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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
Jan. 19, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Wholesale Market Brokers' Association
Dec. 21, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC
Dec. 15, 2010	Public Comment	James B. Fuqua, Managing Director, Legal, and David Kelly, Managing Director, Legal, UBS Securities LLC
Dec. 8, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of Wholesale Market Brokers' Association, Americas
Dec. 3, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners
Dec. 2, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Walter regarding a December 2, 2010, meeting with representatives of Wholesale Market Brokers' Association, Americas
Nov. 30, 2010	Public Comment	Julian Harding, Chairman, Wholesale Markets Brokers' Association, Americas, Stamford, Connecticut
Nov. 24, 2010	Public Comment	Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Nov. 19, 2010	Public Comment	David Phelan, Executive Vice President and General Counsel, State Street Corporation
Nov. 19, 2010	Public Comment	Julian Harding, Chairman, Wholesale Markets Brokers' Association, Americas, Stamford, Connecticut
Nov. 12, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 12, 2010 meeting with representatives of MetLife
Nov. 12, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Walter regarding a November 12, 2010 meeting with representatives of the International Swaps and Derivatives Association
Nov. 4, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Association of Institutional Investors
Nov. 3, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 3, 2010 meeting with representatives and members of ISDA
Nov. 3, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 3, 2010 meeting with representatives of Benchmark Solutions
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
Oct. 27, 2010	Public Comment	Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Oct. 25, 2010	Public Comment	Bank of America Merrill Lynch, Barclays Capital, BNP Paribas, Citi, Credit Agricole Corporate and Investment Bank, Credit Suisse Securities (USA), Deutsche Bank AG, HSBC, Morgan Stanley, Nomura Securities International, Inc., PNC Bank, National Association, UBS Securities LLC, Wells Fargo & Company
Oct. 14, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 14, 2010 phone conference with representatives of TriOptima
Oct. 14, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 14, 2010 meeting with representatives of UBS
Oct. 13, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with Financial Services Forum
Oct. 13, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with representatives of various Buy-Side Firms
Oct. 13, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 13, 2010 phone conference with a representative of TradeWeb
Oct. 13, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Elise Walter regarding a October 13, 2010 meeting with representatives of Goldman Sachs
Oct. 13, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 13, 2010 meeting with representatives of Goldman Sachs
Oct. 8, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 8, 2010 meeting with representatives of Bank of America
Oct. 6, 2010	Public Comment	Ernest Goodrich and Marcelo Riffaud, Deutche Bank AG
Oct. 6, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 6, 2010 meeting with representatives of ICE Link

Last Reviewed or Updated: Dec. 18, 2025

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