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Comments on Study on Extraterritorial Private Rights of Action

[Release No. 34-63174; File No. 4-617]


Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type A: 5
Feb. 13, 2012 Christian J. Ward, J. Campbell Barker, Yetter Coleman LLP, on behalf of the Council of Institutional Investors
Jan. 12, 2012 Nancy K. Kopp, State Treasurer and Chairman, Board of Trustees, and R. Dean Kenderdine, Executive Director, Maryland Retirement and Pension System
Jan. 12, 2012 Andrew J. Entwhistle, Entwistle & Cappucci LLP
Jan. 11, 2012 Arkansas Public Employees' Retirement System, Arkansas State Police Retirement System, California Public Employees' Retirement System, California State Teachers' Retirement System, Colorado Public Employees' Retirement System, Connecticut Retirement Plans and Trust Funds, Delaware Public Employees' Retirement System, District of Columbia Retirement Board, Employees' Retirement System of Rhode Island, Illinois Municipal Retirement Fund, Municipal Employees' Retirement System of Michigan, National Conference on Public Employee Retirement Systems, New York City Employees' Retirement System, New York City Police Pension Fund, Teachers' Retirement System of the City of New York, New York Fire Department Pension Fund, Board of Education Retirement System of the City of New York, New York State Common Retirement Fund, New York State Teachers' Retirement System, North Carolina Department of State Treasurer, Oklahoma Firefighters Pension and Retirement System, Ohio Police and Fire Pension Fund, Public Employee Retirement System of Idaho, The State Board of Administration of Florida, Washington State Investment Board, West Virginia Investment Management Board
Jan. 10, 2012 Arkansas Public Employees' Retirement System, Arkansas State Police Retirement System, California Public Employees' Retirement System, California State Teachers' Retirement System, Colorado Public Employees' Retirement System, Connecticut Retirement Plans and Trust Funds, Delaware Public Employees' Retirement System, District of Columbia Retirement Board, Employees' Retirement System of Rhode Island, Illinois Municipal Retirement Fund, Municipal Employees' Retirement System of Michigan, National Conference on Public Employee Retirement Systems, New York City Employees' Retirement System, New York City Police Pension Fund, Teachers' Retirement System of the City of New York, New York Fire Department Pension Fund, Board of Education Retirement System of the City of New York, New York State Common Retirement Fund, New York State Teachers' Retirement System, North Carolina Department of State Treasurer, Oklahoma Firefighters Pension and Retirement System, Ohio Police and Fire Pension Fund, Public Employee Retirement System of Idaho, The State Board of Administration of Florida, Washington State Investment Board, West Virginia Investment Management Board
Jan. 5, 2012 Mark Willis, Spector Roseman Kodroff & Willis, PC
Jan. 4, 2012 Robert S. Van Der Volgen, Jr., Chief Counsel, Los Angeles County Employees Retirement Association
Dec. 20, 2011 Thomas P. DiNapoli, Comptroller, State of New York
Dec. 16, 2011 David Hirschmann, President and Chief Ixecutive Officer, Center for Capital Markets Competitiveness, and Lisa A. Rickard, President, U.S. Chamber Institute for Legal Reform, U.S. Chamber of Commerce
Dec. 16, 2011 Elaine Buckberg, Ph.D., Senior Vice President, and Max Gulker, Ph.D, Senior Consultant, NERA Economic Consulting, New York, New York
Dec. 13, 2011 Andrew J. Entwhistle, Entwistle & Cappucci LLP
Dec. 12, 2011 Amir N. Licht, Interdisciplinary Center Herzliya; Christopher Poliquin and Jordan I. Siegel, Harvard Business School; and Xi Li, Hong Kong University of Science and Technology
Dec. 7, 2011 David R. Scott, Scott+Scott LLP and Beth A. Kaswan, Scott+Scott LLP
Dec. 6, 2011 Richard Keery, Investment Manager, Strathclyde Pension Fund, Glasgow, UK
Nov. 28, 2011 Stephen H. Cypen, Cypen & Cypen
Nov. 23, 2011 Gregory W. Smith, Chief Operating Officer/General Counsel, Colorado Public Employees' Retirement Association
Nov. 15, 2011 Louis Gagnon, Professor of Finance, Queen's University, and G. Andrew Karolyi, Ph. D., Professor of Finance, Cornell University
Nov. 12, 2011 Ann Byrne, Chief Executive Officer, Australian Council of Superannuation Investors; Femke van't Groenewout, Senior Advisor Responsible Investment, PGGM Investments; Gerry Lane, Chief Operating Officer, MineworkersPension Scheme; Jeff Davis, Associate General Counsel, Ontario Teachers' Pension Plan; Richard Essex, Legal Counsel, Universities Superannuation Scheme; Daniel Summerfield, Co-Head Responsible Investment, Universities Superannuation Scheme; Richard Grottheim, CEO, and Anders Mansson, Legal Counsel, AP7; Leo Palmen, APG Algemene Pensioen Groep NV
