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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
[Release No. 34-69491; File No. S7-08-12]
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(Click here for meetings with SEC officials)
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| May 14, 2019 | Rep. Ted Budd, Member of Congress, et al. |
| Mar. 28, 2019 | Institute of International Bankers |
| Feb. 4, 2019 | ICI |
| Dec. 7, 2018 | Lee A. Pickard, Picard Djinis and Pisarri LLP |
| Dec. 4, 2018 | Bill Harrington |
| Nov. 29, 2018 | Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association |
| Nov. 20, 2018 | Robert E. Rutkowski |
| Nov. 19, 2018 | Thomas G. McCabe, Chief Regulatory Officer, OneChicago, LLC |
| Nov. 19, 2018 | Scott O'Malia, Chief Executive Officer, International Swaps and Derivatives Association (ISDA) |
| Nov. 19, 2018 | Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce, Center for Capital Markets Competitiveness |
| Nov. 19, 2018 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities, American Council of Life Insurers |
| Nov. 19, 2018 | Americans for Financial Reform Education Fund |
| Nov. 19, 2018 | Briget Polichene, Chief Executive Officer, Institute of International Bankers |
| Nov. 19, 2018 | Stephen John Berger, Managing Director, Government and Regulatory Policy, Citadel Securities |
| Nov. 19, 2018 | Dennis Kelleher, President and CEO, et al., Better Markets, Inc. |
| Nov. 19, 2018 | Timothy W. Cameron, Esq., Managing Director, Asset Management Group, and Matthew J. Nevins, Esq., Managing Director and Associate General Counsel, Asset Management Group; Securities Industry and Financial Markets Association (SIFMA) |
| Nov. 19, 2018 | Walt L. Lukken, President and Chief Executive Office, Futures Industry Association |
| Nov. 19, 2018 | Susan M. Olson, General Counsel, Investment Company Institute |
| Nov. 19, 2018 | Kenneth E. Bentsen, President and Chief Executive Officer, SIFMA |
| Nov. 19, 2018 | William J. Harrington |
| Nov. 19, 2018 | Laura Harper Powell, Associate General Counsel, Managed Funds Association, and Adam Jacobs-Dean, Managing Director, Global Head of Markets Regulation, Alternative Investment Management Association |
| Nov. 19, 2018 | Sebastian Crapanzano and Soo-Mi Lee, Managing Directors, Morgan Stanley |
| Nov. 16, 2018 | Michael Baudo, President and Chief Executive Officer, and Marcy S. Cohen, General Counsel and Managing Director, ING Financial Capital Markets LLC; Adam Hopkins, Managing Director, Legal Department, Mizuho Capital Markets LLC |
| Nov. 15, 2018 | Lee A. Pickard, Pickard Djinis and Pisarri LLP, on behalf of Federated Investors, Inc. |
| Nov. 8, 2018 | Robert Rozell |
| Nov. 8, 2018 | Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors |
| Oct. 25, 2018 | Kyle Brandon, Managing Director, Head of Derivatives and Director of Research, SIFMA, and Briget Polichene, Chief Executive Officer, IIB |
| Oct. 24, 2018 | International Swaps and Derivatives Association, Inc., et al. |
| Sep. 12, 2018 | Scott O'Malia, Chief Executive Officer, ISDA, et al. |
| Jul. 12, 2018 | The Alternative Reference Rates Committee |
| Jun. 21, 2018 | Institute of International Bankers and SIFMA |
| May 18, 2017 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| May 15, 2017 | Stephen John Berger, Managing Director, Government and Regulatory Policy, Citadel Securities |
| Aug. 31, 2016 | Agus D.W. Martowardojo, Governor, Bank Indonesia and Chairman, Executives' Meeting of East Asia-Pacific Central Banks (EMEAP) |
| Jul. 29, 2016 | Jason Shafer, Vice President/Senior Counsel, Center for Bank Derivatives Policy, American Bankers Association and Cecelia Calaby, Executive Director and General Counsel, American Bankers Association, Securities Association |
| Jul. 14, 2016 | Tom Quaadman, Senior Vice President, U.S. Chamber of Commerce |
| Nov. 10, 2015 | Rep. Elijah Cummings, U.S. House of Representatives, and Senator Elizabeth Warren, U.S. Senate |
| Sep. 24, 2015 | Mary P. Johannes, Senior Director and Head of ISDA WGMR Initiative, International Swaps and Derivatives Association, Inc.(ISDA) |
| Aug. 7, 2015 | Mary P. Johannes, Senior Director and Head of ISDA WGMR Initiative, International Swaps and Derivatives Association, Inc. (ISDA) |
| Jun. 1, 2015 | John Court, Managing Director/Deputy General Counsel, The Clearing House (TCH), et al. |
| May 15, 2015 | Mary P. Johannes, Senior Director and Head of ISDA WGMR Initiative, International Swaps and Derivatives Association, Inc. |
| May 12, 2015 | William J. Harrington |
| May 11, 2015 | Paul Schott Stevens, President and CEO, Investment Company Institute |
| Jan. 13, 2015 | Kyle Brandon, Managing Director, Director of Research, SIFMA |
