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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

[Release No. 34-69491; File No. S7-06-11]


Oct. 18, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Jun. 28, 2013 Stephen P. O'Connor, Chairman, and Robert G. Pickel, Chief Executive Officer, ISDA
May 21, 2013 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association

 

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

[Release No. 34-63825; File No. S7-06-11]


Submitted Comments

(Click here for meetings with SEC officials)
Jul. 31, 2012 Christopher Ferreri, Chairman, Wholesale Markets Brokers' Association, Americas
Jun. 13, 2012 Jas Singh, Managing Director, Marketplaces, Thomson Reuters
May 18, 2012 Paul Hamill, Managing Director, and David Kelly, Managing Director, UBS Securities LLC
May 18, 2012 Paul Hamill, Managing Director, and David Kelly, Managing Director, UBS Securities LLC
Apr. 21, 2012 Michael Hisler, The Swaps & Derivatives Market Association
Mar. 30, 2012 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Mar. 14, 2012 Mike Hisler, SDMA, New York, New York
Mar. 5, 2012 George D. Baker, Attorney, Washington, District of Columbia
Feb. 18, 2012 Mike Hisler, Swaps and Derivatives Market Association (SDMA), New York, New York
Dec. 12, 2011 Thomas H. Glocer, Chief Executive Officer, Thomson Reuters
Dec. 9, 2011 David E. Franasiak, on behalf of Bloomberg
Nov. 16, 2011 Mary P. Johannes, Senior Director and Head of US Public Policy, International Swaps and Derivatives Association, Inc.
Nov. 11, 2011 Joanne T. Medero, Managing Director, BlackRock; Raymond J. Dorado, Executive Vice President and Deputy General Counsel, BNY Mellon; and Stefan M. Gavell, Executive Vice President, Global Head of Regulatory, Industry and Government Affairs, State Street Corporation
Nov. 2, 2011 David Kelly, Managing Director, and Paul Hamill, Executive Director, UBS Securities LLC, New York, New York
Oct. 19, 2011 Michael Hisler, Co-Founder, Swaps & Derivatives Market Association
Oct. 12, 2011 John F. Spencer, Jr., Cochranville, Pennsylvania
Oct. 5, 2011 Shawn Bernardo, Managing Director, Tullett Prebon
Sep. 8, 2011 ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
Jul. 28, 2011 Christoffer Mohammar, General Counsel, TriOptima Group
Jul. 12, 2011 Scott Pintoff, General Counsel, GFI Group Inc.
Jul. 7, 2011 Mark Beeston, Chief Executive Officer, Portfolio Risk Services, ICAP plc, London, United Kingdom
Jun. 3, 2011 Chris Koppenheffer, Swaps & Derivatives Market Association
Jun. 3, 2011 Alessandro Cocco, Managing Director, J. P. Morgan
Jun. 3, 2011 Stephen Merkel, Chairman, Wholesale Markets Brokersí Association Americas
Jun. 3, 2011 Farooq Jaffrey, Chief Executive Officer, Traccr Limited
Jun. 2, 2011 John R. Gidman On behalf of the Association of Institutional INVESTORS
