas; and Rick Dahl, Missouri State Employees’ Retirement System
Oct. 4, 2011 Lawrence B. Patent, K&L Gates LLP, on behalf of the Church Alliance
Oct. 4, 2011 Senator Tim Johnson, Chairman U.S. Senate Committee on Banking, Housing, and Urban Affairs, and Congressman Barney Frank, Ranking Member, U.S. House Committee on Financial Services
Sep. 15, 2011 Kent A. Mason, Davis & Harman LLP
Sep. 8, 2011 ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
Sep. 6, 2011 Colette J. Irwin-Knott, National Association of Independent Public Finance Advisors, Montgomery, Illinois
Sep. 1, 2011 John M. McNally, President, National Association of Bond Lawyers
Aug. 30, 2011 Christopher J. Ailman, California State Teachers' Retirement System (CalSTRS)
Aug. 29, 2011 Daniel F. C. Crowley, Partner, K&L Gates LLP, on behalf of the Church Alliance
Aug. 29, 2011 Kevin Gould, President, Markit North America, Inc.
Aug. 29, 2011 John D. Walda, President and Chief Executive Officer, National Association of College and University Business Officers, Washington, District of Columbia
Aug. 29, 2011 Timothy W. Cameron, Esq. Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Aug. 29, 2011 Jeff Gooch, Chief Executive Officer, MarkitSERV
Aug. 29, 2011 American Benefits Council
Aug. 29, 2011 Barbara Roper, Director of Investor Protection, Consumer Federation of America; Marcus Stanley, Policy Director, Americans for Financial Reform; and Michael Greenberger, Law School Professor, Founder & Director, University of Maryland Center for Health & Homeland Security
Aug. 29, 2011 Joseph Dear, Chief Investment Officer, California Public Employees’ Retirement System; Rick Dahl, Chief Investment Officer Missouri State Employees’ Retirement System; Keith Bozarth, Executive Director, State of Wisconsin Investment Board; Charles W. Grant, Chief Investment Officer, Virginia Retirement System; Jennifer Paquette, Chief Investment Officer, Colorado PERA; and Ronnie Jung, Executive Director, Teacher Retirement System of Texas
Aug. 29, 2011 Joanne T. Medero, BlackRock, Inc., San Francisco, California
Aug. 29, 2011 Christopher A. Klem and Molly Moore, Ropes & Gray LLP
Aug. 29, 2011 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Aug. 29, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Aug. 29, 2011 Susan N. Kelly, Senior Vice President of Policy Analysis and General Counsel, American Public Power Association, and Noreen Roche-Carter, Chair, Tax and Finance Task Force, Large Public Power Council
Aug. 29, 2011 Sen. Carl Levin, U.S. Senate
Aug. 29, 2011 Mark Hepsworth, President, Institutional Business, Interactive Data Corporation, Bedford, Massachusetts
Aug. 29, 2011 Gerald W. McEntee, President, American Federation of State, County and Municipal Employees, Washington, District of Columbia
Aug. 26, 2011 John F. Damguard, President, Futures Industry Association; Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Aug. 26, 2011 R. Glenn Hubbard, Co-Chair, John L. Thornton, Co-Chair, and Hal S. Scott, Director, Committee on Capital Markets Regulation
Aug. 10, 2011 Chris Barnard, Germany
Jul. 7, 2011 Kenneth M. Fisher, Senior Vice President and Chief Financial Officer, Noble Energy
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Oct. 22, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA
Aug. 10, 2012 Memorandum from the Division of Trading and Markets regarding an August 6, 2012, meeting with representatives from the Association of Financial Guaranty Insurers
Feb. 2, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 25, 2012, meeting with representatives of Interactive Data Corporation
Feb. 2, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA
Dec. 7, 2011 Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of Interactive Data
Oct. 13, 2011 Memorandum from the Division of Trading and Markets regarding a September 29, 2011, consultation with representatives from the Consumer Federation of America, et al.
Oct. 13, 2011 Memorandum from the Division of Trading and Markets regarding an October 13, 2011, consultation with representatives from the Consumer Federation of America, et al.
Sep. 12, 2011 Memorandum from the Division of Trading and Markets regarding a September 9, 2011, consultation with representatives from the Church Alliance
Sep. 8, 2011 Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Russell Investments
Sep. 7, 2011 Memorandum from the Division of Trading and Markets regarding a September 7, 2011, meeting with a representative from Andrew Kalotay Associates, Inc.
Sep. 1, 2011 Memorandum from the Division of Trading and Markets regarding a September 1, 2011, call with representatives from the City and County of San Francisco
Aug. 30, 2011 Memorandum from the Division of Trading and Markets regarding an August 30, 2011, consultation with representatives from the American Benefits Council and CIEBA
Aug. 30, 2011 Memorandum from the Division of Trading and Markets regarding an August 29, 2011, meeting with representatives from the Tennessee State Comptroller's Office
Aug. 12, 2011 Memorandum from the Division of Trading and Markets regarding a July 12, 2011, meeting with representatives from Russell Investments
Aug. 12, 2011 Memorandum from the Division of Trading and Markets regarding an August 11, 2011, call with representatives from Russell Investments
Jul. 13, 2011 Memorandum from the Division of Trading and Markets regarding a July 6, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)

 

http://www.sec.gov/comments/s7-25-11/s72511.shtml

Modified: 04/18/2012