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Comments on Proposed Rule: Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information
[Release No. 34-63346; File No. S7-34-10]
See also: Comments on File No. S7-02-13, Cross-Border Security-Based Swap Activities and Comments on Dodd-Frank Act Title VII, Real-Time Reporting
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(Click here for meetings with SEC officials)
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| Mar. 1, 2013 | Thomas G. McCabe, Chief Operating Officer, OneChicago, LLC |
| Mar. 21, 2012 | Elizabeth King, Head of Regulatory Affairs, GETCO, Chicago, Illinois |
| Oct. 19, 2011 | Michael Hisler, Co-Founder, Swaps & Derivatives Market Association |
| 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 |
| Jul. 12, 2011 | Scott Pintoff, General Counsel, GFI Group Inc. |
| Jun. 3, 2011 | Chris Koppenheffer, Swaps & Derivatives Market Association |
| Jun. 3, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation |
| Jun. 3, 2011 | Stephen Merkel, Chairman, Wholesale Markets Brokers' Association, Americas |
| Jun. 2, 2011 | John R. Gidman, Association of Institutional Investors |
| May 12, 2011 | Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable |
| May 6, 2011 | The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Feb. 17, 2011 | Barclays Bank PLC, BNP Paribas S.A., Credit Suisse AG, Deutsche Bank AG, HSBC, Nomura Securities International, Inc., Rabobank Nederland, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Société Générale, The Toronto-Dominion Bank and UBS AG |
| Feb. 14, 2011 | Robert Carpenter, President and CEO, GS1 US, Inc.; Miguel A. Lopera, CEO, GS1 Global; and Allan D. Grody, President, Financial InterGroup Holdings Ltd. |
| Feb. 14, 2011 | Edward J. Rosen, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Bank of America Merrill Lynch, BNP Paribas, Citi, Credit Agricole, Corporate and Investment Bank, Credit Suisse Securities (USA), Deutsche Bank AG, Morgan Stanley, Nomura Securities International, Inc., PNC Bank, National Association, Societe Generale, UBS Securities LLC, Wells Fargo & Company |
| Feb. 14, 2011 | Charles Llewellyn, Legal Counsel, Society for Worldwide Interbank Financial Telecommunication SCRL |
| Feb. 11, 2011 | Patrick Durkin, Managing Director, Barclays Capital Inc. |
| Feb. 7, 2011 | Daniel Viola, Partner, Sadis & Goldberg LLP, New York, New York |
| Feb. 7, 2011 | Andrew Downes, Managing Director, and Bert Fuqua, Managing Director, UBS Securities LLC, Stamford, Connecticut |
| Feb. 6, 2011 | Cravath, Swaine & Moore LLP |
| Jan. 27, 2011 | Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA, Washington, District of Columbia |
| Jan. 26, 2011 | David G. Downey, CEO, OneChicago, LLC, Chicago, Illinois |
| Jan. 24, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Jan. 24, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Jan. 22, 2011 | Naphtali M. Hamlet, Investor, Seattle, Washington |
| Jan. 18, 2011 | Roger Liddell, Chief Executive Officer, LCH.Clearnet Group Limited |
| Jan. 18, 2011 | Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc., and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Jan. 18, 2011 | Beckwith B. Miller, CEO, Ethics Metrics LLC |
| Jan. 18, 2011 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
| Jan. 18, 2011 | Martin Chavez, Managing Director, Goldman, Sachs & Co., New York, New York |
| Jan. 18, 2011 | Craig Donohue, CEO, CME Group Inc. |
| Jan. 18, 2011 | Lee H. Olesky, Chief Executive Officer, and Douglas Friedman, General Counsel, Tradeweb Markets LLC, New York, New York |
| Jan. 18, 2011 | Julian Harding, Chairman, Wholesale Markets Brokers' Association, Americas, Hartford, Connecticut |
| Jan. 18, 2011 | Gus Sauter, Managing Director and Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard, Malvern, Pennsylvania |
| Jan. 18, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation, New York, New York |
| Jan. 18, 2011 | Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Jan. 18, 2011 | Dennis M. Kelleher, President & CEO; Wallace C. Turbeville, Derivatives Specialist; and Stephen W. Hall, Securities Specialist; Better Markets, Inc. |
| Jan. 18, 2011 | R. Glenn Hubbard, Co-Chair; John L. Thornton, Co-Chair; and Hal S. Scott, Director; Committee on Capital Markets Regulation |
| Jan. 18, 2011 | Karrie McMillan, General Counsel, Investment Company Institute |
| Jan. 14, 2011 | Adam Litke, Bloomberg L.P. |
| Jan. 13, 2011 | Laurel Leitner, Senior Analyst, Council of Institutional Investors |
| Jan. 13, 2011 | Memorandum on Block Trades Analysis from the Division of Risk, Strategy and Financial Innovation |
| Jan. 12, 2011 | Jeremy Barnum, Managing Director, and Don Thompson, Managing Director and Associate General Counsel, J.P.Morgan |
| Jan. 11, 2011 | Davis Polk & Wardwell LLP, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Société Générale and UBS AG |
| Jan. 1, 2011 | Suzanne H. Shatto, Vancouver, Washington |
| Dec. 16, 2010 | Representative Spencer Bachus, Ranking Member, House Committee on Financial Services and Representative Frank Lucas, Ranking Member, House Committee on Agriculture |
| Dec. 3, 2010 | Chris Barnard, Germany |
| Nov. 23, 2010 | Laura J. Schisgall, Managing Director and Senior Counsel, Societe Generale Corporate & Investment Banking |
| Nov. 19, 2010 | Julian Harding, Chairman, Wholesale Markets Brokers' Association, Americas |
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 |
| Jul. 17, 2012 | Memorandum from the Division of Trading and Markets regarding a July 17, 2012, meeting with representatives of Markit, MarkitSERV, and Latham & Watkins |
| Jun. 25, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a June 19, 2012, meeting with representatives of UBS |
| Mar. 7, 2012 | Memorandum from the Division of Trading and Markets regarding a March 1, 2012, meeting with representatives of Interactive Data Corporation on reporting issues in the SBSR Rule Proposal |
