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
Public Comment Masaaki Tanaka, Deputy President, Mitsubishi UFJ Financial Group, Inc.
Public Comment Jeffrey A. Merkley, et al., U.S. Congress
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 2, 2013, meeting with representatives of Nomura
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee
Public Comment Chris Barnard, Germany
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 2, 2013, meeting with Legislative Counsels to Senators Carl Levin and Senator Jeff Merkley
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 19, 2013, meeting with Legislative Counsel to Senator Carl Levin
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 18, 2013, conference call with representatives of the European Commission
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 13, 2013, meeting with Legislative Counsel to Senator Carl Levin
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 11, 2013, meeting with representatives of Bank of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 11, 2013, meeting with representatives of Bank of America Merrill Lynch
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Bank of Japan
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the International Bankers Association Japan
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Japanese Financial Services Agency
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Japanese Ministry of Finance
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 30, 2013, meeting with representatives of the Japanese Securities Dealers Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 29, 2013, meeting with representatives of the OTC Derivatives Regulators Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 27, 2013, meeting with representatives of the Hong Kong Securities and Futures Commission, Hong Kong Monetary Authority, Hong Kong Financial Services and Treasury Bureau, Mandatory Provident Fund Authority, Office of the Commissioner of Insurance, and Monetary Authority of Macao
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs
Public Comment Senators Sherrod Brown, Carl Levin, Tom Harkin, Elizabeth Warren, Jeff Merkley, and Dianne Feinstein; U.S. Senate
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 13, 2013, meeting with representatives of the International Swaps and Derivatives Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 10, 2013, meeting with representatives of the Futures and Options Association
Public Comment Karim Shariff, Cupertino, California
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 9, 2013, meeting with representatives of Barclays Bank PLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 9, 2013, meeting with representatives of the Bank of England and the UK Financial Conduct Authority

Last Reviewed or Updated: Dec. 18, 2025

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