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

Filter comments

Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-63825 David Kelly, Managing Director, and Paul Hamill, Executive Director, UBS Securities LLC, New York, New York
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives from Bloomberg
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding an October 27, 2011, meeting with representatives from MarketAxess
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding an October 6, 2011, meeting with representatives from TriOptima
Public Comment 34-63825, 34-63346 Michael Hisler, Co-Founder, Swaps & Derivatives Market Association
Public Comment 34-63825 John F. Spencer, Jr., Cochranville, Pennsylvania
Public Comment 34-63825 Shawn Bernardo, Managing Director, Tullett Prebon
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from the Swaps and Derivatives Market Association (SDMA)
Meeting with SEC Officials 34-63825 Memorandum from the Office of Commissioner Paredes regarding a September 8, 2011, meeting with representatives from ICAP Electronic Broking LLC
Public Comment 34-63825, 34-62717, 33-9204, 34-64766, 34-63346, 34-63556, 34-63557 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
Meeting with SEC Officials 34-63825, 34-64017 Memorandum from the Office of Commissioner Walter regarding a September 8, 2011, meeting with representatives from ICAP
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 25, 2011, meeting with representatives from the National Futures Association (NFA)
Public Comment 34-63825 Christoffer Mohammar, General Counsel, TriOptima Group
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 26, 2011, meeting with representatives from the Financial Industry Regulatory Authority, Inc. (FINRA)
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 27, 2011, meeting with representatives from Vyapar Capital Market Partners LLC
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 20, 2011, meeting with representatives from UBS
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 27, 2011, meeting with representatives from The TABB Group, LLC
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 20, 2011, meeting with representatives of Spring Trading
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a July 21, 2011, meeting with representatives of Bloomberg LLP
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a July 14, 2011, meeting with representatives of GFI Group, Inc.
Public Comment 34-63825 Scott Pintoff, General Counsel, GFI Group Inc.
Public Comment 34-63825 Mark Beeston, Chief Executive Officer, Portfolio Risk Services, ICAP plc, London, United Kingdom
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a June 27, 2011, meeting with representatives of MarketAxess
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives from Tradeweb
Meeting with SEC Officials 34-63825 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Tradeweb Markets LLC
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Bloomberg L.P.
Meeting with SEC Officials 34-64314, 34-63825, 34-63346, 34-63347, 34-63557 Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-63825 Memorandum from the Office of Commissioner Walter regarding a June 23, 2011, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-63825, 34-64017 Memorandum from the Division of Trading and Markets Regarding a Meeting with Representatives of TriOptima, Clifford Chance LLP and Delta Strategy Group
Public Comment 34-63825 Alessandro Cocco, Managing Director, J. P. Morgan

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-11
Release Number
34-69491
34-63825
How to submit comments