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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]
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| 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]
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| 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
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| 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
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