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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]


Submitted Comments

(Click here for meetings with SEC officials)
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
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
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

Modified: 12/06/2018