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: Clearing Agency Standards for Operation and Governance

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-69491, 34-74834, 34-69491 Memorandum from the Division of Trading and Markets regarding an October 19, 2015, meeting with representatives of Citadel and Delta Strategy Group
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of Americans for Financial Reform
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a November 22, 2013 conference call with representatives of the Depository Trust & Clearing Corporation
Public Comment 34-69491 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-69491 Jeff Gooch, Head of Processing, Markit
Public Comment 34-69491 Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois
Public Comment 34-69491 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-64017, 34-63107, 34-63347 Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA
Meeting with SEC Officials 34-64017 Memorandum regarding a January 30, 2013, meeting with representatives of MarkitSERV
Meeting with SEC Officials 34-64017, 34-63107, 34-63347 Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
Meeting with SEC Officials 34-63825, 34-64017 Memorandum from the Office of Commissioner Aguilar regarding an August 13, 2012, telephonic meeting with a representative of ICAP plc
Meeting with SEC Officials 34-64017 Memorandum from the Division of Trading and Markets regarding the April 16, 2012, publication of the CPSS-IOSCO FMI Report
Meeting with SEC Officials 34-64017, 34-63107, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Meeting with SEC Officials 34-64017 Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 1, 2012, meeting with representatives of Citadel
Meeting with SEC Officials 34-64017, 34-63557 Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Meeting with SEC Officials 34-64017 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Markit, MarkitSERV, DTCC and Latham & Watkins
Meeting with SEC Officials 34-64017, 34-63557 Memorandum from the Division of Trading and Markets regarding a September 29, 2011 meeting with representatives of LCH.Clearnet and The Rich Feuer Group
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market 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
Public Comment 34-64017, 34-64678, 34-64795, 34-64796 Kevin Gould, President, Markit North America, Inc.
Public Comment 34-64017 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Meeting with SEC Officials 34-64017 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of Omgeo
Public Comment 34-64017, 34-64678, 34-64795, 34-64796 Jeff Gooch, Chief Executive Officer, MarkitSERV
Public Comment 34-64017 Mark Beeston, Chief Executive Officer, Portfolio Risk Services, ICAP plc, London, United Kingdom
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P.
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC

Last Reviewed or Updated: Jan. 7, 2026

File Number
S7-08-11
Release Number
34-69491
34-64017
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