| Nov. 24, 2014 | Dan Waters, Managing Director, ICI Global |
| Nov. 24, 2014 | David W. Blass, General Counsel, Investment Company Institute |
| Nov. 24, 2014 | John Court, Managing Director and Senior Associate General Counsel, The Clearing House Association L.L.C.; Jason Shafer, Vice President, American Bankers Association; and Cecelia Calaby, Executive Director and General Counsel, American Bankers Association Securities Association |
| Oct. 29, 2014 | Sebastian Crapanzano, Managing Director, and Soo-Mi Lee, Managing Director, Morgan Stanley |
| Sep. 10, 2014 | Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York |
| May 27, 2014 | Tim Buckley, Managing Director and Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard, Valley Forge, Pennsylvania |
| May 19, 2014 | The American Benefits Council, The Committee on Investment of Employee Benefit Assets, PensionsEurope, The European Association of Paritarian Institutions, The National Coordinating Committee for Multiemployer Plans, The Pension Investment Association of Canada |
| Mar. 17, 2014 | Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association Limited (AIMA) |
| Mar. 12, 2014 | Kenneth E. Bentsen, Jr., President and Chief Executive Officer, SIFMA |
| Feb. 25, 2014 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
| Feb. 5, 2014 | Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association |
| Dec. 5, 2013 | Karrie McMillan, General Counsel, Investment Company Institute |
| Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Jul. 22, 2013 | Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers |
| May 21, 2013 | Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| May 29, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 29, 2019, meeting with representatives of HSBC |
| May 29, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a May 29, 2019, meeting with representatives of ING |
| May 28, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 21, 2019, telephone call with a representative of Cleary Gottlieb |
| May 28, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 13, 2019, telephone call with a representative of Mizuho |
| May 28, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2019, telephone call with a representative of Cleary Gottlieb |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2019, telephone call with a representative of Cleary Gottlieb |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 26, 2019, meeting with representatives of Mizuho |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 29, 2019, telephone call with a representative of NextGen Strategic Advisors |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 22, 2019, meeting with representatives of the Investment Company Institute |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 15, 2019, telephone call with a representative of NextGen Strategic Advisors |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 1, 2019, telephone call with a representative of Cleary Gottlieb |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 6, 2019, telephone call with a representative of NextGen Strategic Advisors |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 5, 2019, meeting with a representative of the Investment Company Institute (ICI) |
| May 7, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 4, 2019, meeting with a representative of the Managed Funds Association |
| May 7, 2019 | 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 |
| Mar. 26, 2019 | Memorandum from the Division of Trading and Markets regarding a March 21, 2019, meeting with representatives of Mizuho Securities USA LLC |
| Mar. 26, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 12, 2019, meeting with a representative of NextGen Strategic Advisors |
| Mar. 25, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 23, 2019, telephone call with a representative of Mizuho |
| Mar. 25, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 22, 2019, meeting with representatives of Mizuho |
| Mar. 25, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 7, 2019, meeting with representatives of the International Swaps and Derivatives Association |
| Mar. 25, 2019 | 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 |
| Mar. 25, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 5, 2019, meeting with representatives of ING |
| Mar. 12, 2019 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a March 12, 2019, meeting with representatives of the Investment Company Institute |
| Mar. 11, 2019 | Memorandum from the Office of the Chairman regarding a November 28, 2018, meeting with representatives of the Managed Funds Association |
