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Comments on Amendments to Financial Responsibility Rules for Broker-Dealers
[Release No. 34-55431; File No. S7-08-07]
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| Mar. 8, 2017 | Memorandum from the Office of the Acting Chairman regarding a March 8, 2017, meeting with representatives of Federated Investors, Inc. and Pickard, Djinis and Pisarri LLP |
| Feb. 22, 2016 | Lee A. Pickard, Pickard Djinis and Pisarri LLP |
| 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]
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| 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
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