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Notice of Intent Letters to Rely on Exemptive Order: Order Granting a Temporary Exemption to Covered Clearing Agencies from Compliance with Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) under the Securities Exchange Act of 1934
[Release No. 34-80378; File No. S7-03-14]
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| Apr. 11, 2017 | Patrick Davis, Head of Legal, Company Secretary, ICE Clear Europe Limited |
| Apr. 10, 2017 | Francois Faure, Chief Compliance Officer, LCH SA |
| Apr. 7, 2017 | Ann K. Shuman, Managing Director and General Counsel, DTCC |
| Apr. 6, 2017 | Joseph P. Kamnik, Senior Vice President and General Counsel, Options Clearing Corporation |
Comments on Proposed Rule: Standards for Covered Clearing Agencies
[Release No. 34-71699; File No. S7-03-14]
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(Click here for meetings with SEC officials)
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| Feb. 15, 2017 | Michael C. Bodson, President and Chief Executive Officer, The Depository Trust & Clearing Corporation |
| May 12, 2016 | Timothy W. Cameron and Laura Martin, SIFMA; David W. Blass and Jennifer S. Choi, Investment Company Institute |
| Jun. 10, 2014 | Occupy the SEC |
| May 28, 2014 | Sheila Bair, Chair, The Systemic Risk Council |
| May 27, 2014 | Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Co |
| May 27, 2014 | Kathleen M. Cronin, Senior Managing Director, General Counsel and Corporate Secretary, CME Group Inc., Chicago, Illinois |
| May 27, 2014 | Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets, CFA Institute |
| May 27, 2014 | Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc. |
| May 27, 2014 | Jarryd E. Anderson, Vice President, Regulatory Affairs, The Clearing House Association LLC |
| May 27, 2014 | Tim Buckley, Managing Director and Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard, Valley Forge, Pennsylvania |
| May 27, 2014 | Larry E. Thompson, Managing Director and General Counsel, Depository Trust & Clearing Corporation (DTCC), New York, New York |
| May 27, 2014 | James E. Brown, Executive Vice President, General Counsel and Secretary, The Options Clearing Corporation |
| May 27, 2014 | Susan Milligan, Head of US Public Affairs, LCH.Clearnet, Washington, District of Columbia |
| May 26, 2014 | Chris Barnard, Germany |
| May 23, 2014 | Paul Swann, President & Managing Director, ICE Clear Europe Limited |
| May 23, 2014 | Stephen O' Connor, Chairman, International Swaps and Derivatives Association, Inc. |
| May 21, 2014 | Dorothy M. Donohue, Acting General Counsel, Investment Company Institute
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| Apr. 1, 2014 | John Joyce, Northern Illinois University College of Law, Chicago, Illinois
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 1, 2016 | Memorandum from the Division of Trading and Markets regarding a May 31, 2016, meeting with representatives of the Securities Industry and Financial Markets Association and the Futures Industry Association |
| Apr. 20, 2016 | Memorandum from the Office of Commissioner Kara Stein regarding an April 19, 2016, meeting with representatives of OCC and CBOE |
| Apr. 6, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 6, 2016, meeting with representatives of DTCC |
| Mar. 30, 2016 | Memorandum from the Division of Trading and Markets regarding a March 23, 2016, meeting with representatives of SIFMA Asset Management Group, the Investment Company Institute, Fidelity, Goldman Sachs Asset Management, MFS Investment, PIMCO, and Vanguard |
| Feb. 16, 2016 | Memorandum from the Division of Trading and Markets regarding a February 16, 2016, meeting with representatives of the Options Clearing Corporation |
| Oct. 15, 2015 | Memorandum from the Division of Trading and Markets regarding an October 14, 2015, meeting with representatives of SIFMA AMG, BlackRock, Goldman Sachs, MFS, Russell, and Vanguard |
| Aug. 28, 2015 | Memorandum from the Division of Trading and Markets regarding an August 25, 2015, meeting with representatives of the Investment Company Institute, Fidelity Asset Management, T. Rowe Price, and Vanguard Group |
| Jun. 11, 2015 | Memorandum from the Division of Trading and Markets regarding a June 9, 2015, meeting with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| Jun. 11, 2015 | Memorandum from the Division of Trading and Markets regarding a June 9, 2015, meeting with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| May 28, 2015 | Memorandum from the Division of Trading and Markets regarding a May 28, 2015, meeting with representatives of the Investment Company Institute, Nuveen Investments, T. Rowe Price, and the Vanguard Group |
| May 19, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar a May 19, 2015, call with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| Feb. 10, 2015 | Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of Americans for Financial Reform |
| Feb. 9, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a February 9, 2015, meeting with representatives of the New York Stock Exchange |
| Jan. 7, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 7, 2015, meeting with representatives of LCH.Clearnet Group |
| Dec. 15, 2014 | Memorandum from the Division of Trading and Markets regarding a December 12, 2014, meeting with representatives of The Clearing House Association L.L.C. and Industry Participants |
| May 19, 2014 | Memorandum from the Division of Trading and Markets regarding a May 19, 2014, meeting with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| May 15, 2014 | Memorandum from the Division of Trading and Markets regarding a May 15, 2014, conference call with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| May 12, 2014 | Memorandum from the Division of Trading and Markets regarding a May 8, 2014, meeting with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| Apr. 28, 2014 | Memorandum from the Division of Trading and Markets regarding an April 25, 2014, conference call with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| Apr. 24, 2014 | Memorandum from the Division of Trading and Markets regarding an April 23, 2014, meeting with representatives of the Options Clearing Corporation (OCC) |
| Apr. 10, 2014 | Memorandum from the Division of Trading and Markets regarding an April 10, 2014, conference call with representatives of the Depository Trust and Clearing Corporation (DTCC) |
| Apr. 8, 2014 | Memorandum from the Division of Trading and Markets regarding an April 8, 2014, conference call with a representative of the Investment Company Institute |
| Apr. 4, 2014 | Memorandum from the Division of Trading and Markets regarding an April 1, 2014, meeting with representatives of ICE Clear Europe (ICEEU) |
http://www.sec.gov/comments/s7-03-14/s70314.shtml
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