SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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

See also: Comments on Proposed Rule: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps


Submitted Comments

(Click here for meetings with SEC officials)
Oct. 16, 2012 W. Lawrence Gilmer, Belmont, North Carolina
Sep. 12, 2011 Christopher A. Klem, Ropes & Gray LLP
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
May 31, 2011 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 4, 2011 Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 3, 2011 Gerald Donini, Barclays Capital Inc.
Nov. 1, 2010 James Hill, Managing Director, Morgan Stanley
Oct. 27, 2010 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Sep. 17, 2010 Reginangelo
Sep. 7, 2010 Tony Waterer
Aug. 29, 2010 Aldo Giacchino, Santa Cruz, California
Aug. 27, 2010 Lorraine F. Fleury, Pollock Pines, California
Aug. 23, 2010 Suzanne Shatto
Aug. 5, 2010 Coalition for Derivatives End-Users
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia
Jul. 27, 2010 Lewis E. Hutchison, Knoxville, Tennessee
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
May 20, 2011 Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley
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 13, 2011 Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC
May 13, 2011 Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital
May 13, 2011 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 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 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 Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB)
Apr. 21, 2011 Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Mar. 30, 2011 Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc.
Mar. 25, 2011 Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs
Mar. 9, 2011 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)
Mar. 3, 2011 Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB)
Mar. 1, 2011 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 CFTC Phase-in Implementation Discussion
Dec. 8, 2010 Memorandum from the Division of Trading and Markets regarding a December 8, 2010, meeting with representatives from and members of the Managed Funds Association
Oct. 28, 2010 Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association
Oct. 28, 2010 Memorandum from the Division of Trading and Markets re: Phone Conference with Representatives of the Depository Trust and Clearing Corporation
Sep. 23, 2010 Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of Javelin Capital Markets, LLC
Sep. 22, 2010 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."
Sep. 20, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with certain industry representatives
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (p.m.) with representatives of Morgan Stanley
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley
Sep. 15, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 31, 2010 meeting with representatives of the Managed Funds Association
Sep. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 1, 2010 meeting with representatives from the Conference of State Bank Supervisors ("CSBS"), the National Association of Insurance Commissioners ("NAIC"), and the North American Securities Administrators Association ("NASAA")"
Aug. 30, 2010 Memorandum from the Division of Trading and Markets regarding an August 27, 2010 meeting with representatives of Americans for Financial Reform, et al.
Aug. 26, 2010 Memorandum from the Division of Trading and Markets regarding an August 26, 2010 meeting with representatives of the International Swaps and Derivatives Association (ISDA)
Aug. 25, 2010 Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
Aug. 25, 2010 Memorandum from the Office of International Affairs regarding an August 25, 2010 meeting with a representative of the Institute of International Finance
Aug. 24, 2010 Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of the National Association of College and University Business Officers (NACUBO)
Aug. 24, 2010 Memorandum from the Office of International Affairs regarding an August 16, 2010 meeting with representatives of the Government of Singapore Investment Corporation
Aug. 23, 2010 Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of D.E. Shaw
Aug. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 9, 2010 meeting with representatives of Americans for Financial Reform, et al.
Aug. 3, 2010 Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association

 

http://www.sec.gov/comments/df-title-vii/anti-manipulation-protections/anti-manipulation-protections.shtml


Modified: 10/22/2012