| Mar. 7, 2019 | Memorandum from the Division of Trading and Markets regarding a March 7, 2019, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
| Mar. 5, 2019 | Memorandum from the Division of Trading and Markets regarding a March 5, 2019, meeting with representatives of ING Capital Markets LLC |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 1, 2019, meeting with representatives of the Investment Company Institute |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 14, 2019, meeting with representatives of MetLife |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 21, 2019, meeting with representatives of the Investment Company Institute |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 18, 2018, meeting with representatives of the Investment Company Institute |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 14, 2019, meeting with representatives of the Securities Industry and Financial Markets Association |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 14, 2019, meeting with representatives of SIFMA Asset Management Group and Futures Industry Association |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 7, 2019, telephone call with a representative of NextGen Strategic Advisors |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 6, 2019, meeting with a representative of NextGen Strategic Advisors |
| Feb. 8, 2019 | Memorandum from the Division of Trading and Markets regarding a February 4, 2019, meeting with representatives of the Investment Company Institute |
| Feb. 8, 2019 | Memorandum from the Division of Trading and Markets regarding a February 7, 2019, meeting with representatives of the Securities Industry and Financial Markets Association Asset Management Group |
| Feb. 6, 2019 | Memorandum from the Division of Trading and Markets regarding a February 6, 2019, meeting with a representative of NextGen Strategic Advisors |
| Dec. 21, 2018 | Memorandum from the Division of Trading and Markets regarding a December 18, 2018, meeting with representatives of the Investment Company Institute |
| Dec. 21, 2018 | Memorandum from the Division of Trading and Markets regarding a December 18, 2018, meeting with representatives of the Institute of International Bankers |
| Dec. 21, 2018 | Memorandum from the Division of Trading and Markets regarding a December 17, 2018, meeting with representatives of SIFMA |
| Dec. 21, 2018 | Memorandum from the Division of Trading and Markets regarding a December 13, 2018, conference call with representatives of SIFMA |
| Dec. 21, 2018 | Memorandum from the Division of Trading and Markets regarding a December 17, 2018, call with representatives of the Managed Funds Association |
| Dec. 18, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 18, 2018, meeting with representatives of the Investment Company Institute and members |
| Dec. 13, 2018 | Memorandum from the Division of Trading and Markets regarding a December 12, 2018, meeting with representatives of Morgan Stanley and Company |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 8, 2018, meeting with representatives of the Investment Company Institute Derivatives Markets Advisory Committee |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 29, 2018, meeting with representatives of the Securities Industry and Financial Markets Association |
| Dec. 4, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 14, 2018, meeting with a representative of Cadwalader, Wickersham & Taft LLP |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the Managed Funds Association |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the Futures Industry Association |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the Securities Industry and Financial Markets Association |
| Nov. 30, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 16, 2018, meeting with representatives of the International Swaps and Derivatives Association |
| Nov. 8, 2018 | Memorandum from the Division of Trading and Markets regarding a November 8, 2018, meeting with representatives of Morgan Stanley & Co. |
| Nov. 6, 2018 | Memorandum from the Division of Trading and Markets regarding a November 6, 2018, call with a representative of Mizuho Americas LLC |
| Nov. 5, 2018 | Memorandum from the Office of the Chairman regarding an October 31, 2018, conference call with a representative of International Swaps and Derivatives Association, Inc. (ISDA) |
| Oct. 12, 2018 | Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 12, 2018, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 13, 2018, telephone call with a representative of Cleary Gottlieb Steen & Hamilton LLP |
| Aug. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2018, meeting with the Financial Services Institute Board of Directors |
