Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act

Comments on Proposed Rule: Registration and Regulation of Security-Based Swap Execution Facilities

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a November 8, 2019, teleconference with representatives from Tradeweb
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a October 16, 2019, teleconference with representatives from BGC Partners and GFI Group
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a October 2, 2019, meeting with representatives from Bloomberg L.P.
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a October 7, 2019, meeting with representatives from Tradition
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 16, 2019, meeting with representatives from TP ICAP
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 25, 2019, meeting with representatives from the National Futures Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 25, 2019, teleconference with representatives from MarketAxess
Meeting with SEC Officials 34-71958, 34-69491, 34-69491, 34-75612 Memorandum from the Division of Trading and Markets regarding a November 29, 2017, meeting with representatives of Citigroup
Public Comment 34-69491 Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois
Meeting with SEC Officials 34-69491, 34-74834, 34-69491 Memorandum from the Division of Trading and Markets regarding an October 19, 2015, meeting with representatives of Citadel and Delta Strategy Group
Meeting with SEC Officials 34-69491 Memorandum from the Office of the Chair regarding a July 23, 2015, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials 34-69491, 33-9416, 34-69960, IC-30595, 34-74834, IA-4091 Memorandum from the Office of Commissioner Kara Stein regarding a July 24, 2105 meeting with representatives of the Managed Funds Association
Meeting with SEC Officials 34-69491, 34-74834, 34-69491 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a July 23, 2015, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 25, 2015, meeting with representatives of the Wholesale Markets Brokers' Association Americas
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 25, 2015, meeting with representatives of the Wholesale Markets Brokers' Association Americas
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 9, 2015, meeting with representatives of Citadel and Delta Strategy Group
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a March 24, 2015, meeting with representatives of the Americans for Financial Reform
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of the Americans for Financial Reform
Public Comment 34-69491 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a October 29, 2014, conference call with representatives of the Wholesale Markets Brokers' Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a October 7, 2014, conference call with representatives of Tullett Prebon
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 19, 2014, conference call with representatives of ICAP
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 24, 2014, conference call with representatives of Tradeweb Markets LLC
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 25, 2014, conference call with representatives of Javelin Capital Markets, LLC
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 26, 2014, conference call with representatives of Bloomberg L.P.
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 30, 2014, conference call with representatives of MarketAxess Corporation
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 19, 2014, meeting with representatives of MarketAxcess
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a August 7, 2014, meeting with representatives of Markit
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 12, 2014, conference call with representatives of the Managed Funds Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a May 20, 2014, conference call with representatives of the Wholesale Market Brokers' Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-11
Release Number
34-69491
34-63825
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