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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. S7-27-10]


Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
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

 

Comments on Proposed Rule: Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC

[Release No. 34-63107; File No. s7-27-10]

See also: Comments on Dodd-Frank Act, Title VII; Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies


Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type A: 24
Jun. 6, 2012 Daniel E. Glatter, Assistant General Counsel, GFI Group Inc.
Dec. 9, 2011 David E. Franasiak, on behalf of Bloomberg
Aug. 16, 2011 Ben Macdonald, Global Head Fixed Income, Bloomberg, L.P.
Jun. 3, 2011 James Cawley, Co-Founder, Swaps & Derivatives Market Association
Jun. 3, 2011 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Jun. 2, 2011 John R. Gidman, Association of Institutional Investors
Apr. 29, 2011 Joanne T. Medero and Richard Prager, BlackRock, Inc., San Francisco, California
Apr. 29, 2011 ABA Securities Association, Financial Services Roundtable, Futures Industry Association, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association
Apr. 29, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Apr. 28, 2011 Ian Axe, CEO, LCH.Clearnet Group
Apr. 26, 2011 Wayne P. Luthringshausen, Chairman and Chief Executive Officer, Options Clearing Corporation
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Mar. 23, 2011 Chris Barnard, Germany
Mar. 21, 2011 Greg Donohoe
Mar. 15, 2011 Mike Hisler, Swaps and Derivatives Market Association (SDMA), New York, New York
Mar. 7, 2011 Jonathan Feigelson, General Counsel, Teachers Insurance and Annuity Association of America
Feb. 14, 2011 Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 4, 2011, meeting with representatives of Barclays
Feb. 8, 2011 Kenneth A. Monahan, Principal, Vizier Ltd. , New York, New York
Feb. 4, 2011 Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc.
Jan. 11, 2011 ABA Securities Association, The Clearing House Association L.L.C., Financial Services Roundtable, Futures Industry Association, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association
Dec. 28, 2010 U.S. Department of Justice, Antitrust Division
Dec. 20, 2010 Senator Carl Levin, U.S. Senate
Dec. 6, 2010 H. Garten
Nov. 29, 2010 Thomas Book, Member of Executive Board, Eurex Clearing, Eschborn, Germany
Nov. 26, 2010 Mike Hisler, Co-Founder, Swaps Derivatives Market Association
Nov. 26, 2010 Mark Scanlan, Vice President, Agriculture and Rural Policy, Independent Community Bankers of America
Nov. 26, 2010 Dennis M. Kelleher, President & CEO, and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc.
Nov. 26, 2010 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation, New York, New York
Nov. 26, 2010 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Nov. 26, 2010 Arthur B. Reinstein, Deputy General Counsel, Chicago Board Options Exchange, Inc.
Nov. 26, 2010 Roger Liddell, Chief Executive, LCH.Clearnet Limited
Nov. 24, 2010 Kathleen M. Cronin, CME Group Inc., Chicago, Illinois
Nov. 24, 2010 Nancy C. Gardner, Executive Vice President & General Counsel, Thomson Reuters Markets
Nov. 24, 2010 Ben Macdonald, Global Head Fixed Income, Bloomberg LP, New York, New York
Nov. 24, 2010 Douglas L. Friedman, General Counsel, Tradeweb Markets LLC, New York, New York
Nov. 23, 2010 Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc.
Nov. 23, 2010 Chris Barnard, Germany
Nov. 22, 2010 Wayne P. Luthringshausen, Chairman and Chief Executive Officer, The Options Clearing Corporation
Nov. 19, 2010 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Nov. 18, 2010 John S. Willian, Managing Director, Goldman, Sachs & Co.
Nov. 17, 2010 James Fuqua, Managing Director, Legal, UBS Securities LLC and David Kelly, Managing Director, Legal, UBS Securities LLC