| Aug. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors |
| Aug. 9, 2018 | Memorandum from the Division of Trading and Markets regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors |
| Jul. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 26, 2018, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Jul. 18, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of BNP Paribas |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2018, meeting with representatives of the Investment Company Institute |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2018, meeting with representatives of the Managed Fund Association |
| Jun. 5, 2018 | Memorandum from the Division of Trading and Markets regarding a June 4, 2018, meeting with representatives of Credit Suisse |
| May 24, 2018 | Memorandum from the Division of Trading and Markets regarding a May 24, 2018, meeting with representatives of the Securities Industry and Financial Markets Association |
| May 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018 conference call with representatives from Societe Generale |
| Apr. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup |
| Apr. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 25, 2018, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Apr. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup |
| Apr. 11, 2018 | Memorandum from the Division of Trading and Markets regarding an April 11, 2018, meeting with representatives of Morgan Stanley |
| Apr. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2018, meeting with representatives of Nomura |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 2, 2018, meeting with representatives of the European Banking Federation |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 26, 2018, meeating with representatives of BNP Paribas |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of the Institute of International Bankers and the Securities
Industry and Financial Markets Association |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of Barclays |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 12, 2018, meeting with representatives of the International Swaps and Derivatives Association |
| Jan. 16, 2018 | Memorandum from the Division of Trading and Markets regarding a January 8, 2018, meeting with representatives of Morgan Stanley & Co. |
| Dec. 1, 2017 | Memorandum from the Division of Trading and Markets regarding a November 29, 2017, meeting with representatives of Citigroup |
| Apr. 18, 2016 | Memorandum from the Division of Trading and Markets regarding an April 15, 2016, meeting with representatives of Nomura |
| Apr. 15, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 15, 2016, meeting with representatives of Nomura |
| Dec. 3, 2015 | Memorandum from the Division of Trading and Markets regarding a December 3, 2015, meeting with representatives of the Managed Funds Association |
| Oct. 19, 2015 | Memorandum from the Division of Trading and Markets regarding an October 14, 2015, meeting with representatives of Barclays |
| Sep. 24, 2015 | Memorandum from the Division of Trading and Markets regarding a September 24, 2015, meeting with representatives of the Managed Funds Association |
| Aug. 31, 2015 | Memorandum from the Division of Trading and Markets regarding an August 28, 2015, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Aug. 25, 2015 | Memorandum from the Division of Trading and Markets regarding an August 25, 2015, meeting with representatives of ICI |
| Aug. 17, 2015 | Memorandum from the Division of Trading and Markets regarding an August 17, 2015, meeting with representatives of Morgan Stanley & Co. |
| Aug. 10, 2015 | Memorandum from the Division of Trading and Markets regarding a July 30, 2015, conference call with representatives of ISDA, Prudential Regulators, and CFTC |
| Jul. 23, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a July 23, 2015, meeting with representatives of the Managed Funds Association |
| Jul. 20, 2015 | Memorandum from the Division of Trading and Markets regarding a July 20, 2015, meeting with representatives of the American Council of Life Insurers |
| Jul. 16, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a July 16, 2015, meeting with representatives of Nomura |
| Jun. 30, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a June 30, 2015, meeting with a representative of Nomura |
| Jun. 30, 2015 | Memorandum from the Division of Trading and Markets regarding a June 30, 2015, meeting with representatives of UBS |
| Jun. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Jun. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Jun. 18, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| May 26, 2015 | Memorandum from the Division of Trading and Markets regarding a May 21, 2015, meeting with representatives of Bank of America/Merrill Lynch |
