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

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 12, 2019, meeting with a representative of NextGen Strategic Advisors
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 25, 2019, conference call with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 28, 2019, telephone call with a representative of Cleary Gottlieb
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 25, 2019, conference call with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 6, 2019, meeting with a representative of NextGen Strategic Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 7, 2019, telephone call with a representative of NextGen Strategic Advisors
Public Comment Mary Kay Scucci, Managing Director, SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 13, 2018, conference call with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2018, meeting with a representative of Cadwalader, Wickersham & Taft LLP
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the Futures Industry Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the International Swaps and Derivatives Association
Meeting with SEC Officials 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
Public Comment Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 21, 2018, telephone call with representatives of BNP Paribas
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2018, meeting with the Financial Services Institute Board of Directors
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Derivatives Policy, Division of Trading and Markets regarding a July 18, 2018, meeting with representatives of BNP Paribas
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of BNP Paribas
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2018, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2018, meeting with representatives of the Managed Fund Association
Public Comment Institute of International Bankers and SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 4, 2018, meeting with representatives of Credit Suisse
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018 conference call with representatives from Societe Generale
Public Comment Mary Kay Scucci, Managing Director, SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 3, 2018, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 30, 2018, meeting with representatives of UBS
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-05-14
Release Number
34-71958
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