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Mandatory Exchange Trading and Swap Execution Facilities: 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
July 24, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets, Division of Risk, Strategy, and Financial Innovation and Office of Compliance Inspections and Examinations, regarding a July 23, 2012, meeting with representatives from SIFMA
Nov. 18, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 18, 2010, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Nov. 11, 2011	Public Comment	Joanne T. Medero, Managing Director, BlackRock; Raymond J. Dorado, Executive Vice President and Deputy General Counsel, BNY Mellon; and Stefan M. Gavell, Executive Vice President, Global Head of Regulatory, Industry and Government Affairs, State Street Corporation
Nov. 10, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets Regarding a November 10, 2010, Meeting with Representatives from the Wholesale Markets Brokers' Association
Sept. 16, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from the Swaps and Derivatives Market Association (SDMA)
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 15, 2011, meeting with representatives from Siemens Corporation
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 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 6, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 6, 2011 meeting with representatives of ICE Inc. and Creditex
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.
April 19, 2011	Public Comment	James Cawley, The Swaps & Derivatives Market Association
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.
Jan. 27, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a January 26, 2011, meeting with representatives from Bloomberg L.P.
Jan. 24, 2011	Meeting with SEC Officials	Memorandum from the Office of Commissioner Aguilar regarding a January 19, 2011, meeting with representatives of Wholesale Market Brokers' Association, Americas
Jan. 20, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets Regarding a January 20, 2011, Meeting with Representatives from Pivot, Inc.

Last Reviewed or Updated: Dec. 18, 2025

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