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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]


Submitted Comments

(Click here for meetings with SEC officials)
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
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
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
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
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


Submitted Comments

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

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


Modified: 11/22/2013