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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. S7-08-11]
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| Jul. 22, 2013 | Jeff Gooch, Head of Processing, Markit |
| Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Jul. 19, 2013 | Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois |
| 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
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| Oct. 19, 2015 | Memorandum from the Division of Trading and Markets regarding an October 19, 2015, meeting with representatives of Citadel and Delta Strategy Group |
| Jun. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Jun. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Feb. 10, 2015 | Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of Americans for Financial Reform |
| Nov. 22, 2013 | Memorandum from the Division of Trading and Markets regarding a November 22, 2013 conference call with representatives of the Depository Trust & Clearing Corporation |
Comments on Proposed Rule: Clearing Agency Standards for Operation and Governance
[Release No. 34-64017; File No. S7-08-11]
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(Click here for meetings with SEC officials)
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| Jul. 26, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Jul. 21, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation |
| Jul. 15, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Jul. 7, 2011 | Mark Beeston, Chief Executive Officer, Portfolio Risk Services, ICAP plc, London, United Kingdom |
| Jun. 3, 2011 | James Cawley, Co-Founder, Swaps & Derivatives Market Association |
| May 6, 2011 | American Benefits Council |
| May 5, 2011 | Norman M. Reed, General Counsel, Omgeo LLC |
| Apr. 29, 2011 | Ernst & Young LLP |
| Apr. 29, 2011 | Larry E. Thompson, General Counsel, The Depository Trust & Clearing Corporation |
| Apr. 29, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Apr. 29, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Apr. 29, 2011 | R. Trabue Bland, IntercontinentalExchange, Inc. |
| Apr. 29, 2011 | Joanne T. Medero, Managing Director, Richard Prager and
Supurna VedBrat, BlackRock, Inc., San Francisco, California |
| Apr. 29, 2011 | Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc. |
| Apr. 29, 2011 | Christoffer Mohammar, General Counsel, TriOptima Group |
| Apr. 29, 2011 | Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc. |
| Apr. 29, 2011 | William H. Navin, Executive Vice President and General Counsel, The Options Clearing Corporation |
| Apr. 29, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Apr. 29, 2011 | Craig Donohue, Chief Executive Officer, CME Group, Inc |
| Apr. 28, 2011 | Ian Axe, CEO, LCH.Clearnet Group |
| Apr. 14, 2011 | Glenn Davis, Council of Institutional Investors, Washington, District of Columbia |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Mar. 21, 2011 | Chris Barnard, Germany |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Mar. 28, 2013 | Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA |
| Jan. 30, 2013 | Memorandum regarding a January 30, 2013, meeting with representatives of MarkitSERV |
| Oct. 26, 2012 | Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs) |
| Aug. 16, 2012 | Memorandum from the Office of Commissioner Aguilar regarding an August 13, 2012, telephonic meeting with a representative of ICAP plc |
| Apr. 17, 2012 | Memorandum from the Division of Trading and Markets regarding the April 16, 2012, publication of the CPSS-IOSCO FMI Report |
| 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. |
| Feb. 1, 2012 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 1, 2012, meeting with representatives of Citadel |
| Nov. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase |
| Oct. 21, 2011 | Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties |
| Oct. 5, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Markit, MarkitSERV, DTCC and Latham & Watkins |
| Sep. 29, 2011 | Memorandum from the Division of Trading and Markets regarding a September 29, 2011 meeting with representatives of LCH.Clearnet and The Rich Feuer Group |
| Sep. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association |
| Sep. 8, 2011 | Memorandum from the Office of Commissioner Walter regarding a September 8, 2011, meeting with representatives from ICAP |
| Jul. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Omgeo |
| Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC |
| Jun. 20, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P. |
| Jun. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC |
| Jun. 10, 2011 | Memorandum from the Division of Trading and Markets Regarding a Meeting with Representatives of TriOptima, Clifford Chance LLP and Delta Strategy Group |
| Jun. 8, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from The Depository Trust Clearing Corporation |
| Jun. 6, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Markit, MarkitSERV, The Depository Trust & Clearing Corporation and Winston & Strawn LLP |
| Jun. 6, 2011 | Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP |
| May 19, 2011 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 17, 2010 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011 Meeting with Representatives of ICAP and Patton Boggs LLP |
| May 11, 2010 | Memorandum from the Division of Trading and Markets regarding a May 11, 2011 Telephone Call with Representatives of TriOptima |
| 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. 28, 2010 | Memorandum from the Office of Commissioner Paredes regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer 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 |
| Apr. 14, 2010 | Memorandum from the Division of Trading and Markets regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group |
| Apr. 12, 2010 | Memorandum from the Division of Trading and Markets regarding an April 12, 2011 meeting with representatives of The Options Clearing Corporation |
| Apr. 7, 2010 | Memorandum from the Division of Trading and Markets regarding an April 7, 2011 telephone call with representatives of The Depository Trust Clearing Corporation |
| Apr. 4, 2010 | Memorandum from the Division of Trading and Markets regarding an April 4, 2011 telephone call with representatives of The Depository Trust Clearing Corporation |
| Mar. 29, 2010 | Memorandum from the Division of Trading and Markets regarding a March 29, 2011 meeting with representatives of MarkitSERV, Markit, The Depository Trust Clearing Corporation and Winston & Strawn |
| Mar. 21, 2010 | Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC |
| Mar. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association |
http://www.sec.gov/comments/s7-08-11/s70811.shtml
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