Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Comments on Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order

Filter comments


Date Sort descending	Letter Type	Commenter Name
Oct. 8, 2021	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an October 1, 2021 meeting with representatives from UBS AG and Credit Suisse AG (the Swiss Firms)
Oct. 6, 2021	Public Comment	Colin Lloyd, Partner, Cleary, Gottlieb, Steen, Hamilton, LLP on behalf of UBS AG and Credit Suisse AG
Sept. 10, 2021	Public Comment	Gordon Kiesling, Managing Director, UBS AG; Thomas Bischof, Managing Director, UBS AG; Maria Chiodi, Managing Director, Credit Suisse AG; and Drew Shoemaker, Managing Director, Credit Suisse AG
Aug. 12, 2021	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an August 12, 2021 meeting with representatives from the Securities Industry and Financial Markets Association
Aug. 11, 2021	Public Comment	Marko
Aug. 10, 2021	Public Comment	Sherfey Investment Firm

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-07-21

Release Number

34-92632

How to submit comments