Nov. 10, 2011 Brian J. Bartow, General Counsel, California State Teachers’ Retirement System
Jun. 13, 2011 George Conway, Wachtell, Lipton, Rosen & Katz
May 5, 2011 Dr. Carsten Gerner-Beuerle, Prof. Alain Pietrancosta, Prof. Peter Mankowski, and Lee D. Neumann
Apr. 8, 2011 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York
Mar. 18, 2011 Mary K. Blasy, Scott + Scott, LLP
Feb. 25, 2011 Skadden, Arps, Slate, Meagher & Flom LLP
Feb. 23, 2011 Manuel Sager, The Ambassador of Switzerland
Feb. 22, 2011 Jonathan Faull, Director-General, DG Markt, European Commission
Feb. 18, 2011 Ross Swanson, Chair, National Business Law Section, and Robert G. Patzelt, Q.C., Chair, Canadian Corporate Counsel Association, Canadian Bar Association
Feb. 18, 2011 Eli K. Peterson, Vice President and Regulatory Counsel, The Clearing House Association L.L.C.; Eli K. Peterson, Vice President and Regulatory Counsel, The Clearing House Association L.L.C.; and Cecelia A. Calaby, Executive Director and General Counsel, ABA Securities Association
Feb. 18, 2011 Prof. Dr. Ruediger von Rosen, Deutsches Aktieninstitut
Feb. 18, 2011 Wayne Kolins, BDO International Limited; Susan Yashar, Deloitte Touche Tohmatsu Limited; Trevor Faure, Ernst & Young Global Limited; Laurence P. Kehoe, Grant Thornton International Ltd; Tom Wethered, KPMG International; Javier H. Rubinstein, PricewaterhouseCoopers International Limited; Jean M. Stephens, RSM International Limited
Feb. 18, 2011 Joelle Simon, Mouvement des Entreprises de France; Heiko Willems, Federation of German Industries; Thomas Plescher and Jan Atteslander, Economiesuisse; Guido Ravoet, European Banking Federation; Sarah A. Miller, Institute of International Bankers; Heinrich Siegmann, Swiss Bankers Association
Feb. 18, 2011 Yael Almog, Senior Adviser to the Chairman and Director of International Affairs Dept., Israel Securities Authority
Feb. 18, 2011 Martin S. Kaufman, Senior Vice President and General Counsel, Atlantic Legal Foundation
Feb. 18, 2011 Peter Mixon, General Counsel, California Public Employees' Retirement System
Feb. 18, 2011 AGEST Superannuation Fund; Alecta pensionsförsäkring, ömsesidigt; AMF Fonder AB; AMF Pensionsförsäkring AB; APG Algemene Pensioen Groep N.V.; ASSETSuper Superannuation Fund; ATP - Arbejdsmarkedets Tillægspension; AUST (Q) Superannuation Fund; Australian Catholic Superannuation & Retirement Fund; Australian Institute of Superannuation Trustees; Australian Reward Investment Alliance; Australian Superannuation Fund; Australia’s Unclaimed Super Fund; AustSafe Superannuation Fund; AVSuper Superannuation Fund; Catholic Superannuation Fund; Construction & Building Industry Superannuation Fund; Danica Pension; Danske Invest Management A/S; Electricity Supply Industry Superannuation Fund; Emergency Services & State Superannuation Fund; Energy Industries Superannuation Scheme; FIL Investments International; FirstSuper Superannuation Fund; Folksam; Forsta AP-Founden; GMB Trade Union; Health Employees Superannuation Trust Australia; Health Superannuation Fund; HOSTPLUS Superannuation Fund; Industriens Pension; KLP Kapitalforvaltning; Labour Union Co-operative Retirement Fund; Legalsuper Superannuation Fund; Local Government Superannuation Scheme; Local Super (SA-NT) Superannuation Fund; Maritime Superannuation Fund; Media Superannuation Fund; Merseyside Pension Fund; Motor Trades Association of Australia Superannuation Fund; Non-Government Schools Superannuation Fund; Nordea Fondbolag Finland AB; Nordea Fondene Norge AS; Nordea Fonder AB; Nordea Investment Funds Company I S.A.; OMERS Administration Corporation; PFA Pension; PGGM Vermogensbeheer B.V. (PGGM Investments); Raiffiesien Capital Management; Retail Employees Superannuation Trust; Royal Mail Pension Plan; Sampension KP Livsforsikring A/S; SKAGEN A/S; Skandinaviska Enskilda Banken AB; SPEC Superannuation Fund; State Superannuation Scheme // SAS Trustee Corporation; Statewide Superannuation Fund; Sunsuper Superannuation Fund; Swedbank Robur Fonder AB; Syntrus Achmea; Tasplan Superannuation Fund; Telstra Superannuation Fund; The Australian Council of Superannuation Investors; TWUSUPER Superannuation Fund; UniSuper Superannuation Fund; Universities Superannuation Scheme; Varma Mutual Pension Insurance Company; VicSuper Superannuation Fund; VisionSuper Superannuation Fund
Feb. 18, 2011 Jordan I. Siegel, Associate Professor, Harvard University
Feb. 18, 2011 Leandro Perucchi
Feb. 18, 2011 The London Pensions Fund Authority; Wirral MBC on Behalf of the Merseyside Pension Fund; Mn Services Vermogensbeheer B.V.; The Council of the Borough of South Tyneside Acting in Its Capacity as the Administering Authority of the Tyne And Wear Pension Fund; City of Bradford Metropolitan District Council as the Administering Authority for the West Yorkshire Pension Fund; Wolverhampton City Council, Administering Authority for the West Midlands Metropolitan Authorities Pension Fund
