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
Public Comment 34-69491 Carl B. Wilkerson, Vice President & Chief Counsel, Securities, American Council of Life Insurers
Public Comment 34-69491 Dennis Kelleher, President and CEO, et al., Better Markets, Inc.
Public Comment 34-69491 Kenneth E. Bentsen, President and Chief Executive Officer, SIFMA
Public Comment 34-69491 Laura Harper Powell, Associate General Counsel, Managed Funds Association, and Adam Jacobs-Dean, Managing Director, Global Head of Markets Regulation, Alternative Investment Management Association
Public Comment 34-69491 Scott O'Malia, Chief Executive Officer, International Swaps and Derivatives Association (ISDA)
Public Comment 34-69491 Sebastian Crapanzano and Soo-Mi Lee, Managing Directors, Morgan Stanley
Public Comment 34-69491 Stephen John Berger, Managing Director, Government and Regulatory Policy, Citadel Securities
Public Comment 34-69491 Susan M. Olson, General Counsel, Investment Company Institute
Public Comment 34-69491 Thomas G. McCabe, Chief Regulatory Officer, OneChicago, LLC
Public Comment 34-69491 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)
Public Comment 34-69491 Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce, Center for Capital Markets Competitiveness
Public Comment 34-69491 Walt L. Lukken, President and Chief Executive Office, Futures Industry Association
Public Comment 34-69491 William J. Harrington
Public Comment 34-69491 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
Public Comment 34-69491 Lee A. Pickard, Pickard Djinis and Pisarri LLP, on behalf of Federated Investors, Inc.
Public Comment 34-69491 Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a November 8, 2018, meeting with representatives of Morgan Stanley & Co.
Public Comment 34-69491 Robert Rozell
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a November 6, 2018, call with a representative of Mizuho Americas LLC
Meeting with SEC Officials 34-69491 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)
Public Comment 34-69491 Kyle Brandon, Managing Director, Head of Derivatives and Director of Research, SIFMA, and Briget Polichene, Chief Executive Officer, IIB
Public Comment 34-69491 International Swaps and Derivatives Association, Inc., et al.
Meeting with SEC Officials 34-69491 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.
Meeting with SEC Officials 34-71958, 34-69491, 34-75612 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
Public Comment 34-69491 Scott O'Malia, Chief Executive Officer, ISDA, et al.
Meeting with SEC Officials 34-71958, 34-69491, 34-75612 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2018, meeting with the Financial Services Institute Board of Directors
Meeting with SEC Officials 34-71958, 34-69491, 34-75612 Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors
Meeting with SEC Officials 34-71958, 34-69491, 34-75612 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
Meeting with SEC Officials 34-71958, 34-69491, 34-75612 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of BNP Paribas

Last Reviewed or Updated: Jan. 7, 2026

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