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: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 29, 2019, meeting with representatives of HSBC
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 29, 2019, meeting with representatives of ING
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 13, 2019, telephone call with a representative of Mizuho
Meeting with SEC Officials 34-85823, 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2019, telephone call with a representative of Cleary Gottlieb
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2019, telephone call with a representative of Cleary Gottlieb
Public Comment 34-69491 Rep. Ted Budd, Member of Congress, et al.
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 26, 2019, meeting with representatives of Mizuho
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2019, telephone call with a representative of Cleary Gottlieb
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 29, 2019, telephone call with a representative of NextGen Strategic Advisors
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 1, 2019, telephone call with a representative of Cleary Gottlieb
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 6, 2019, telephone call with a representative of NextGen Strategic Advisors
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 15, 2019, telephone call with a representative of NextGen Strategic Advisors
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 16, 2019, telephone call with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 22, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 4, 2019, meeting with a representative of the Managed Funds Association
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 5, 2019, meeting with a representative of the Investment Company Institute (ICI)
Public Comment 34-69491 Institute of International Bankers
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a March 21, 2019, meeting with representatives of Mizuho Securities USA LLC
Meeting with SEC Officials 34-71958, 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 12, 2019, meeting with a representative of NextGen Strategic Advisors
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 22, 2019, meeting with representatives of Mizuho
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 23, 2019, telephone call with a representative of Mizuho
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 5, 2019, meeting with representatives of ING
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 6, 2019, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 7, 2019, meeting with representatives of the International Swaps and Derivatives Association
Meeting with SEC Officials 34-83062, 34-69491, 34-83063, IA-4889 Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 12, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 34-83062, 34-69491, 34-83063, IA-4889 Memorandum from the Office of the Chairman regarding a November 28, 2018, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a March 7, 2019, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a March 5, 2019, meeting with representatives of ING Capital Markets LLC
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 18, 2018, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 14, 2019, meeting with representatives of MetLife

Last Reviewed or Updated: Jan. 7, 2026

File Number
S7-08-12
Release Number
34-69491
IC-29969
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