Apr. 21, 2011 James Cawley, Co-Founder, Swaps & Derivatives Market Association
Apr. 8, 2011 American Benefits Council
Apr. 6, 2011 Americans for Financial Reform
Apr. 6, 2011 R. Trabue Bland, IntercontinentalExchange, Inc.
Apr. 5, 2011 Edward J. Rosen, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Bank of America Merrill Lynch, Barclays Capital, BNP Paribas, Citi, Credit Agricole Corporate and Investment Bank, Credit Suisse Securities (USA), Deutsche Bank AG, HSBC, Morgan Stanley, Nomura Securities International, Inc., Societe Generale, UBS Securities LLC, Wells Fargo & Company
Apr. 4, 2011 Nicholas J. Stephan, Chief Executive Officer, Phoenix Partners Group LP
Apr. 4, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Apr. 4, 2011 Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Apr. 4, 2011 Stephen Merkel, Chairman, WMBAA, BGC Partners, Inc.; Shawn Bernardo, Vice Chairman, WMBAA, Tullett Prebon; Christopher Ferreri, Board Member, WMBAA, ICAP; J. Christopher Giancarlo, Board Member, WMBAA, GFI Group Inc.; and Julian Harding, Board Member, WMBAA Tradition
Apr. 4, 2011 Jeff Gooch, Chief Executive Officer, MarkitSERV
Apr. 4, 2011 Kevin Gould, President, Markit North America, Inc.
Apr. 4, 2011 Joanne Medero, Richard Prager, and Supurna VedBrat, BlackRock, Inc.
Apr. 4, 2011 Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc.
Apr. 4, 2011 Scott Pintoff, General Counsel, GFI Oroup Inc.
Apr. 4, 2011 Richard M. McVey, Chairman and Chief Executive Officer, MarketAxess Holdings Inc.
Apr. 4, 2011 Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Apr. 4, 2011 Nancy C. Gardner, Executive Vice President & General Counsel, Markets Division, Thomson Reuters
Apr. 4, 2011 Craig S. Donohue, Chief Executive Officer, CME Group Inc.
Apr. 4, 2011 Ben Macdonald, Global Head Fixed Income, Bloomberg L.P.
Apr. 4, 2011 Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc. and Kenneth E. Bentsen, Jr. Executive Vice President Public Policy, the Securities Industry and Financial Markets Association
Apr. 4, 2011 Lee H. Olesky, Chief Executive Officer and Douglas L. Friedman, General Counsel, Tradeweb Markets LLC
Apr. 4, 2011 Arthur B. Reinstein, Deputy General Counsel, Chicago Board Options Exchange, Incorporated, Chicago, Illinois
Apr. 4, 2011 Eric Baggesen, Senior Investment Officer, California Public Employees' Retirement System
Apr. 2, 2011 Michael J. Aitken, Chief Scientist. and Ann Leduc, CEO, EWS Pty Ltd, Capital Markets Cooperative Research Centre, Sydney, Australia
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Mar. 6, 2011 Suzanne H. Shatto, Investor, Seattle, Washington
Mar. 2, 2011 Dale C. Moore, Mosier, Oregon
Feb. 12, 2011 Chris Barnard, Germany
Feb. 11, 2011 Patrick Durkin, Managing Director, Barclays Capital Inc.
Feb. 8, 2011 Kenneth A. Monahan, Principal, Vizier Ltd., New York, New York

