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
Public Comment 34-63825 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a March 27, 2012, meeting with representatives of UBS
Meeting with SEC Officials 34-63825 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
Public Comment 34-63825 Mike Hisler, SDMA, New York, New York
Public Comment 34-63825 George D. Baker, Attorney, Washington, District of Columbia
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a February 29, 2012, meeting with representatives from ICAP
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a February 23, 2012, meeting with representatives of TriOptima
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a February 17, 2012, meeting with representatives of Better Markets, Inc.
Public Comment 34-63825 Mike Hisler, Swaps and Derivatives Market Association (SDMA), New York, New York
Meeting with SEC Officials 34-63825 Memorandum from the Office of the Chairman regarding a February 14, 2012, meeting with representatives from ICAP
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Office of Commissioner Aguilar regarding a January 17, 2012, meeting with representatives of Bloomberg L.P.
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a January 19, 2012, meeting with representatives from Better Markets, Inc.
Meeting with SEC Officials 34-63825 Memorandum from the Office of Commissioner Paredes regarding a January 17, 2012, meeting with a representatives of Bloomberg LP, Bloomberg Tradebook, and Williams & Jensen
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of Bloomberg
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with a representative of ICAP
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a December 13, 2011, conference call with representatives from ISDA and SIFMA
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of Thomson Reuters
Meeting with SEC Officials 34-63825, 33-9204, 34-63452 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
Public Comment 34-63825 Thomas H. Glocer, Chief Executive Officer, Thomson Reuters
Public Comment 34-63825, 34-63107 David E. Franasiak, on behalf of Bloomberg
Meeting with SEC Officials 34-63825, 34-63346, 34-63452 Memorandum from the Office of Commissioner Walter regarding a meeting with Representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives from international banks
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a November 16, 2011, meeting with representatives from Javelin
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with a representative of ICAP
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with representatives from Barclays
Public Comment 34-63825 Mary P. Johannes, Senior Director and Head of US Public Policy, International Swaps and Derivatives Association, Inc.
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a November 3, 2011, meeting with representatives from Thomson Reuters
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a November 3, 2011, meeting with representatives from Wholesale Markets Brokers' Association, Americas (WMBA Americas)
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a November 4, 2011, meeting with representatives from ICAP
Public Comment 34-63825 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

Last Reviewed or Updated: Dec. 18, 2025

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