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Comments on Amendments to Financial Responsibility Rules for Broker-Dealers

[Release No. 34-55431; File No. S7-08-07]


Jan. 28, 2013 Scott E. Shjefte, Brooklyn Park, Minnesota
Jan. 24, 2013 Robert Fournier, Barstow, California
Jan. 5, 2013 Anonymous
Jan. 4, 2013 Marquis Wilkins
Nov. 1, 2012 Percy R. Moorman, Esquire, Washington, District of Columbia
Oct. 25, 2012 Eric Gamble, Ph.D., College Educator, Charlotte, North Carolina
Oct. 24, 2012 Paul L. Matecki, Senior Vice President, General Counsel, Raymond James Financial, Inc.
Oct. 19, 2012 Rick Louderbough, Albuquerque, New Mexico
Sep. 28, 2012 Robert LaPlante, M.P.A., Seacrest, Florida
Sep. 27, 2012 Jeff S. Clark, Saint Lucie West, Florida
Sep. 18, 2012 Memorandum from the Division of Trading and Markets regarding an September 17, 2012, meeting with a representative of National Investment Banking Association ("NIBA"), the Real Estate Investment Securities Association ("REISA"), the National Due Diligence Alliance ("TNDDA"), and the Financial Securities Exchange ("FSX")
Sep. 17, 2012 Gene L. Finn, Ph.D., Baltimore, Maryland
Aug. 26, 2012 Mark Irwin, Rockville, Maryland
Aug. 15, 2012 Echeal R. Sigan, Plougasnou, France
Aug. 6, 2012 Gene Finn
Jul. 30, 2012 David Waddell, Arizona
Jul. 18, 2012 Gene L. Finn
Jul. 12, 2012 The Board of Directors of the National Investment Banking Association
Jun. 26, 2012 Cindy Walsh
Jun. 25, 2012 Gene L. Finn, Baltimore, Maryland
Jun. 11, 2012 Steve M. Brewer, Sr., ASG Securities, LLC, Houston, Texas
Jun. 8, 2012 James T. McHale, Global Head of Compliance, E*TRADE Financial Corporation
Jun. 8, 2012 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers
Jun. 8, 2012 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Jun. 8, 2012 Ryan K. Bakhtiari, Aidikoff, Uhl & Bakhtiari, on behalf of the Public Investors Arbitration Bar Association
Jun. 8, 2012 William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Jun. 8, 2012 Colin W. McKechnie, Managing Director, JPMorgan Chase Bank, N. A.
Jun. 8, 2012 Denise Dolphin, Rhode Island
Jun. 7, 2012 Tom Vincent, Senior Vice President, Manager, Corporate Governance and Wealth Management Compliance, BOK Financial Corporation
Jun. 7, 2012 Anthony Fitzgerald, Investment banker, Millburn, New Jersey
Jun. 4, 2012 Michael Scillia, Director, National Investment Banking Association, Athens, Georgia
Jun. 1, 2012 Lee A. Pickard, Pickard and Djinis LLP, on behalf of Federated Investors, Inc., Washington, District of Columbia
May 30, 2012 Bruce J. Womack, Buford, Georgia
May 24, 2012 Dick Fuld, Greenwich, Connecticut
May 18, 2012 Laura H. Hearne, Manassas, Virginia
May 15, 2012 Helen M. Saarinen, Larchmont, New York
May 11, 2012 Chris Barnard, Germany
May 5, 2012 Edward P. Cernocky, Houston, Texas

 

[Release No. 34-55431; File No. S7-08-07]


