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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. S7-35-10]


Submitted Comments

Nov. 19, 2013 Kim Taylor, General Counsel, CME Group, and Kara L. Dutta, President, Clearing ICE Trade Vault, LLC
Oct. 18, 2013 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Sep. 23, 2013 Kara L. Dutta, Assistant General Counsel, ICE Trade Vault, LLC
Jul. 22, 2013 Larry E. Thompson, General Counsel, The Depository Trust & Clearing Corporation
Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jun. 28, 2013 Stephen P. O'Connor, Chairman, and Robert G. Pickel, Chief Executive Officer, ISDA
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. 20, 2014 Memorandum from the Division of Trading and Markets regarding a July 22, 2014, meeting with representatives of ICE Trade Vault
Aug. 8, 2014 Memorandum from the Division of Trading and Markets regarding an August 7, 2014, meeting with representatives of Markit
Feb. 3, 2014 Memorandum from the Division of Trading and Markets regarding a January 31, 2014, meeting with representatives of Bloomberg
Jan. 14, 2014 Memorandum from the Division of Trading and Markets regarding a January 9, 2014, meeting with representatives of DTCC
Jan. 14, 2014 Memorandum from the Commission's Division of Trading and Markets regarding an October 16, 2013, meeting with representatives of ICE Trade Vault and CME Group
Oct. 30, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 30, 2013, meeting with representatives of IntercontinentalExchange, Inc. (ICE)
Oct. 29, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013, meeting with representatives of ICE Trade Vault
Aug. 28, 2013 Memorandum from the Division of Trading and Markets regarding an August 28, 2013, meeting with representatives of ICE Trade Vault
Jul. 26, 2013 Memorandum from the Division of Trading and Markets regarding a July 26, 2013, phone meeting with representatives of CME Global Repository Services
May 22, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs

 

Comments on Proposed Rule: Security-Based Swap Data Repository Registration, Duties, and Core Principles

See also: Comments on Dodd-Frank Act Title VII, Swap Data Repositories

[Release No. 34-63347; File No. S7-35-10]


May 14, 2013 Chris Barnard, Germany

 

[Release No. 34-63347; File No. S7-35-10]


Submitted Comments

(Click here for meetings with SEC officials)
Dec. 22, 2011 Christoffer Mohammar, General Counsel, TriOptima Group
Jul. 21, 2011 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Jun. 3, 2011 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Jan. 24, 2011 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation, New York, New York
Jan. 24, 2011 Jeff Gooch, Chief Executive Officer, MarkitSERV
Jan. 24, 2011 Kevin Gould, President, Markit North America, Inc.
Jan. 24, 2011 Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist; Better Markets, Inc.
Jan. 24, 2011 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Jan. 18, 2011 Beckwith B. Miller, CEO, Ethics Metrics LLC
Jan. 17, 2011 Carlos Tavares, Vice-Chairman, European Securities and Markets Authority
Dec. 7, 2010 Raymond J. Dorado , Executive Vice President & Deputy General Counsel, BNY Mellon
Dec. 6, 2010 Ralph S. Saul
Nov. 15, 2010 Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation

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)
Mar. 7, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a March 7, 2012, meeting with representatives of DTCC
Oct. 24, 2011 Memorandum from the Division of Trading and Markets regarding a September 20, 2011, meeting with representatives from Trade Information Warehouse
Oct. 21, 2011 Memorandum from the Division of Trading and Markets regarding an October 4, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain trade repositories
Jun. 23, 2011 Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs
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 19, 2011 Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
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
Mar. 29, 2010 Memorandum from the Division of Trading and Markets regarding a March 29, 2011 meeting with representatives of MarkitSERV, Markit, The Depository Trust Clearing Corporation and Winston & Strawn
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.
Mar. 16, 2011 Memorandum from the Division of Trading and Markets regarding a March 16, 2011, meeting with representatives of Better Markets, Inc.
Mar. 14, 2011 Memorandum from the Division of Trading and Markets regarding a March 9, 2011, telephonic meeting with representatives of Trade Information Warehouse
Mar. 9, 2010 Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with 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. 24, 2011 Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc.
Feb. 14, 2011 Memorandum from the Division of Trading and Markets regarding a February 10, 2011, telephonic meeting with representatives of Trade Information Warehouse
Feb. 14, 2011 Memorandum from the Division of Trading and Markets regarding a February 7, 2011, meeting with representatives of Trade Information Warehouse
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 Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc.
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
Dec. 22, 2010 Memorandum from the Division of Trading and Markets regarding a December 20, 2010, meeting with representatives of Trade Information Warehouse

 

http://www.sec.gov/comments/s7-35-10/s73510.shtml

Modified: 11/21/2014