| Apr. 14, 2015 | Memorandum from the Division of Trading and Markets regarding a March 24, 2015, meeting with representatives of Delta Strategy Group |
| Mar. 25, 2015 | Memorandum from the Division of Trading and Markets regarding a March 25, 2015, telephone meeting with representatives of Citigroup Global Market Inc. |
| Mar. 6, 2015 | Memorandum from the Division of Trading and Markets regarding a February 20, 2015, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) |
| Feb. 23, 2015 | Memorandum from the Division of Trading and Markets regarding a February 11, 2015, meeting with representatives of the Alternative Investment Management Association |
| Feb. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of UBS |
| Feb. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of SIFMA |
| Feb. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of UBS |
| Feb. 11, 2015 | Memorandum from the Division of Trading and Markets regarding a February 11, 2015, meeting with representatives of Goldman Sachs |
| Jan. 29, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a January 20, 2015, phone call with representatives of Better Markets |
| Jan. 16, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2015, phone call with representatives of Morgan Stanley |
| Jan. 16, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a November 5, 2014, meeting with representatives Morgan Stanley |
| Dec. 18, 2014 | Memorandum from the Division of Trading and Markets regarding a December 17, 2014, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Sep. 30, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a September 30, 2014, meeting with representatives of the Managed Funds Association (MFA) |
| Aug. 14, 2014 | Memorandum from the Division of Trading and Markets regarding an August 12, 2014, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc. |
| Jul. 28, 2014 | Memorandum from the Division of Trading and Markets regarding a July 23, 2014, meeting with representatives of Morgan Stanley & Co. |
| Jul. 14, 2014 | Memorandum from the Division of Trading and Markets regarding a July 9, 2014, meeting with representatives of Morgan Stanley & Co. |
| May 19, 2014 | Memorandum from the Division of Trading and Markets regarding a May 15, 2014, meeting with representatives of Morgan Stanley & Co. |
| May 9, 2014 | Memorandum from the Division of Trading and Markets regarding a May 8, 2014, meeting with representatives of the Managed Funds Association |
| Apr. 9, 2014 | Memorandum from the Division of Trading and Markets regarding an April 8, 2014, meeting with representatives of Morgan Stanley |
| Mar. 24, 2014 | Memorandum from the Division of Trading and Markets regarding a March 21, 2014, meeting with representatives of SIFMA |
| Jan. 10, 2014 | Memorandum from the Division of Trading and Markets regarding a January 10, 2014, meeting with representatives of SIFMA |
| Oct. 8, 2013 | Memorandum from the Division of Trading and Markets regarding a October 8, 2013, meeting with representatives of the Managed Funds Assocation |
| Oct. 1, 2013 | Memorandum from the Division of Trading and Markets regarding a October 1, 2013, meeting with representatives of the Alternative Investment Management Association |
| Sep. 25, 2013 | Memorandum from the Division of Trading and Markets regarding a September 25, 2013, meeting with representatives of SIFMA |
| Sep. 19, 2013 | Memorandum from the Division of Trading and Markets regarding a September 19, 2013, meeting with representatives of the Investment Company Institute |
| Sep. 5, 2013 | Memorandum from the Division of Trading and Markets regarding the September 2, 2013, publication of Basel-IOSCO paper: Margin Requirements for Non-Centrally Cleared Derivatives |
| Aug. 1, 2013 | Memorandum from the Division of Trading and Markets regarding a July 31, 2013, meeting with representatives of MetLife |
| Jun. 24, 2013 | Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association |
| May 21, 2013 | Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of the Managed Funds Association (MFA) |
| May 21, 2013 | Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association |
| May 21, 2013 | Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
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
[Release No. IC-29969; File No. S7-08-12]
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(Click here for meetings with SEC officials)
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| Feb. 26, 2013 | Ronnie Hutto, Elmore, Ohio |
