Comments on Amendments to Financial Responsibility Rules for Broker-Dealers

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-55431 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
Public Comment 34-55431 Stuart J. Kaswell, Partner, Dechert LLP
Meeting with SEC Officials 34-55431 Memorandum from the Office of the Chairman regarding a September 21, 2007, meeting with representatives of Federated Investors Management Company, Inc. and Deckert LLP
Meeting with SEC Officials 34-55431 Memorandum from the Office of Commissioner Atkins regarding an August 1, 2007 meeting with representatives of Federated Investors
Public Comment 34-55431 Stuart J. Kaswell, Dechert LLP, Washington, D.C., on behalf of Federated Investors, Inc.
Public Comment 34-55431 Charles S. Morrison, Senior Vice President and Money Market Group Leader, Fidelity Management & Research Company, and John Valenti, Vice President, National Financial Securities LLC
Public Comment 34-55431 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Public Comment 34-55431 Cliff Verron, Managing Director, Deputy Chief Financial Officer and John Ramsay, Managing Director, Deputy General Counsel, Citigroup Global Markets Inc.
Public Comment 34-55431 Susan Milligan, Options Clearing Corporation, Washington, District of Columbia
Public Comment 34-55431 James T. McHale, Associate General Counsel, E*TRADE Brokerage Holdings, Inc.
Public Comment 34-55431 David Hirschmann, Senior Vice President, U.S. Chamber of Commerce
Public Comment 34-55431 David Lonergan, Head of US Cash Management, Barclays Global Investors
Public Comment 34-55431 Howard Spindel, Senior Managing Director, Integrated Management Solutions
Public Comment 34-55431 James S. Keller, Chief Regulatory, The PNC Financial Services Group, Inc.
Public Comment 34-55431 Jane G. Heinrichs, Associate Counsel, Investment Company Institute
Public Comment 34-55431 Jeffrey P. Neubert, Chief Executive Officer, Clearing House Association L.L.C.
Public Comment 34-55431 Jill Gross and Rahat Sarmast, Pace Investor Rights Project
Public Comment 34-55431 Marcelo Riffaud, Managing Director, Legal Department, Deutsche Bank Securities Inc.
Public Comment 34-55431 Michael Dworkin
Public Comment 34-55431 Michael W. Fields, Chief Fixed Income Officer, American Beacon Advisors
Public Comment 34-55431 Robert E. Putney, III, Director and Senior Counsel, BlackRock, Inc.
Public Comment 34-55431 Sarah A. Miller, General Counsel, American Bankers Association
Public Comment 34-55431 UBS Global Asset Management (Americas) Inc.
Public Comment 34-55431 Christopher Williams, Director and Senior Counsel, and Barbara Brooks, Principal Financial Officer, Dresdner Kleinwort
Public Comment 34-55431 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
Public Comment 34-55431 Marshall J. Levinson, Senior Managing Director, Bear, Stearns & Co. Inc., Chair, SIFMA Capital Committee
Public Comment 34-55431 Matthew M. Hughey, Chief Financial Officer, First Clearing, LLC
Public Comment 34-55431 Amal El Said, Accounting and Regulatory, Abbey National, Stamford, Connecticut
Public Comment 34-55431 Frank A. Perrone, Senior Vice President, Brown Brothers Harriman & Co.
Public Comment 34-55431 Bruce Bent, Chairman, The Reserve, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-08-07
Release Number
34-55431
34-55431
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