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Comments on Prohibition against Conflicts of Interest in Certain Securitizations

[Release No. 34-65355; File No. S7-38-11]


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 7, 2012 Som-lok Leung, Executive Director, The International Association of Credit Portfolio Managers
Jun. 28, 2012 Som-lok Leung, Executive Director, The International Association of Credit Portfolio Managers
Jun. 28, 2012 Gary Wee, Chief Investment Officer, Orchard Global Asset Management, Singapore
Jun. 20, 2012 Ruulke Bagijn, CIO, Private Markets, PGGM Investments
May 21, 2012 BlueCrest Capital Management (UK) LLP
Mar. 15, 2012 Akshat Tewary, Esq., New York, New York
Feb. 13, 2012 John R. Gidman, Association of Institutional Investors
Feb. 13, 2012 Chris Ballinger, Group Vice President and Chief Financial Officer, Toyota Motor Credit Corporation
Feb. 13, 2012 Tom Deutsch, Executive Director, American Securitization Forum
Feb. 13, 2012 Americans for Financial Reform
Feb. 13, 2012 Dennis M. Kelleher, President & CEO, Better Markets Inc.
Feb. 13, 2012 Stephen M. Renna, Chief Executive Officer, Commercial Real Estate (CRE) Finance Council
Feb. 13, 2012 Frank Polverino, Cadwalader, Wickersham & Taft LLP
Feb. 13, 2012 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Feb. 13, 2012 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee; Martin Fingerhut, Chair, Securitization and Structured Finance Committee
Feb. 13, 2012 David Arkush, Director, Public Citizen's Congress Watch; Eric Fish, Fellow, Public Citizen's Litigation Group
Feb. 13, 2012 Richard Hopkin, Managing Director, Association for Financial Markets in Europe (AFME); Nicholas de Boursac, Chief Executive Officer, Asia Securities Industry & Financial Markets Association (ASIFMA); Ruari Ewing, Director, Primary Markets, International Capital Market Association (ICMA)
Feb. 13, 2012 Karrie McMillan, General Counsel, Investment Company Institute (ICI)
Feb. 13, 2012 Richard A. Dorfman, Managing Director, Head of Securitization, The Securities Industry and Financial Markets Association (SIFMA); Christopher B. Killian, Managing Director, SIFMA
Feb. 10, 2012 Stacy D. Lavin, General Counsel on behalf of Northwest Farm Credit Services, FLCA
Feb. 10, 2012 James J. Hill, Managing Director, Morgan Stanley
Feb. 9, 2012 R. Bram Smith, Executive Director, The Loan Syndications & Trading Association (LSTA)
Feb. 9, 2012 Anonymous
Feb. 9, 2012 Salvatore P. Palazzolo, Deutsche Bank
Feb. 8, 2012 Mary Jane Sutliff
Feb. 6, 2012 Som-lok Leung, Executive Director, International Association of Credit Portfolio Managers
Feb. 3, 2012 Stef Zielezienski, Senior VP and General Counsel, American Insurance Association, and Tracey W. Laws, Senior Vice President & General Counsel, Reinsurance Association of America
Jan. 17, 2012 Stephen H. McElhennon, Vice President and Deputy General Counsel, Legal Department, Federal National Mortgage Association ("Fannie Mae")
Jan. 12, 2012 Senators Jeff Merkley and Carl Levin, U.S. Senate
Jan. 12, 2012 Kathleen G. Luckard, Los Angeles, California
Jan. 9, 2012 Hendrik R. Woods, Illinois
Dec. 29, 2011 Anonymous
Dec. 28, 2011 Mark Page, Director of Management and Budget, The City of New York, New York, New York
Dec. 23, 2011 James L. Nemec, Wausau, Wisconsin
Dec. 2, 2011 Akshat Tewary, Esq., New York, New York
Nov. 30, 2011 Frank J. Ricketson, Tow, Texas
Oct. 14, 2011 Olivier L. F. Asser, Lugano Capital Group
Oct. 11, 2011 Leah Rottke, El Cajon, California
Oct. 8, 2011 Suzanne H. Shatto, Seattle, Washington
Sep. 30, 2011 Chris Barnard, Germany
Sep. 28, 2011 Jeff Bohning, Hurst, Texas

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Nov. 7, 2013 Memorandum from the Division of Trading and Markets regarding a November 7, 2013 meeting with a representative of PGGM
Aug. 14, 2012 Memorandum from the Division of Trading and Markets regarding an August 14, 2012 call with members of the International Association of Credit Portfolio Managers (IACPM), Citigroup, Deutsche Bank and Sullivan & Cromwell
May 30, 2012 Memorandum from the Division of Trading and Markets regarding a May 30, 2012 conference call with representatives of the Federal Housing Finance Agency
May 14, 2012 Memorandum from the Division of Trading and Markets regarding a May 14, 2012 meeting with representatives from the Department of the Treasury and the Federal Housing Finance Agency
Apr. 25, 2012 Memorandum from the Division of Trading and Markets regarding an April 25, 2012 meeting with members of the International Association of Credit Portfolio Managers (IACPM), Citigroup, Deutsche Bank and Sullivan & Cromwell
Apr. 17, 2012 Memorandum from the Division of Trading and Markets regarding an April 17, 2012 meeting with members of SIFMA, Skadden, Bank of America, JP Morgan, Citi and Morgan Stanley
Dec. 14, 2011 Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of Morgan Stanley & Co., LLC and Cleary, Gottlieb, Steen & Hamilton

 

http://www.sec.gov/comments/s7-38-11/s73811.shtml

Modified: 11/19/2013