| Feb. 22, 2013 | Timothy W. Cameron, Esq. Managing Director, and Matthew J. Nevins, Esq., Managing Director and Associate General Counsel, Asset Management Group, Securities Industry and Financial Markets Association , New York, New York |
| Feb. 22, 2013 | Coalition for Derivatives End-Users |
| Feb. 22, 2013 | Matthew Shaw, Washington, D.C. |
| Feb. 22, 2013 | Americans for Financial Reform |
| Feb. 22, 2013 | Dennis M. Kelleher, President & CEO; David Frenk, Director of Research; Stephen W. Hall, Securities Specialist; and Katelynn 0. Bradley,
Attorney; Better Markets, Inc. |
| Feb. 22, 2013 | Kevin Gould, President, Markit |
| Feb. 22, 2013 | Sebastian Crapanzano, Managing Director, and Soo-Mi Lee, Managing Director, Morgan Stanley |
| Feb. 22, 2013 | Adam Jacobs, Director, Markets Regulation, Alternative Investment Management Association, London, United Kingdom |
| Feb. 22, 2013 | Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable |
| Feb. 22, 2013 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Feb. 22, 2013 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
| Feb. 22, 2013 | Kathleen Cronin, Senior Managing Director, General Counsel, Legal Department, CME Group, Inc. |
| Feb. 22, 2013 | Kurt Schacht, CFA, Managing Director, Standards and Financial Market Integrity Division, and Beth Kaiser, CFA, CIPM, Director, Capital Markets Policy, CFA Institute, New York, New York |
| Feb. 22, 2013 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Feb. 21, 2013 | Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and David Harris, Acting Vice President and General Counsel, International Finance Corporation |
| Feb. 21, 2013 | Douglas M. Hodge, Managing Director, Chief Operating Officer, Pacific Investment Management Company LLC, Newport Beach, California |
| Feb. 19, 2013 | Thomas G. McCabe, Chief Operating Officer, OneChicago, Chicago, Illinois |
| Feb. 15, 2013 | Bruce Stern, Chairman, Association of Financial Guaranty Insurers |
| Feb. 14, 2013 | David T. McIndoe, Alexander S. Holtan, and Cheryl I. Aaron, Sutherland Asbill & Brennan, LLP, on behalf of The Commercial Energy Working Group |
| Feb. 4, 2013 | Karrie McMillan, General Counsel, Investment Company Institute |
| Jan. 29, 2013 | American Benefits Council, Committee on Investment of Employee Benefit Assets, European Federation for Retirement Provision, The European Association of Paritarian Institutions, The National Coordinating Committee for Multiemployer Plans, The Pension Investment Association of Canada |
| Jan. 24, 2013 | Sheila Bair, Chair, Systemic Risk Council |
| Jan. 23, 2013 | Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association |
| Jan. 22, 2013 | Lisa A. Rutherford, Ivins, Utah |
| Jan. 22, 2013 | Christopher A. Klem, Leigh R. Fraser, and Molly Moore, Ropes & Gray LLP |
| Jan. 17, 2013 | Mark Sokolow, Webster, Texas |
| Jan. 11, 2013 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Jan. 10, 2013 | Timothy W. Cameron, Esq., Managing Director, Asset Management Group, SIFMA |
| Jan. 3, 2013 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Jan. 2, 2013 | Richard M. Whiting, General Counsel, The Financial Services Roundtable, Washington, District of Columbia |
| Dec. 20, 2012 | Jochen Leubner, KfW Bankengruppe, Frankfurt am Main, Germany |
| Dec. 4, 2012 | Chris Barnard, Germany
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Meetings with SEC Officials
Click here for submitted comments from the public)
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| Jun. 3, 2013 | Memorandum from the Division of Trading and Markets regarding a June 3, 2013, meeting with representatives of the Managed Fund Association |
| Jan. 18, 2013 | Memorandum from the Division of Trading and Markets regarding a January 18, 2013, meeting with representatives of Goldman Sachs |
| Jan. 17, 2013 | Memorandum from the Office of Commissioner Paredes regarding a January 17, 2013, meeting with representatives of the Managed Funds Association (MFA) |
| Jan. 16, 2013 | Memorandum from the Division of Trading and Markets regarding a January 16, 2013, meeting with representatives of Bank of America Merrill Lynch |
| Jan. 8, 2013 | Memorandum from the Division of Trading and Markets regarding a January 8, 2013, meeting with representatives of the Association of Financial Guaranty Insurers |
| Nov. 28, 2012 | Memorandum from the Division of Trading and Markets regarding a November 28, 2012, meeting with representatives of Goldman Sachs |
| Oct. 23, 2012 | Memorandum from the Division of Trading and Markets regarding an October 22, 2012, meeting with representatives of Markit Group Limited and MarkitSERV |
| Oct. 22, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA |
http://www.sec.gov/comments/s7-08-12/s70812.shtml
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