Comments on Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 18, 2015, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 9, 2015, meeting with representatives of Citadel and Delta Strategy Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 22, 2015, meeting with representatives of Barclays
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 24, 2015, meeting with representatives of Delta Strategy Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an April 7, 2015, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 19, 2015, conference call with representatives of Barclays Capital Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 20, 2015, conference call with representatives of UBS AG
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding participation of an SEC representative in a March 18, 2015, panel at the SIFMA C&L Annual Seminar
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 20, 2015, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of UBS
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 3, 2014, meeting with representatives of SIFMA
Public Comment Karel Engelen, Senior Director, Head of Data, Reporting & FpML, International Swaps and Derivatives Association, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 11, 2014, conference call with representatives of HSBC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 28, 2014, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 1, 2014, conference call with a representative of Sullivan & Cromwell LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 17, 2014, conference call with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a June 17, 2014, telephone call with a representative of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a June 12, 2014, meeting with representatives of the Institute of Intemational Bankers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 3, 2014, conference call with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 29, 2014, meeting with a representative of Americans for Financial Security
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 29, 2014, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 28, 2014, meeting with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 20, 2014, meeting with representatives of the Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 23, 2014, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 22, 2014, meeting with representatives of Barclays
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 19, 2014, meeting with representatives of Citigroup
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 10, 2014, call with a representative of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 10, 2014, call with a representative of J.P. Morgan
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 8, 2014, conference call with representatives of Barclays Capital Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-02-13
Release Number
34-69490
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