|
|
 |
Comments on Proposed Rule: Money Market Fund Reform
[Release No. IC-28807; File No. S7-11-09]
|
| Sep. 22, 2011 | Memorandum from the Office of Commissioner Walter regarding a September 22, 2011, meeting with representatives of Federated Investors, Inc. |
| Jan. 22, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 18, 2009, meeting with representatives of Federated Investors |
| Jan. 22, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 15, 2009, meeting with representatives of Goldman Sachs |
| Jan. 20, 2010 | John McGonigle, Deborah A. Cunningham and Steve Keen, on behalf of Federated Investors, Inc. |
| Dec. 22, 2009 | Memorandum from the Office of Commissioner Paredes regarding a December 18, 2009, meeting with representatives of Federated Investors |
| Dec. 18, 2009 | Memorandum from the Office of Commissioner Walter regarding a December 18, 2009, meeting with representatives of Federated |
| Dec. 17, 2009 | Memorandum from the Office of the Chairman regarding a December 15, 2009, meeting with representatives of Goldman Sachs |
| Dec. 15, 2009 | Memorandum from the Office of Commissioner Paredes regarding a December 15, 2009, meeting with representatives of Goldman Sachs |
| Dec. 2, 2009 | Memorandum from the Office of the Chairman regarding a December 1, 2009, meeting with representatives of the Investment Company Institute |
| Nov. 24, 2009 | Memorandum from the Office of the Chairman regarding a November 17, 2009, meeting with representatives of Fidelity |
| Nov. 18, 2009 | Orrick, Herrington & Sutcliffe LLP |
| Nov. 9, 2009 | Memorandum from the Office of Commissioner Walter regarding a November 9, 2009, meeting with representatives of the Investment Company Institute |
| Nov. 6, 2009 | Jonathan Jachym, Legal and Regulatory Counsel, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Nov. 5, 2009 | U.S. Chamber of Commerce and Joint Treasurer Signatories |
| Oct. 29, 2009 | Erika Craven, President, Bowne & Co., Inc., New York, New York |
| Oct. 29, 2009 | Memorandum from the Division of Investment Management regarding an October 28, 2009, meeting with representatives of Promontory Interfinancial Network, LLC |
| Oct. 23, 2009 | Memorandum from the Office of Commissioner Paredes regarding an October 23, 2009, meeting with representatives of the Investment Company Institute |
| Oct. 23, 2009 | Memorandum from the Office of Commissioner Aguilar regarding an October 23, 2009, meeting with representatives of the Investment Company Institute |
| Oct. 21, 2009 | Memorandum from the Office of Commissioner Aguilar regarding an August 26, 2009, meeting with representatives of Fidelity Management and Research Company |
| Oct. 21, 2009 | Memorandum from the Office of Commissioner Aguilar regarding a September 23, 2009, meeting with representatives of the U.S. Chamber of Commerce and A2/P2 Issuers |
| Oct. 2, 2009 | Toni Pappas, Commissioner, Hillsborough County, NH |
| Sep. 28, 2009 | Memorandum from the Office of the Chairman regarding a September 23, 2009, meeting with representatives of CVS Caremark Corporation, CVS Caremark Corporation, Safeway, Inc., Dominion Resources, and U.S. Chamber of Commerce |
| Sep. 25, 2009 | Memorandum from the Office of Commissioner Casey regarding a September 23, 2009, meeting with representatives of CVS Caremark Corporation, CVS Caremark Corporation, Safeway, Inc., Dominion Resources, and U.S. Chamber of Commerce |
| Sep. 24, 2009 | U.S. Chamber of Commerce and Joint Treasurer Signatories |
| Sep. 24, 2009 | M. Smith |
| Sep. 21, 2009 | Kevin Krafft, MD |
| Sep. 17, 2009 | Memorandum from the Office of the Chairman regarding a September 15, 2009, meeting with representatives of Goldman Sachs |
| Sep. 16, 2009 | Frank T. Caprio, General Treasurer, State of Rhode Island and Providence Plantations |
| Sep. 14, 2009 | Chester S. Spatt, Ph.D., Carnegie Mellon University, on behalf of the Shadow Financial Regulatory Committee |
| Sep. 14, 2009 | Kenneth Quann, Managing Director, New York Life Investments |
| Sep. 11, 2009 | Edward L. Mutsch, Securities Analyst (Retired), Nevis, Minnesota |
| Sep. 10, 2009 | Niels Holch, Executive Director, Coalition of Mutual Fund Investors |
| Sep. 10, 2009 | Stroock & Stroock & Lavan LLP |
| Sep. 9, 2009 | Jeffrey N. Gordon, Alfred W. Bressler Professor of Law, Columbia Law School, Co-Director, Center for Law and Economic Studies Columbia Law School, New York, New York |
| Sep. 9, 2009 | Jeb Spaulding, President, National Association of State Treasurers, Treasurer, State of Vermont |
| Sep. 9, 2009 | Charles R. Manzoni, Jr., General Counsel, FAF Advisors, Inc., Minneapolis, Minnesota |
| Sep. 9, 2009 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association, New York, New York |
| Sep. 9, 2009 | John R. Jay, CFA, