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Comments on Policy Statement:
Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities

[Release No. 34-49804; File No. S7-22-04]

  • Richard M. Whiting, Executive Director & General Counsel, The Financial Services Roundtable, October 25, 2005 (File name: s72204-23.pdf)
     
  • Memorandum from the Division of Market Regulation regarding a December 8, 2004 meeting with representatives of Goldman Sachs, dated December 14, 2004 (File name: gsmemo121404.pdf)
     
  • Memorandum from the Division of Market Regulation regarding a September 27, 2004 meeting with representatives of the Financial Services Roundtable, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission, dated October 6, 2004 (File name: fsr092704.pdf)
     
  • Memorandum from the Division of Market Regulation regarding a September 2, 2004 meeting with representatives from the Bond Market Association, Securities Industry Association, International Swaps and Derivatives Association, Bear Stearns, Morgan Stanley, Credit Suisse First Boston, Merrill Lynch, Lehman Brothers, Goldman Sachs and Cleary, Gottlieb, Steen & Hamilton, dated September 22, 2004 (File name: bmaothers090204.pdf)
     
  • Memorandum from the Division of Market Regulation regarding a meeting with Institute of International Bankers and bank representatives, September 22, 2004 (File name: iib092204.pdf)
     
  • Gary Walker, September 3, 2004 (File name: s72204-19.pdf)
     
  • Ernst & Young LLP, July 19, 2004 (File name: ernstyoung071904.pdf)
     
  • Vernon H.C. Wright, Chairman, American Securitization Forum (MBNA America Bank); Greg Medcraft, Deputy Chairman, American Securitization Forum (Société Générale Securities Corp.); and Jason H.P. Kravitt, Secretary, American Securitization Forum; Chairman of the Legal, Regulatory, Accounting and Tax Committee of the ASF, Mayer, Brown, Rowe & Maw LLP, July 19, 2004 (File name: wmk071904.pdf)
     
  • Robert Khuzami, General Counsel-Americas, Deutsche Bank A.G. and Michael L. Kadish, Senior Counsel, Deutsche Bank A.G., July 19, 2004 (File name: deutschbankag071904.pdf)
     
  • Jeffery P. Neubert, President and CEO, The Clearing House Association L.L.C., July 19, 2004 (File name: jneubert071904.pdf)
     
  • Jennifer M. Dirkin, The Northern Trust Company, July 19, 2004 (File name: s72204-14.pdf)
     
  • Robert Khuzami, General Counsel-Americas, Michael L. Kadish, Senior Counsel, Deutsche Bank A.G., July 19, 2004 (File name: s72204-15.pdf)
     
  • John H. Huffstutler, Associate General Counsel, Bank of America Corporation, July 19, 2004 (File name: bac071904.pdf)
     
  • Bruce C. Bennett, Covington & Burling, July 19, 2004 (File name: covingtonburling071904.pdf)
     
  • Paul Smith, Senior Counsel, American Bankers Association, July 19, 2004 (File name: aba071904.pdf)
     
  • Micah Green, The Bond Market Association, Robert G. Pickel, International Swaps and Derivatives Association, Inc., Marc E. Lackritz, Securities Industry Association, July 19, 2004 (File name: bma071904.pdf)
     
  • David J. Greenwald, Managing Director and Deputy General Counsel, Robin Roger, Managing Director and General Counsel, Securities, Morgan Stanley & Co. Incorporated and Goldman, Sachs & Co., July 19, 2004 (File name: gsc071904.pdf)
     
  • Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable, July 19, 2004 (File name: fsr071904.pdf)
     
  • Lawrence R. Uhlick, Executive Director and General Counsel, Institute of International Bankers, July 19, 2004 (File name: iib071904.pdf)
     
  • BMO Financial Group, July 19, 2004 (File name: bmo071904.pdf)
     
  • Citigroup Inc., July 19, 2004 (File name: citigroup071904.pdf)
     
  • Peter Beales, Director and Secretary, London Investment Banking Association, July 18, 2004 (File name: liba071804.pdf)
     
  • Janet L. Burak, HSBC North America Holdings Inc., July 16, 2004 (File name: hsbcnah071604.pdf)
     
  • KPMG, LLP, July 14, 2004 (File name: kpmg071404.pdf)
     
  • Memorandum from the Division of Market Regulation regarding a July 12, 2004 telephone conference with representatives of Morgan Stanley, dated July 27, 2004 (File name: morganstanley072704.pdf)
     
  • Deloitte & Touche LLP, June 18, 2004 (File name: deloitte061804.pdf)
     
  • Michael McKee, Executive Director, Wholesale Banking and Regulation, British Bankers Association, June 18, 2004 (File name: bba061804.pdf)
     
  • American Bankers Association, America's Community Bankers, International Swaps and Derivatives Association, Securities Industry Association, The Bond Market Association, The Clearing House, The Financial Services Roundtable, The Risk Management Association, June 10, 2004 (File name: 8agencies061004.pdf)
     
  • Stephen A. Boyko, President, Global Market Thoughtware, Inc., June 9, 2004 (File name: saboyko060904.pdf)
     

 

http://www.sec.gov/rules/policy/s72204.shtml


Modified: 10/16/2014