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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. S7-43-10]


Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jul. 18, 2013 Dr. Lutz-Christian Funke, Senior Vice President and Treasurer, and Dr. Frank Czichowski, Senior Vice President, KfW Bankengruppe, 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

 

Comments on Proposed Rule: End-User Exception to Mandatory Clearing of Security-Based Swaps

[Release No. 34-63556; File No. S7-43-10]


Submitted Comments

Sep. 30, 2011 Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers 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
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 22, 2011 Frank Iacono, Partner, Riverside Risk Advisors LLC
Feb. 22, 2011 Kenneth Bentsen, Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Feb. 22, 2011 Diana Preston, Vice President and Senior Counsel Center for Securities, Trust & Investments, American Bankers Association
Feb. 22, 2011 Susan Gaffney, Government Finance Officers Association, Washington, District of Columbia
Feb. 22, 2011 Timothy P. Selby, Chair, Committee on Futures and Derivatives Regulation, New York City Bar Association
Feb. 4, 2011 Tom Deutsch, Executive Director, American Securitization Forum
Feb. 4, 2011 Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist; Better Markets, Inc.
Feb. 4, 2011 Americans for Financial Reform
Feb. 4, 2011 Michael S. Edwards, Senior Assistant General Counsel, Credit Union National Association
Feb. 4, 2011 Gerald McEntee, President, American Federation of State, County and Municipal Employees
Feb. 4, 2011 Cravath, Swaine & Moore LLP
Jan. 27, 2011 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Jan. 24, 2011 Ralph S. Saul
Jan. 3, 2011 Chris Barnard, Germany
Dec. 16, 2010 Representative Spencer Bachus, Ranking Member, House Committee on Financial Services and Representative Frank Lucas, Ranking Member, House Committee on Agriculture

Meetings with SEC Officials

Feb. 6, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
May 10, 2010 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group
Apr. 14, 2010 Memorandum from the Office of Commissioner Walter regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group
Mar. 23, 2011 Memorandum from the Division of Trading and Markets regarding a March 23, 2011, meeting with representatives from the Credit Union National Association and Chevron Federal Credit Union
Mar. 18, 2011 Memorandum from the Division of Trading and Markets regarding a March 18, 2011 Meeting with Representatives of Chatham Financial
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
Jan. 20, 2010 Memorandum from the Division of Trading and Markets regarding a January 20, 2011 meeting with representatives of Citadel LLC
Jan. 12, 2011 Memorandum from the Division of Trading and Markets regarding a January 12, 2011 meeting with representatives of the National Association of Regulatory Utility Commissioners

 

http://www.sec.gov/comments/s7-43-10/s74310.shtml

Modified: 10/16/2014