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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. S7-40-11]
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(Click here for meetings with SEC officials)
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| Nov. 25, 2014 | Americans for Financial Reform |
| Sep. 10, 2014 | Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York |
| Sep. 5, 2013 | Memorandum from the Division of Trading and Markets regarding the September 2, 2013, publication of Basel-IOSCO paper: Margin Requirements for Non-Centrally Cleared Derivatives |
| Sep. 3, 2013 | Matti Leppälä, Secretary General/CEO, PensionsEurope |
| Aug. 22, 2013 | Americans for Financial Reform |
| Aug. 21, 2013 | Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and Fady Zeidan, Acting Deputy/General Counsel, International Finance Corporation |
| Aug. 21, 2013 | Futures and Options Association, London, United Kingdom |
| Aug. 21, 2013 | Kenneth E. Bentsen, Jr., President, SIFMA; Walt Lukken, President & Chief Executive Officer, Futures Industry Association; and Richard M. Whiting, Executive Director and General Counsel,
The Financial Services Roundtable |
| Aug. 21, 2013 | Per Sjöberg, Chief Executive Officer, TriOptima AB and Christoffer Mohammar, General Counsel, TriOptima AB |
| Aug. 21, 2013 | Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation |
| Aug. 21, 2013 | Jeff Gooch, Head of Processing, Markit, Chair and CEO, MarkitSERV |
| Aug. 21, 2013 | Agricultural Retailers Association, Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, National Association of Manufacturers, and
U.S. Chamber of Commerce |
| Aug. 21, 2013 | Kathleen Cronin, Senior Managing Director, General Counsel, CME Group Inc. |
| Aug. 21, 2013 | Sarah A. Miller, Chief Executive Officer, Institute of International Bankers |
| Aug. 21, 2013 | Sullivan & Cromwell LLP |
| Aug. 21, 2013 | Sřren Elbech, Treasurer, lnter-American Development Bank and Jorge Alers, General Counsel, lnter-American Development Bank |
| Aug. 21, 2013 | Karrie McMillan, General Counsel, Investment Company Institute and Dan Waters, Managing Director, ICI Global |
| Aug. 21, 2013 | Dennis M. Kelleher,President & CEO, Better Markets, Inc.; Stephen W. Hall,Securities Specialist, Better Markets, Inc.; and Katelynn 0. Bradley, Attorney, Better Markets, Inc. |
| Aug. 21, 2013 | Monique S. Botkin, Associate General Counsel, Investment Adviser Association |
| Aug. 21, 2013 | Patrick Pearson, European Commission |
| Aug. 21, 2013 | Dr. Lutz-Christian Funke, Senior Vice President, KfW and Dr. Frank Czichowski, Senior Vice President and Treasurer, KfW |
| Aug. 21, 2013 | Koichi lshikura, Executive Chief of Operations for International Headquarters, Japan Securities Dealers Association |
| Aug. 20, 2013 | Bruce Stern, Association of Financial Guaranty Insurers |
| Aug. 20, 2013 | Ernst-Albrecht Brockhaus, Member of the Management
Board, and Dr. Nico Zachert, Authorized Signatory, Legal/Compliance, FMS Wertmanagement |
| Aug. 19, 2013 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association |
| Aug. 15, 2013 | Jonathan B. Kindred and Shigesuke Kashiwagi, Co-chairs, Japan Financial Markets Council |
| Aug. 8, 2013 | Masaaki Tanaka, Deputy President, Mitsubishi UFJ Financial Group, Inc. |
| Aug. 8, 2013 | Kevin Nixon, Managing Director, Institute of International Finance |
| Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Jul. 22, 2013 | Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers |
| Jul. 15, 2013 | Chris Barnard, Germany |
| 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
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jul. 16, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a July 16, 2015, meeting with representatives of Nomura |
| Jul. 2, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a June 30, 2015, meeting with a representative of Nomura |
| Jun. 18, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Mar. 12, 2015 | Memorandum from the Division of Trading and Markets regarding a March 12, 2015, meeting with representatives of Cadwalader, Wickersham & Taft LLP |
| Aug. 14, 2014 | Memorandum from the Division of Trading and Markets regarding an August 12, 2014, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc. |
| Nov. 20, 2013 | Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC |
| Nov. 4, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers |
| Oct. 1, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC |
| Sep. 18, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform |
| Sep. 13, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets |
| Jun. 24, 2013 | Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association |
| Jun. 18, 2013 | Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness |
| Jun. 18, 2013 | Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA |
| Jun. 18, 2013 | Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the Institute of International Bankers |
| Jun. 11, 2013 | Memorandum from the Division of Trading and Markets regarding a June 11, 2013, meeting with representatives of Bank of America |
| Jun. 11, 2013 | Memorandum from the Office of Commissioner Paredes regarding a June 11, 2013, meeting with representatives of Bank of America Merrill Lynch |
| 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: Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
[Release No. 34-65543; File No. S7-40-11]
See also: Comments on File No. S7-02-13, Cross-Border Security-Based Swap Activities, and Comments on File No. S7-34-10, Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information
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| Dec. 19, 2011 | Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Katelynn O. Bradley, Attorney, Better Markets, Inc. |
| Dec. 16, 2011 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association |
| Oct. 24, 2011 | Chris Barnard, Germany |
| Oct. 17, 2011 | David Brooke |
Meetings with SEC Officials
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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 |
| Apr. 3, 2012 | Memorandum from the Office of the Chairman regarding an April 3, 2012, meeting with representatives of Société Générale |
| Feb. 2, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA |
| Dec. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a December 13, 2011, phone call with representatives of Better Markets, Inc. |
http://www.sec.gov/comments/s7-40-11/s74011.shtml
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