Feb. 18, 2011 Vivendi, S.A.
Feb. 18, 2011 David Hirschmann, President and Chief Executive Officer, U.S. Chamber of Commerce Center for Capital Markets Competitiveness and Lisa Rickard, President, U.S. Chamber Institute for Legal Reform
Feb. 18, 2011 Bruce Raynor, Chairman of the Board of Trustees, Consolidated Retirement Fund
Feb. 18, 2011 Law Society of England Wales and the City of London Law Society
Feb. 18, 2011 Comments by Forty-Two Law Professors
Feb. 18, 2011 Jeffrey Dong, Chief Treasury Officer, City and County of Swansea Pension Fund
Feb. 18, 2011 Mrs. Joanne Hope, Pensions Manager, North East Scotland Pension Fund
Feb. 18, 2011 Dave Howes, London Borough of Southwark
Feb. 18, 2011 Wiltshire Pension Fund
Feb. 18, 2011 National Association of Shareholder and Consumer Attorneys
Feb. 18, 2011 George A Karolyi, Ph.D., Professor of Finance, Cornell University
Feb. 18, 2011 Julie E. Becker, Ohio Public Employees Retirement System; William J. Neville, State Teachers Retirement System of Ohio; Mary Beth Foley, Ohio Police and Fire Pension Fund; Joseph M. Maroth, School Employees Retirement System of Ohio; Dan Weiss, Ohio Highway Patrol Retirement System
Feb. 18, 2011 Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA) and Lorraine Charlton, Managing Director and General Counsel, Association for Financial Markets in Europe (AFME)
Feb. 18, 2011 Hannah L. Buxbaum, Indiana University Maurer School of Law
Feb. 18, 2011 Brian Bartow, General Counsel, California State Teachers' Retirement System; Cynthia Collins, General Counsel, Delaware Public Employees' Retirement System; Jay Chaudhuri, General Counsel, North Carolina Department of State Treasurer; R. Dean Kenderdine, Executive Director, Maryland State Retirement and Pension System; Greg Smith, General Counsel & COO, Colorado Public Employees' Retirement System; Maureen Hazen, General Counsel, State Board of Administration of Florida; Catherine LaMarr, General Counsel, Connecticut Treasurer's Office; Gerald Gornish, Chief Counsel, Pennsylvania Public School Employees' Retirement System; Mark Dingley, General Counsel, Rhode Island General Treasurer; Michael G. Trotsky, Executive Director, Pension Reserves Investment Management Board, Commonwealth of Massachusetts; Samuel S. Yun, Acting Chief Counsel, Pennsylvania State Employees' Retirement System; Inga Van Eysden, Chief, Pensions Division, New York City Law Department, New York City Employees' Retirement System, New York City Police Pension Fund, Teachers' Retirement System of the City of New York, New York Fire Department Pension Fund, Board of Education Retirement System of the City of New York; Hank Kim, Executive Director and Counsel, National Conference on Public Employees Retirement System; Craig Slaughter, Executive Director, West Virginia Investment Management Board
Feb. 18, 2011 Klaus Botzet, Legal Adviser and Consul General, Embassy of the Federal Republic of Germany, Washington
Feb. 18, 2011 Thomas P. DiNapoli, New York State Comptroller
Feb. 18, 2011 Susannah Haan, Secretary General, Europeanissuers
Feb. 18, 2011 R. Dean Kenderdine, Executive Director, Maryland State Retirement and Pension System
Feb. 18, 2011 Adrian Hood, Regulatory Adviser, Investment Management Association, London
Feb. 18, 2011 Prof. Dr. Rüdiger von Rosen, Managing Director, Deutsches Aktieninstitut
Feb. 18, 2011 John Davidson, General Counsel and Group Company Secretary, SABMiller plc and Chair of the GC100, the Association of General Counsel and Company Secretaries of the UK FTSE 100
Feb. 18, 2011 Australian Government
Feb. 17, 2011 Jeremy A. Lieberman, Esq., Pomerantz Haudek Grossman & Gross LLP
Feb. 17, 2011 Ira M. Press, Kirby McInerney LLP
Feb. 17, 2011 Jeff Mahoney, General Counsel, Council of Institutional Investors
Feb. 17, 2011 James B. Heaton, III, Bartlit Beck Herman Palenchar & Scott LLP
Feb. 17, 2011 Government of France
Feb. 17, 2011 Richard W. Painter, S. Walter Richey Professor of Corporate Law, University of Minnesota Law School
Feb. 17, 2011 White & Case LLP
Feb. 17, 2011 T. B. White, Devon County Council Pension Fund
Feb. 17, 2011 Mike Jensen, Lancashire County Pension Fund
Feb. 17, 2011 Anthony Dodridge, Hampshire Pension Fund
Feb. 17, 2011 Fiona Miller, Senior Manager, Technical Finance, Cumbria Local Government Pension Scheme
Feb. 15, 2011 Richard Keery, Investment Manager, Strathclyde Pension Fund
Feb. 15, 2011 Alexander Reus, Managing Partner, DRRT
Feb. 11, 2011 Jonathan Taylor, Managing Director, Financial Services and Stability, HM Treasury, UK Government
Feb. 3, 2011 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Jan. 26, 2011 Jean-Pierre Jouyet, Autorité des Marchés Financier, Paris, France
Jan. 14, 2011 Sunil Kumar Taparia

