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Anti-Manipulation Protections: Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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Date Sort descending	Letter Type	Commenter Name
Oct. 16, 2012	Public Comment	W. Lawrence Gilmer, Belmont, North Carolina
Sept. 12, 2011	Public Comment	Christopher A. Klem, Ropes & Gray LLP
Sept. 8, 2011	Public Comment	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
May 31, 2011	Public Comment	Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce
May 20, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley
May 19, 2011	Meeting with SEC Officials	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 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital
May 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC
May 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 11, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA)
May 5, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
May 4, 2011	Public Comment	Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association
May 4, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB)
April 21, 2011	Meeting with SEC Officials	Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
March 30, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc.
March 25, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs
March 24, 2011	Public Comment	Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
March 9, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA)
March 3, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB)
March 1, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc
Feb. 18, 2011	Public Comment	CFTC Phase-in Implementation Discussion
Feb. 3, 2011	Public Comment	Gerald Donini, Barclays Capital Inc.
Dec. 8, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a December 8, 2010, meeting with representatives from and members of the Managed Funds Association
Nov. 1, 2010	Public Comment	James Hill, Managing Director, Morgan Stanley
Oct. 28, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association
Oct. 27, 2010	Public Comment	Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Sept. 23, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of Javelin Capital Markets, LLC
Sept. 22, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets re: U.S. Chamber of Commerce, Center for Capital Markets Competitiveness event on "Over the Counter (OTC) Derivatives Reform: Preparing for a Changing Marketplace."
Sept. 20, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with certain industry representatives
Sept. 17, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley

Last Reviewed or Updated: Dec. 18, 2025

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