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Security-Based Swap Dealers and Major Security-Based Swap Participants: 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
Nov. 14, 2013	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 7, 2013, meeting with representatives from the International Swaps and Derivatives Association
Feb. 15, 2013	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a February 15, 2013, meeting with representatives from Citigroup
Jan. 18, 2013	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a January 18, 2013, meeting with representatives from Barclays
Sept. 28, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 28, 2012, meeting with representatives from SIFMA
Sept. 21, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 21, 2012, meeting with representatives from Goldman Sachs
Aug. 3, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an August 2, 2012, meeting with representatives of JP Morgan
July 3, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a June 13, 2012 meeting with representatives of Barclays
June 18, 2012	Public Comment	Joseph L. Seidel, Managing Director, Credit Suisse Securities (USA) LLC
June 6, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a June 6, 2012 meeting with representatives of Americans for Financial Reform, Public Citizen, and University of Maryland Center for Health & Homeland Security
June 5, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a June 5, 2012, meeting with representatives from Natixis
May 23, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 23, 2012, conference call with representatives from KfW Bankengruppe
May 4, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a May 4, 2012, meeting with representatives from Americans for Financial Reform, Public Citizen, and the International Brotherhood of Teamsters
April 24, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with a representative from Newedge USA
April 19, 2012	Meeting with SEC Officials	Memorandum from the Office of the Chairman regarding an April 19, 2012, meeting with representatives of Credit Suisse Group AG
April 17, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 10, 2012, meeting with representatives from SIFMA
March 5, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 5, 2012, call with representatives of Davis Polk & Wardwell LLP
March 2, 2012	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 2, 2012, call with a representative of J.P. Morgan
Dec. 7, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a December 7, 2011 meeting with representatives of SIFMA
Nov. 30, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives from international banks
Nov. 29, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives from the Managed Funds Association
Sept. 28, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 28, 2011, meeting with representatives from Barclays
Sept. 26, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Sept. 15, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Goldman Sachs
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
Sept. 8, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Goldman Sachs
Aug. 12, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an August 3, 2011, meeting with representatives from CIEBA
Aug. 2, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an August 2, 2011, meeting with representatives from Barclays
July 19, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a July 19, 2011, meeting with representatives from J.P. Morgan Chase
July 13, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a June 22, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)

Last Reviewed or Updated: Dec. 18, 2025

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