Meetings with SEC Officials

Click here for submitted comments from the public)
Oct. 22, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 16, 2012, meeting with representatives of the Wholesale Market Brokers Association, Americas (WMBAA)
Oct. 22, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA
Oct. 17, 2012 Memorandum from the Division of Trading and Markets regarding an October 10, 2012, meeting with representatives of Creditex
Sep. 28, 2012 Memorandum from the Division of Trading and Markets regarding a September 25, 2012, meeting with representatives of NFA
Aug. 21, 2012 Memorandum from the Office of the Chairman regarding an August 21, 2012, telephone call with a representative of ICAP Americas
Aug. 21, 2012 Memorandum from the Office of the Chairman regarding an August 21, 2012, meeting with representatives of OTC Markets
Aug. 16, 2012 Memorandum from the Office of Commissioner Aguilar regarding an August 13, 2012, telephonic meeting with a representative of ICAP plc
Aug. 14, 2012 Memorandum from the Division of Trading and Markets regarding an August 13, 2012, meeting with representatives from Tullett Prebon
Jul. 31, 2012 Memorandum from the Division of Trading and Markets regarding a July 25, 2012, meeting with representatives of Creditex
Jul. 18, 2012 Memorandum from the Division of Trading and Markets and the Office of Compliance Inspections and Examinations regarding a July 17, 2012, meeting with representatives of NFA
Jul. 5, 2012 Memorandum from the Division of Trading and Markets regarding a July 2, 2012, meeting with a representative of MarkitServ
Jul. 2, 2012 Memorandum from the Division of Trading and Markets regarding a June 19, 2012, meeting with representatives of UBS
Jun. 25, 2012 Memorandum from the Office of Commissioner Aguilar regarding a June 19, 2012, meeting with representatives of UBS
Jun. 20, 2012 Memorandum from the Office of Commissioner Paredes regarding a June 19, 2012, meeting with representatives of UBS
Jun. 11, 2012 Memorandum from the Division of Trading and Markets regarding a June 4, 2012, meeting with representatives of Tullett Prebon
May 23, 2012 Memorandum from the Division of Trading and Markets regarding a May 16, 2012, meeting with representatives of GFI Group
May 10, 2012 Memorandum from the Division of Trading and Markets regarding a May 9, 2012, meeting with representatives of Thomson Reuters
May 10, 2012 Memorandum from the Office of Commissioner Paredes regarding a May 9, 2012, meeting with representatives of Thomson Reuters
May 9, 2012 Memorandum from the Office of Commissioner Aguilar regarding a May 9, 2012, meeting with representatives of Thomson Reuters
Apr. 25, 2012 Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with representatives from the Wholesale Market Brokers Association
Mar. 28, 2012 Memorandum from the Division of Trading and Markets regarding a March 27, 2012, meeting with representatives of UBS
Mar. 26, 2012 Memorandum from the Division of Risk, Strategy, and Financial Innovation and the Division of Trading and Markets regarding a March 16, 2012, meeting with representatives from SDMA/Javelin
Mar. 5, 2012 Memorandum from the Division of Trading and Markets regarding a February 29, 2012, meeting with representatives from ICAP
Feb. 27, 2012 Memorandum from the Division of Trading and Markets regarding a February 23, 2012, meeting with representatives of TriOptima
Feb. 21, 2012 Memorandum from the Division of Trading and Markets regarding a February 17, 2012, meeting with representatives of Better Markets, Inc.
Feb. 14, 2012 Memorandum from the Office of the Chairman regarding a February 14, 2012, meeting with representatives from ICAP
Feb. 2, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA
Jan. 23, 2012 Memorandum from the Office of Commissioner Aguilar regarding a January 17, 2012, meeting with representatives of Bloomberg L.P.
Jan. 20, 2012 Memorandum from the Division of Trading and Markets regarding a January 19, 2012, meeting with representatives from Better Markets, Inc.
Jan. 18, 2012 Memorandum from the Office of Commissioner Paredes regarding a January 17, 2012, meeting with a representatives of Bloomberg LP, Bloomberg Tradebook, and Williams & Jensen
Jan. 17, 2012 Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of Bloomberg
Dec. 21, 2011 Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with a representative of ICAP
Dec. 14, 2011 Memorandum from the Division of Trading and Markets regarding a December 13, 2011, conference call with representatives from ISDA and SIFMA
Dec. 14, 2011 Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of Thomson Reuters
Dec. 12, 2011 Memorandum from the Office of Commissioner Paredes regarding a December 8, 2011, meeting with representatives of Bank of America; Barclays Capital; BNP Paribas; Credit Agricole; Deutsche Bank; Goldman Sachs; Morgan Stanley; Nomura; RBC; Societe Generale; Wells Fargo; HSBC; Davis, Polk; SIFMA and Citibank
Dec. 7, 2011 Memorandum from the Office of Commissioner Walter regarding a meeting with Representatives of the Securities Industry and Financial Markets Association
Nov. 30, 2011 Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives from international banks
Nov. 18, 2011 Memorandum from the Division of Trading and Markets regarding a November 16, 2011, meeting with representatives from Javelin
Nov. 18, 2011 Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with representatives from Barclays
Nov. 18, 2011 Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with a representative of ICAP
Nov. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 3, 2011, meeting with representatives from Wholesale Markets Brokers' Association, Americas (WMBA Americas)