| Mar. 7, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a March 7, 2012, meeting with representatives of DTCC |
| Feb. 2, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA |
| Dec. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with a representative of ICAP |
| Dec. 7, 2011 | Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of the Securities Industry and Financial Markets Association |
| Nov. 18, 2011 | Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with a representative of ICAP |
| Nov. 8, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a November 1, 2011, meeting with representatives from the Securities Industry and Financial Markets Association and JP Morgan Chase & Co. |
| Nov. 7, 2011 | Memorandum from the Office of Commissioner Walter regarding a November 4, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| Jun. 29, 2011 | Memorandum from the Office of Commissioner Paredes regarding a June 29, 2011, meeting with representatives of Bank of America |
| Jun. 23, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs |
| Jun. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a June 15, 2011, meeting with representatives from the Depository Trust & Clearing Corporation and the Financial Industry Regulatory Authority, Inc. |
| Jun. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a June 8, 2011, meeting with representatives from GS 1 US, Inc., et al. |
| May 26, 2011 | Memorandum from the Division of Trading and Markets regarding a May 25, 2011, meeting with representatives from the Depository Trust & Clearing Corporation (DTCC) et al. |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from the Depository Trust & Clearing Corporation (DTCC) |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011, telephonic meeting with representatives of Markit |
| Apr. 28, 2011 | Memorandum from the Office of Commissioner Paredes regarding an April 28, 2011, meeting with representatives of Goldman Sachs |
| Apr. 27, 2011 | Memorandum from the Division of Trading and Markets regarding materials received from Allan D. Grody, Financial InterGroup Advisors and Financial InterGroup Holdings Ltd. |
| Apr. 22, 2011 | Memorandum from the Division of Trading and Markets regarding an April 21, 2011, meeting with representatives of the Depository Trust & Clearing Corporation (DTCC) |
| Apr. 22, 2011 | Memorandum from the Division of Trading and Markets regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association (ISDA) |
| 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. 12, 2011 | Memorandum from the Division of Trading and Markets regarding an April 6, 2011 meeting with Karla McKenna, Chair, TC68 (Financial Services), International Organization for Standardization |
| Mar. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a March 16, 2011, meeting with representatives of Better Markets, Inc. |
| Mar. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a March 16, 2011, telephonic meeting with Ed Rosen and Bob Colby on foreign bank issues |
| Mar. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association |
| Mar. 2, 2011 | Memorandum from the Office of Commissioner Paredes regarding a March 1, 2011, meeting with representatives of Nomura |
| Feb. 24, 2011 | Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc. |
| Feb. 21, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies |
| Feb. 14, 2011 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 4, 2011, meeting with representatives of Barclays |
| Feb. 10, 2011 | Memorandum from the Division of Trading and Markets regarding a January 27, 2011, meeting of the OTC Derivatives Supervisors Group (ODSG) with major participants in the OTC derivatives market |
| Feb. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone meeting with Ed Rosen of Cleary Gottlieb Steen & Hamilton LLP |
| Feb. 3, 2011 | Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Barclays Capital |
| Feb. 3, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Barclays Capital |
| Feb. 1, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 31, 2011, meeting with representatives of Nomura |
| Jan. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a January 20, 2011 telephone meeting with representatives of Trade Information Warehouse |
| Jan. 18, 2011 | Memorandum from the Division of Trading and Markets regarding a January 13, 2011 meeting with representatives of Markit |
| Jan. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with foreign bank representatives |
| Jan. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with representatives of Barclays |
| Jan. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a December 10, 2010, telephone meeting with Cleary Gottlieb Steen & Hamilton LLP, et al. |
| Jan. 11, 2011 | Memorandum from the Office of the Chairman regarding a January 5, 2011 meeting with representatives of Morgan Stanley |
| Jan. 11, 2011 | Memorandum from the Office of the Chairman regarding a January 10, 2011 meeting with representatives of Credit Suisse |
| Jan. 11, 2011 | Memorandum from the Division of Trading and Markets regarding a January 11, 2011, telephone meeting with representatives of Trade Information Warehouse |
| Dec. 22, 2010 | Memorandum from the Division of Trading and Markets regarding a December 20, 2010, meeting with representatives of Trade Information Warehouse |
| Dec. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the Managed Funds Association (MFA) |
| 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 Troy A. Paredes regarding a November 18, 2010, meeting with representatives of PIMCO |
| Nov. 23, 2010 | Memorandum from the Division of Investment Management regarding a November 23, 2010, meeting with representatives of the Managed Funds Association |
| Nov. 18, 2010 | Memorandum from the Office of the Chairman regarding a November 18, 2010, meeting with representatives of ISDA |
http://www.sec.gov/comments/s7-34-10/s73410.shtml
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