SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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]


Submitted Comments

(Click here for meetings with SEC officials)
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)
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]


Submitted Comments

(Click here for meetings with SEC officials)
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
 

Meetings with SEC Officials

Click here for submitted comments from the public)
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

Modified: 12/17/2018