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

Comments on Proposed Rule: Standards for Covered Clearing Agencies

Filter comments

Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-80378 Patrick Davis, Head of Legal, Company Secretary, ICE Clear Europe Limited
Public Comment 34-80378 Francois Faure, Chief Compliance Officer, LCH SA
Public Comment 34-80378 Ann K. Shuman, Managing Director and General Counsel, DTCC
Public Comment 34-80378 Joseph P. Kamnik, Senior Vice President and General Counsel, Options Clearing Corporation
Public Comment 34-71699 Michael C. Bodson, President and Chief Executive Officer, The Depository Trust & Clearing Corporation
Meeting with SEC Officials 34-71699 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
Public Comment 34-71699 Timothy W. Cameron and Laura Martin, SIFMA; David W. Blass and Jennifer S. Choi, Investment Company Institute
Meeting with SEC Officials 34-71699 Memorandum from the Office of Commissioner Kara Stein regarding an April 19, 2016, meeting with representatives of OCC and CBOE
Meeting with SEC Officials 34-71699 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 6, 2016, meeting with representatives of DTCC
Meeting with SEC Officials 34-71699 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
Meeting with SEC Officials 34-71699 Memorandum from the Division of Trading and Markets regarding a February 16, 2016, meeting with representatives of the Options Clearing Corporation
Meeting with SEC Officials 34-71699 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
Meeting with SEC Officials 34-71699 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
Meeting with SEC Officials 34-71699 Memorandum from the Division of Trading and Markets regarding a June 9, 2015, meeting with representatives of the Depository Trust and Clearing Corporation (DTCC)
Meeting with SEC Officials 34-71699 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
Meeting with SEC Officials 34-71699 Memorandum from the Office of Commissioner Michael S. Piwowar a May 19, 2015, call with representatives of the Depository Trust and Clearing Corporation (DTCC)
Meeting with SEC Officials 34-69490, 34-71699 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 34-71699 Memorandum from the Office of Commissioner Kara Stein regarding a February 9, 2015, meeting with representatives of the New York Stock Exchange
Meeting with SEC Officials 34-71699 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 7, 2015, meeting with representatives of LCH.Clearnet Group
Meeting with SEC Officials 34-71699 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
Public Comment 34-71699 Occupy the SEC
Public Comment 34-71699 Sheila Bair, Chair, The Systemic Risk Council
Public Comment 34-71699 Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Public Comment 34-71699 James E. Brown, Executive Vice President, General Counsel and Secretary, The Options Clearing Corporation
Public Comment 34-71699 Jarryd E. Anderson, Vice President, Regulatory Affairs, The Clearing House Association LLC
Public Comment 34-71699 Kathleen M. Cronin, Senior Managing Director, General Counsel and Corporate Secretary, CME Group Inc., Chicago, Illinois
Public Comment 34-71699 Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets, CFA Institute
Public Comment 34-71699 Larry E. Thompson, Managing Director and General Counsel, Depository Trust & Clearing Corporation (DTCC), New York, New York
Public Comment 34-71699 Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Co
Public Comment 34-71699 Susan Milligan, Head of US Public Affairs, LCH.Clearnet, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-03-14
Release Number
34-80378
34-71699
How to submit comments