Nov. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 3, 2011, meeting with representatives from Thomson Reuters
Nov. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 4, 2011, meeting with representatives from ICAP
Nov. 1, 2011 Memorandum from the Division of Trading and Markets regarding an October 27, 2011, meeting with representatives from MarketAxess
Nov. 1, 2011 Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives from Bloomberg
Oct. 24, 2011 Memorandum from the Division of Trading and Markets regarding an October 6, 2011, meeting with representatives from TriOptima
Sep. 16, 2011 Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from the Swaps and Derivatives Market Association (SDMA)
Sep. 9, 2011 Memorandum from the Office of Commissioner Paredes regarding a September 8, 2011, meeting with representatives from ICAP Electronic Broking LLC
Sep. 8, 2011 Memorandum from the Office of Commissioner Walter regarding a September 8, 2011, meeting with representatives from ICAP
Aug. 2, 2011 Memorandum from the Division of Trading and Markets regarding a July 25, 2011, meeting with representatives from the National Futures Association (NFA)
Jul. 28, 2011 Memorandum from the Division of Trading and Markets regarding a July 27, 2011, meeting with representatives from Vyapar Capital Market Partners LLC
Jul. 28, 2011 Memorandum from the Division of Trading and Markets regarding a July 26, 2011, meeting with representatives from the Financial Industry Regulatory Authority, Inc. (FINRA)
Jul. 27, 2011 Memorandum from the Division of Trading and Markets regarding a July 27, 2011, meeting with representatives from The TABB Group, LLC
Jul. 27, 2011 Memorandum from the Division of Trading and Markets regarding a July 20, 2011, meeting with representatives from UBS
Jul. 22, 2011 Memorandum from the Division of Trading and Markets regarding a July 21, 2011, meeting with representatives of Bloomberg LLP
Jul. 22, 2011 Memorandum from the Division of Trading and Markets regarding a July 20, 2011, meeting with representatives of Spring Trading
Jul. 15, 2011 Memorandum from the Division of Trading and Markets regarding a July 14, 2011, meeting with representatives of GFI Group, Inc.
Jul. 1, 2011 Memorandum from the Division of Trading and Markets regarding a June 27, 2011, meeting with representatives of MarketAxess
Jun. 27, 2011 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Tradeweb Markets LLC
Jun. 27, 2011 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives from Tradeweb
Jun. 24, 2011 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Bloomberg L.P.
Jun. 23, 2011 Memorandum from the Office of Commissioner Walter regarding a June 23, 2011, meeting with representatives of Goldman Sachs
Jun. 23, 2011 Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs
Jun. 10, 2011 Memorandum from the Division of Trading and Markets Regarding a Meeting with Representatives of TriOptima, Clifford Chance LLP and Delta Strategy Group
May 25, 2011 Memorandum from the Division of Trading and Markets regarding a May 16, 2011, meeting with representatives from Phoenix Partners Group, LP
May 19, 2011 Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 11, 2010 Memorandum from the Division of Trading and Markets regarding a May 17, 2011 Meeting with Representatives of ICAP and Patton Boggs LLP
May 12, 2011 Memorandum from the Division of Trading and Markets regarding a May 11, 2011, meeting with representatives from GFI Group Inc.
May 12, 2011 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives from BNY Mellon
May 9, 2011 Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives from Javelin
May 3, 2011 Memorandum from the Division of Trading and Markets regarding an April 27, 2011, telephonic meeting with representatives from the Securities Industry and Financial Markets Association Asset Management Group (SIFMA-AMG)
Apr. 20, 2011 Memorandum from the Office of Commissioner Aguilar regarding an April 20, 2011, meeting with representatives the International Swaps and Derivatives Association, Inc.
Apr. 20, 2011 Memorandum from the Office of Commissioner Walter regarding an April 20, 2011, meeting with representatives the International Swaps and Derivatives Association, Inc.
Mar. 9, 2010 Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association
Mar. 2, 2011 Memorandum from the Office of Commissioner Paredes regarding a March 1, 2011, meeting with representatives of Nomura
Feb. 28, 2011 Memorandum from the Division of Trading and Markets regarding a February 24, 2011, meeting with representatives of GFI Group
Feb. 24, 2011 Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs
Feb. 23, 2011 Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of Barclays Capital
Feb. 23, 2011 Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of Bloomberg LLP
Feb. 22, 2011 Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of TruMarx Data Partners and Delta Strategy Group
Feb. 21, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies
Feb. 16, 2011 Memorandum from the Office of Commissioner Elisse B. Walter regarding a February 16, 2011, meeting with representatives of Barclays Capital
Feb. 14, 2011 Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 4, 2011, meeting with representatives of Barclays
Feb. 4, 2011 Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc.
Feb. 3, 2011 Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Barclays Capital
Feb. 3, 2011 Memorandum from the Office of Commissioner Aguilar regarding a February 3, 2011, meeting with representatives of Barclays Capital

 

http://www.sec.gov/comments/s7-06-11/s70611.shtml

Modified: 01/02/2014