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 Division of Trading and Markets regarding a May 8, 2014, conference call with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 8, 2014, meeting with representatives of Americans for Financial Security, Public Citizen, and the Institute for Agriculture and Trade Policy
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 9, 2014, conference call with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 6, 2014, conference call with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 7, 2014, meeting with representatives of the Institute of Intemational Bankers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 2, 2014, conference call with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 29, 2014, conference call with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 25, 2014, conference call with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 24, 2014, conference call with representatives of Barclays Capital Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 14, 2014, conference call with representatives of Bank of America
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 20, 2014, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 4, 2014, meeting with representatives of Nomura Securities
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a January 26, 2014, meeting with representatives of the Corporate Directors Forum
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 9, 2014, meeting with representatives of Credit Suisse
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC
Public Comment Kim Taylor, General Counsel, CME Group, and Kara L. Dutta, President, Clearing ICE Trade Vault, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 30, 2013, meeting with representatives of IntercontinentalExchange, Inc. (ICE)
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013, meeting with representatives of ICE Trade Vault
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 23, 2013, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 18, 2013, meeting with representatives of Cadwalader, Wickersham & Taft LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 3, 2013, meeting with representatives of the Alternative Investment Management Association (AIMA) and Crossroads Strategies, LLC
Public Comment Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, American Bar Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 27, 2013, meeting with representatives of Americans for Financial Reform, Public Citizen, Consumer Federation of America, and AFL-CIO
Public Comment Kara L. Dutta, Assistant General Counsel, ICE Trade Vault, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an September 9, 2013, meeting with representatives of Barclays Bank PLC

Last Reviewed or Updated: Dec. 18, 2025

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