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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]
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(Click here for meetings with SEC officials)
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| 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
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| 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
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