Nov. 17, 2010 Barry L. Zubrow, EVP & Chief Risk Officer, JP Morgan Chase & Co.
Nov. 17, 2010 Karrie McMillan, General Counsel, Investment Company Institute
Nov. 17, 2010 Sherrod Brown, United States Senator
Nov. 17, 2010 James Hill, Managing Director, Morgan Stanley
Nov. 17, 2010 Alyson L. Abramowitz, Chair, CA Democratic Party Business & Professional Caucus, Democrats Mean Business
Nov. 17, 2010 Daniel Torres, President, Latino American Chamber of Commerce of Connecticut
Nov. 17, 2010 Tim Walz, Member of Congress
Nov. 17, 2010 Tom Harkin, United States Senate
Nov. 17, 2010 John M. Damgard, President, Futures Industry Association
Nov. 16, 2010 State Representative Robert Megna, Connecticut 97th District; State Representative Betsy Ritter, Connecticut 38th District; and State Representative Susan Johnson, Connecticut 49th District
Nov. 16, 2010 Americans for Financial Reform
Nov. 16, 2010 Joseph Harder
Nov. 16, 2010 Molly Peterson
Nov. 16, 2010 Alex Farrel
Nov. 16, 2010 Tom Hughes
Nov. 16, 2010 Alissa Ko, President, California Young Democrats
Nov. 16, 2010 Thomas Chaffee, Individual Investor and Teacher
Nov. 16, 2010 Michael Manset
Nov. 16, 2010 Pat Washington, Ph.D., President, San Diego Democratic Women's Club
Nov. 16, 2010 Rita Ramirez-Dean, Dr., President, Democratic Women of Inland Empire
Nov. 16, 2010 Andrew Postal
Nov. 16, 2010 Robert Matthies, President, Greater Lodi Area Democrats
Nov. 16, 2010 Jerry Greenspan, President, Coronado Democratic Club
Nov. 16, 2010 Randy Ghan, Executive Secretary-Treasurer - Central Labor Council of Fresno, Madera, Tulare, and Kings County
Nov. 16, 2010 Joshua Miller, RI State Senator, Chairman - Corperations Comm., Providence, Rhode Island
Nov. 16, 2010 David W. Brown, Ph.D., Retired Applied Economics Professor And Int'l Development Advisor, Newport, Rhode Island
Nov. 16, 2010 Laurie McBride, Chair, California Democratic Party LGBT Caucus (North)
Nov. 16, 2010 Ian Magruder, President, California College Democrats
Nov. 16, 2010 Paula Villescaz, Member, Cal Berkeley Democrats
Nov. 16, 2010 Dan Kirk, Democratic Central Committee Member and Owner, Dan Kirk Consulting
Nov. 16, 2010 Connor Johnston, California Democratic Party Delegate, San Luis Obispo Democratic Central Committee Member
Nov. 16, 2010 Jon Riley, Executive Director, Napa-Solano Central Labor Council
Nov. 16, 2010 Evan Hawkins, Executive Director, Democratic Party of Sacramento County
Nov. 16, 2010 Bruce Deitch, President, Kasden Fuel, Inc., East Hartford, Connecticut
Nov. 15, 2010 Tim Paulson, Executive Director, San Francisco Labor Council - Chair, California Labor Party Democratic Caucus
Nov. 15, 2010 R. Glenn Hubbard, John L. Thornton, and Hal S. Scott, Committee on Capital Markets Regulation
Nov. 15, 2010 Raelene Brown, Secretary-Treasurer, Stanislaus-Tuolomne County Central Labor Council
Nov. 15, 2010 Carole Adell, Principal, Renaissance Consulting, Sacramento, California
Nov. 15, 2010 Anais LeVoie, Communications Director, Cal Berkeley Democrats, Berkeley, California
Nov. 15, 2010 Klein Lieu, Cal Berkeley Democrats, IT Director
Nov. 15, 2010 Chris Norem, Consultant
Nov. 15, 2010 Daniel Osborn, Cal Berkeley Democrats, President
Nov. 15, 2010 Raquel Simental, Secretary, Women Democrats of Sacramento County
Nov. 15, 2010 Christy Stanker, Cal Berkeley Democrats, Membership Director
Nov. 12, 2010 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Nov. 9, 2010 Shelley Kessler, Executive Secretary-Treasurer, San Mateo County Central Labor Council
Nov. 8, 2010 Tom Sgouros
Nov. 8, 2010 Ernest C. Goodrich, Jr. and Marcelo Riffaud, Deutsche Bank AG
Nov. 5, 2010 Roger Liddell, Chief Executive, LCH.Clearnet Limited
Nov. 4, 2010 Michael N. Castle, Member of Congress and Jim Gerlach, Member of Congress
Oct. 28, 2010 Michael E. Capuano, Member of Congress
Oct. 18, 2010 Stephen F. Lynch, Member of Congress
Oct. 15, 2010 Townsend Walker, Economist/Writer, San Francisco, California