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Feb. 10, 2012 Memorandum from the Office of the Chairman regarding a February 10, 2012, meeting with representatives of the Council of Institutional Investors
Nov. 15, 2011 Memorandum from the Office of the Chairman regarding a November 15, 2011, meeting with representatives of the Colorado Public Employees' Retirement Association and California State Teachers' Retirement System
Nov. 1, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2011, meeting with representatives of the California State Teachers’ Retirement System, the North Carolina State Treasurer’s Office, and the Colorado Public Employees’ Retirement Association
Nov. 1, 2011 Memorandum from the Office of Commissioner Troy A. Paredes regarding a November 1, 2011, meeting with representatives of the California State Teachers’ Retirement System, the North Carolina State Treasurer’s Office, and the Colorado Public Employees’ Retirement Association
Jul. 13, 2011 Memorandum from the Office of the General Counsel regarding a July 13, 2011, meeting with representatives of the Consumer Federation of America and the AFL-CIO
Jul. 13, 2011 Memorandum from the Office of Commissioner Troy A. Paredes regarding a July 13, 2011, meeting with representatives of PGGM, AP7, Australian Council of Super Investors, Universities Superannuation Scheme, Setterwalls, and Coal Pension Trustees Limited
Jul. 12, 2011 Memorandum from the Office of the Chairman regarding a July 12, 2011, meeting with representatives of the Consumer Federation of America and the AFL-CIO
Jul. 12, 2011 Memorandum from the Office of the Chairman regarding a July 12, 2011, meeting with representatives of European Pension Funds
Jul. 12, 2011 Memorandum from the Office of the General Counsel regarding a July 12, 2011, meeting with representatives of European pension funds
Jul. 12, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 12, 2011, meeting with representatives of PGGM, AP7, Universities Superannuation Scheme, Ontario Teachers' Pension Plan, APG, and Coal Pension Trustees Limited
May 3, 2011 Memorandum from the Office of the General Counsel regarding attendance at the American Law Institute Conference on the Extraterritorial Application of Federal Securities Law
May 3, 2011 Memorandum from the Office of Commissioner Walter regarding a May 3, 2011 meeting with representatives of the Swiss Bankers Association
Apr. 8, 2011 Memorandum from the Office of Commissioner Paredes regarding an April 8, 2011 meeting with representatives of the US Chamber Institute for Legal Reform, US Chamber Center for Capital Markets Competitiveness, and Gray & Schmitz, LLP
Apr. 5, 2011 Memorandum from the Office of the General Counsel regarding an April 5, 2011 meeting with representatives of public pension funds

Data Set For Appendix B to 929Y Study

Mar. 26, 2012 The data that the Division of Risk, Strategy, and Financial Innovation used in conducting the economic analysis

 

http://www.sec.gov/comments/4-617/4-617.shtml


Modified: 10/16/2014