Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order

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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 July 28, 2021 meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 19, 2021, meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 14, 2021, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 13, 2021, meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 14, 2021, meeting with representatives of Bank of America
Public Comment Daniel Scott Bryan
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 20, 2021, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 17, 2021, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 18, 2021, meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 14, 2021, meeting with representatives of Morgan Stanley
Public Comment Americans for Financial Reform Education Fund
Public Comment Dennis M. Kelleher, President & CEO, Better Markets, Inc.; Stephen Hall, Legal Director and Securities Specialist, Better Markets, Inc.; and Jason Grimes, Senior Counsel, Better Markets, Inc.
Public Comment Kyle L. Brandon, Managing Director, Head of Derivatives Policy, Securities and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a April 7, 2021, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-04-21
Release Number
34-91476
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