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Comments on Proposed Rule: Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major
Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-
Based Swap Dealers
[Release No. 34-71958; File No. S7-05-14]
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(Click here for meetings with SEC officials)
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| Feb. 7, 2019 | Mary Kay Scucci, Managing Director, SIFMA |
| Nov. 29, 2018 | Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association |
| Jun. 21, 2018 | Institute of International Bankers and SIFMA |
| May 10, 2018 | Mary Kay Scucci, Managing Director, SIFMA |
| Nov. 16, 2016 | Sarah A. Miller, Chief Executive Officer, Institute of International Bankers |
| Aug. 26, 2016 | IIB and SIFMA |
| Jan. 13, 2015 | Kyle Brandon, Managing Director, Director of Research, SIFMA |
| Sep. 10, 2014 | Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York |
| Sep. 5, 2014 | Mary Kay Scucci, PhD, CPA, Managing Director, SIFMA |
| Aug. 28, 2014 | Suzanne Shatto, Mountlake Terrace, Washington |
| Jul. 9, 2014 | Suzanne H. Shatto, Mountlake Terrace, Washington |
| Jul. 3, 2014 | Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, U.S. Senate |
| Jul. 1, 2014 | Mary Kay Scucci, PhD, CPA, Managing Director, Securities Industry and Financial Markets Association (SIFMA) |
| Jul. 1, 2014 | Mark Bigley, Summer Fellow, George Washington University Regulatory Studies Center |
| Jun. 20, 2014 | Mary Kay Scucci, PhD, CPA, Managing Director, Securities Industry and Financial Markets Association (SIFMA) |
| Jun. 19, 2014 | John E. Turala, League City, Texas
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Mar. 26, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 12, 2019, meeting with a representative of NextGen Strategic Advisors |
| Mar. 25, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 25, 2019, conference call with representatives of the Institute of International Bankers |
| Mar. 25, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 28, 2019, telephone call with a representative of Cleary Gottlieb |
| Mar. 25, 2019 | Memorandum from the Division of Trading and Markets regarding a March 25, 2019, conference call with representatives of the Institute of International Bankers |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 7, 2019, telephone call with a representative of NextGen Strategic Advisors |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 6, 2019, meeting with a representative of NextGen Strategic Advisors |
| Dec. 21, 2018 | Memorandum from the Division of Trading and Markets regarding a December 13, 2018, conference call with representatives of SIFMA |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2018, meeting with a representative of Cadwalader, Wickersham & Taft LLP |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 8, 2018, meeting with representatives of the Investment Company Institute Derivatives Markets Advisory Committee |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the Futures Industry Association |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the Securities Industry and Financial Markets Association |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the International Swaps and Derivatives Association |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 13, 2018, telephone call with a representative of Cleary Gottlieb Steen & Hamilton LLP |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 21, 2018, telephone call with representatives of BNP Paribas |
| Aug. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2018, meeting with the Financial Services Institute Board of Directors |
| Aug. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors |
| Jul. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 26, 2018, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Jul. 24, 2018 | Memorandum from the Office of Derivatives Policy, Division of Trading and Markets regarding a July 18, 2018, meeting with representatives of BNP Paribas |
| Jul. 18, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of BNP Paribas |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2018, meeting with representatives of the Investment Company Institute |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2018, meeting with representatives of the Managed Fund Association |
| Jun. 5, 2018 | Memorandum from the Division of Trading and Markets regarding a June 4, 2018, meeting with representatives of Credit Suisse |
| May 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018 conference call with representatives from Societe Generale |
| May 10, 2018 | Memorandum from the Division of Trading and Markets regarding a May 3, 2018, meeting with representatives of SIFMA |
| Apr. 30, 2018 | Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of UBS |
| Apr. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup |
| Apr. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 25, 2018, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Apr. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup |
| Apr. 11, 2018 | Memorandum from the Division of Trading and Markets regarding an April 11, 2018, meeting with representatives of Morgan Stanley |
| Apr. 11, 2018 | Memorandum from the Division of Trading and Markets regarding an April 11, 2018, meeting with representatives of UBS |
| Apr. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2018, meeting with representatives of Nomura |
| Apr. 4, 2018 | Memorandum from the Division of Trading and Markets regarding an April 4, 2018, meeting with representatives of Barclays |
| Apr. 3, 2018 | Memorandum from the Division of Trading and Markets regarding an April 3, 2018, meeting with representatives of Société Générale |
| Mar. 28, 2018 | Memorandum from the Division of Trading and Markets regarding a March 28, 2018, meeting with representatives of the Securities Industry and Financial Markets Association |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 2, 2018, meeting with representatives of the European Banking Federation |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 26, 2018, meeating with representatives of BNP Paribas |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of the Institute of International Bankers and the Securities
Industry and Financial Markets Association |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of Barclays |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 12, 2018, meeting with representatives of the International Swaps and Derivatives Association |
| Dec. 6, 2017 | Memorandum from the Division of Trading and Markets regarding a December 6, 2017, meeting with representatives of BNP Paribas | | Dec. 1, 2017 | Memorandum from the Division of Trading and Markets regarding a November 29, 2017, meeting with representatives of Citigroup |
| Mar. 15, 2017 | Memorandum from the Division of Trading and Markets regarding a March 15, 2017, meeting with representatives of the French Banking Federation |
| Dec. 15, 2016 | Memorandum from the Division of Trading and Markets regarding an October 28, 2016, meeting with a representative of Cleary Gottlieb Steen & Hamilton LLP |
| Dec. 15, 2016 | Memorandum from the Division of Trading and Markets regarding a November 3, 2016, meeting with representatives of UBS |
| Dec. 15, 2016 | Memorandum from the Division of Trading and Markets regarding a November 3, 2016, meeting with representatives of IIB and SIFMA |
| Dec. 15, 2016 | Memorandum from the Division of Trading and Markets regarding an October 13, 2016, meeting with representatives of Barclays |
| Feb. 2, 2016 | Memorandum from the Division of Trading and Markets regarding a February 2, 2016, meeting with representatives of SIFMA |
| Oct. 19, 2015 | Memorandum from the Division of Trading and Markets regarding an October 14, 2015, meeting with representatives of Barclays |
| Jun. 10, 2015 | Memorandum from the Division of Trading and Markets regarding a June 2, 2015, conference call with representatives of SIFMA |
| May 5, 2015 | Memorandum from the Division of Trading and Markets regarding an April 30, 2015, meeting with representatives of SIFMA |
| Apr. 14, 2015 | Memorandum from the Division of Trading and Markets regarding a March 24, 2015, meeting with representatives of Delta Strategy Group |
| Aug. 14, 2014 | Memorandum from the Division of Trading and Markets regarding an August 12, 2014, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc. |
| May 19, 2014 | Memorandum from the Division of Trading and Markets regarding an May 13, 2014, meeting with representatives of the Securities Industry and Financial Markets Association |
http://www.sec.gov/comments/s7-05-14/s70514.shtml
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