Oct. 14, 2011 Rep. Gregory W. Meeks, U.S. House of Representatives
Jun. 8, 2010 Rep. Gregory W. Meeks, U.S. House of Representatives
Jul. 28, 2009 Richard J. McDonald, Chief Regulatory Counsel, Susquehanna International Group, LLP
Dec. 18, 2008 Lee A. Pickard, Pickard and Djinis LLP, on behalf of Federated Investors, Inc.
Dec. 9, 2008 Memorandum from the Division of Trading and Markets regarding an December 9, 2008, meeting with representatives of Federated Investors, Inc.
Nov. 25, 2008 Lee A. Pickard
Nov. 10, 2008 Lee A. Pickard
Nov. 7, 2008 Memorandum from the Office of the Chairman regarding an November 4, 2008, meeting with representatives of Federated Investors, Inc.
Oct. 17, 2008 Memorandum from the Office of the Chairman regarding an October 10, 2008, meeting with a representative from Bryan Cave on behalf of Federated Investors, Inc.
Oct. 6, 2008 Memorandum from the Office of the Chairman regarding an October 3, 2008, meeting with a representative from Bryan Cave on behalf of Federated Investors, Inc.
Aug. 18, 2008 Memorandum from the Division of Trading and Markets regarding an August 15, 2008, meeting with a representative from Bryan Cave on behalf of Federated Investors, Inc.
Aug. 14, 2008 Memorandum from the Office of the Chairman regarding an August 8, 2008, meeting with a representative of Federated Investors, Inc.
Aug. 7, 2008 Stuart J. Kaswell, Bryan Cave LLP, on behalf of Federated Investors, Inc.
Jun. 6, 2008 Memorandum from the Office of Commissioner Atkins regarding a meeting with representatives of Federated Investors
May 27, 2008 Memorandum from the Office of Commissioner Atkins regarding an April 23, 2008, meeting with representatives of Federated Investors and Dechert
May 12, 2008 Memorandum from the Office of the Chairman regarding a telephone conference with representatives of Federated Investors, Inc. and Bryan Cave
Mar. 17, 2008 Memorandum from the Office of the Chairman regarding a meeting with representatives ofFederated Investors, Inc. and Dechert, Price & Rhodes
Jan. 7, 2008 Stuart J. Kaswell, Partner, Dechert LLP
Nov. 16, 2007 Marshall J. Levinson, Chair, Capital Committee, Securities Industry and Financial Markets Association
Nov. 14, 2007 Memorandum from the Division of Market Regulation regarding a November 13, 2007, meeting with representatives of Federated Investors, Inc.
Oct. 17, 2007 Memorandum from the Division of Market Regulation regarding a October 15, 2007, meeting with representatives of the Capital Steering Committee of the Securities Industry and Financial Markets Association
Oct. 9, 2007 Stuart J. Kaswell, Partner, Dechert LLP
Sep. 26, 2007 Memorandum from the Office of the Chairman regarding a September 21, 2007, meeting with representatives of Federated Investors Management Company, Inc. and Deckert LLP
Aug. 6, 2007 Memorandum from the Office of Commissioner Atkins regarding an August 1, 2007 meeting with representatives of Federated Investors
Aug. 6, 2007 Stuart J. Kaswell, Dechert LLP, Washington, D.C., on behalf of Federated Investors, Inc.
Jul. 23, 2007 Charles S. Morrison, Senior Vice President and Money Market Group Leader, Fidelity Management & Research Company, and John Valenti, Vice President, National Financial Securities LLC
Jul. 3, 2007 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Jun. 25, 2007 Susan Milligan, Options Clearing Corporation, Washington, District of Columbia
Jun. 25, 2007 Cliff Verron, Managing Director, Deputy Chief Financial Officer and John Ramsay, Managing Director, Deputy General Counsel, Citigroup Global Markets Inc.
Jun. 19, 2007 James T. McHale, Associate General Counsel, E*TRADE Brokerage Holdings, Inc.
Jun. 18, 2007 Jeffrey P. Neubert, Chief Executive Officer, Clearing House Association L.L.C.
Jun. 18, 2007 Jane G. Heinrichs, Associate Counsel, Investment Company Institute
