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 the September 2, 2013, publication of Basel-IOSCO paper: Margin Requirements for Non-Centrally Cleared Derivatives
Public Comment Matti Leppälä, Secretary General/CEO, PensionsEurope
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 28, 2013, meeting with representatives of the Japanese Financial Services Agency
Public Comment Americans for Financial Reform
Public Comment Adam C. Cooper, Senior Managing, Director and Chief Legal Officer, Citadel LLC
Public Comment Agricultural Retailers Association, Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, National Association of Manufacturers, and U.S. Chamber of Commerce
Public Comment Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and Fady Zeidan, Acting Deputy/General Counsel, International Finance Corporation
Public Comment Dennis M. Kelleher,President & CEO, Better Markets, Inc.; Stephen W. Hall,Securities Specialist, Better Markets, Inc.; and Katelynn 0. Bradley, Attorney, Better Markets, Inc.
Public Comment Dr. Lutz-Christian Funke, Senior Vice President, KfW and Dr. Frank Czichowski, Senior Vice President and Treasurer, KfW
Public Comment Futures and Options Association, London, United Kingdom
Public Comment Jeff Gooch, Head of Processing, Markit, Chair and CEO, MarkitSERV
Public Comment Karrie McMillan, General Counsel, Investment Company Institute and Dan Waters, Managing Director, ICI Global
Public Comment Kathleen Cronin, Senior Managing Director, General Counsel, CME Group Inc.
Public Comment Kenneth E. Bentsen, Jr., President, SIFMA; Walt Lukken, President & Chief Executive Officer, Futures Industry Association; and Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment Koichi lshikura, Executive Chief of Operations for International Headquarters, Japan Securities Dealers Association
Public Comment Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation
Public Comment Monique S. Botkin, Associate General Counsel, Investment Adviser Association
Public Comment Patrick Pearson, European Commission
Public Comment Per Sjberg, Chief Executive Officer, TriOptima AB and Christoffer Mohammar, General Counsel, TriOptima AB
Public Comment Sarah A. Miller, Chief Executive Officer, Institute of International Bankers
Public Comment Sren Elbech, Treasurer, lnter-American Development Bank and Jorge Alers, General Counsel, lnter-American Development Bank
Public Comment Steven Maijoor, Chair, European Securities and Markets Authority
Public Comment Sullivan & Cromwell LLP
Public Comment Bruce Stern, Association of Financial Guaranty Insurers
Public Comment Ernst-Albrecht Brockhaus, Member of the Management, Board, and Dr. Nico Zachert, Authorized Signatory, Legal/Compliance, FMS Wertmanagement
Public Comment R. Glenn Hubbard and John L. Thornton, Co-Chairs, and Hal S. Scott, Director, Committee on Capital Markets Regulation
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association
Public Comment Jonathan B. Kindred and Shigesuke Kashiwagi, Co-chairs, Japan Financial Markets Council
Public Comment Robert Pickel, International Swaps and Derivatives Association, Inc. (ISDA)
Public Comment Kevin Nixon, Managing Director, Institute of International Finance

Last Reviewed or Updated: Dec. 18, 2025

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