Meetings with SEC Officials

(Click here for submitted comments from the public)
Mar. 28, 2013 Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA
Oct. 26, 2012 Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
Feb. 6, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Jan. 23, 2012 Memorandum from the Office of Commissioner Aguilar regarding a January 17, 2012, meeting with representatives of Bloomberg L.P.
Jan. 17, 2012 Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of Bloomberg
Nov. 1, 2011 Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives from Bloomberg
Oct. 21, 2011 Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Sep. 26, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Jul. 22, 2011 Memorandum from the Division of Trading and Markets regarding a July 21, 2011, meeting with representatives of Bloomberg LLP
Jun. 27, 2011 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives from Tradeweb
Jun. 24, 2011 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Bloomberg L.P.
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC
Jun. 20, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P.
Jun. 15, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC
Jun. 6, 2011 Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP
May 10, 2010 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group
Apr. 28, 2010 Memorandum from the Office of Commissioner Paredes regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
Apr. 21, 2011 Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Apr. 14, 2011 Memorandum from the Office of Commissioner Walter regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
Apr. 14, 2011 Memorandum from the Division of Trading and Markets regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
Mar. 21, 2011 Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC
Mar. 9, 2011 Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with a representative of the Goldman Sachs Group, Inc.
Mar. 9, 2011 Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with a representatives of the Managed Funds Association
Feb. 24, 2011 Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs
Feb. 23, 2011 Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of Bloomberg LLP
Jan. 20, 2011 Memorandum from the Division of Trading and Markets regarding a January 20, 2011 meeting with representatives of Citadel LLC
Jan. 12, 2011 Memorandum from the Division of Trading and Markets regarding a December 22, 2010, telephone call with staff from the U.S. Department of Justice
Dec. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners
Dec. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of LCH.Clearnet and Rich Feuer Group
Nov. 30, 2010 Memorandum from the Division of Trading and Markets regarding a November 23, 2010, meeting with representatives of Sidley Austin LLP
Nov. 12, 2010 Memorandum from the Office of Commissioner Casey regarding a November 10, 2010, meeting with representatives of LCH.Clearnet
Nov. 12, 2010 Memorandum from the Office of Commissioner Aguilar regarding a November 10, 2010, meeting with representatives of NASDAQ OMX
Oct. 28, 2010 Memorandum from the Office of Commissioner Aguilar regarding an October 26, 2010, meeting with representatives of the Options Clearing Corporation
Oct. 26, 2010 Memorandum from the Office of the Chairman regarding a meeting with representatives of the Options Clearing Corporation
Oct. 26, 2010 Memorandum from the Office of Commissioner Walter regarding an October 26, 2010, meeting with representatives of the Options Clearing Corporation
Oct. 26, 2010 Memorandum regarding an October 20, 2010, meeting with Professor Darrel Duffie, Dean Witter Distinguished Professor of Finance at the Graduate School of Business, Stanford University
Oct. 14, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 14, 2010 meeting with representatives of UBS
Oct. 13, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 13, 2010 meeting with representatives of Goldman Sachs

 

http://www.sec.gov/comments/s7-27-10/s72710.shtml

Modified: 10/16/2014