Jun. 18, 2007 Howard Spindel, Senior Managing Director, Integrated Management Solutions
Jun. 18, 2007 David Lonergan, Head of US Cash Management, Barclays Global Investors
Jun. 18, 2007 Michael W. Fields, Chief Fixed Income Officer, American Beacon Advisors
Jun. 18, 2007 David Hirschmann, Senior Vice President, U.S. Chamber of Commerce
Jun. 18, 2007 Sarah A. Miller, General Counsel, American Bankers Association
Jun. 18, 2007 James S. Keller, Chief Regulatory, The PNC Financial Services Group, Inc.
Jun. 18, 2007 Robert E. Putney, III, Director and Senior Counsel, BlackRock, Inc.
Jun. 18, 2007 Jill Gross and Rahat Sarmast, Pace Investor Rights Project
Jun. 18, 2007 Marcelo Riffaud, Managing Director, Legal Department, Deutsche Bank Securities Inc.
Jun. 18, 2007 UBS Global Asset Management (Americas) Inc.
Jun. 18, 2007 Michael Dworkin
Jun. 15, 2007 Christopher Williams, Director and Senior Counsel, and Barbara Brooks, Principal Financial Officer, Dresdner Kleinwort
Jun. 15, 2007 Marshall J. Levinson, Senior Managing Director, Bear, Stearns & Co. Inc., Chair, SIFMA Capital Committee
Jun. 15, 2007 Matthew M. Hughey, Chief Financial Officer, First Clearing, LLC
Jun. 15, 2007 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
Jun. 14, 2007 Frank A. Perrone, Senior Vice President, Brown Brothers Harriman & Co.
Jun. 14, 2007 Amal El Said, Accounting and Regulatory, Abbey National, Stamford, Connecticut
Jun. 13, 2007 Bruce Bent, Chairman, The Reserve, New York, New York
Jun. 5, 2007 Kelly S. McEntire, Executor, Retired State Administrator/Executor of Janus Capital Investments, Huntsville, Utah
Jun. 3, 2007 Anonymous
May 31, 2007 John C. Melton, Sr., Executive Vice President, Coastal Securities, Houston, Texas
May 29, 2007 Robert Keenan, CEO, St. Bernard Financial Services, Inc., Russellville, Arkansas
May 28, 2007 William Bare, Arvada, Colorado
May 27, 2007 Joyce Glenn
May 23, 2007 Charles R. Manzoni, Jr., General Counsel, FAF Advisors, Inc., Minneapolis, Minnesota
May 21, 2007 Faith Colish, Carter Ledyard Milburn LLP, New York, New York
May 18, 2007 Diane V. Eshleman, Executive Vice President, JPMorgan Chase Bank, N. A.
May 18, 2007 Kimberly Taylor, Managing Director and President Clearing House Division, Chicago Mercantile Exchange Inc.
May 18, 2007 Memorandum regarding a May 15, 2007 phone call with New York Stock Exchange and NASD staff
May 17, 2007 Josephine Wang, General Counsel, Securities Investor Protection Corporation, Washington, District of Columbia
May 17, 2007 Jeffrey L. Kiss, Principal, PackerKiss Securities, Inc., Delray Beach, Florida
May 16, 2007 Steven R. Gerbel, Chicago Capital Management LP, Chicago, Illinois
May 15, 2007 Memorandum regarding a May 15, 2007 phone call with Marshall Levinson
May 15, 2007 Memorandum regarding a May 15, 2007 meeting with representatives of Deutsche Bank Securities, Inc.
May 10, 2007 Richard B. Franz II, Senior Vice-President, Treasurer, and Chief Financial Officer, Raymond James & Associates
May 7, 2007 Michael Bell, President and CEO, Curian Clearing, LLC
May 4, 2007 Gerard J. Quinn, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association
May 2, 2007 Daniel R. Levene, President Small NASD Broker Dealer, Boca Raton, Florida
May 1, 2007 Stuart J. Kaswell and David J. Harris, Dechert LLP
Apr. 29, 2007 G. Kirk Ellis
Apr. 29, 2007 R. A. Lowenstein, FinOps Compliance Consultant, Los Angeles, California
Apr. 28, 2007 Ted Beer, Broker/Dealer Principal, Tempe, Arizona
Apr. 27, 2007 Ted Beer, Broker/Dealer Principal, Tempe, Arizona
Apr. 22, 2007 David Michael Bishop
Apr. 22, 2007 Peter G. Crane, President, Crane Data LLC; Publisher Money Fund Intelligence, Westboro, Massachusetts

 

http://www.sec.gov/comments/s7-08-07/s70807.shtml

Modified: 01/29/2013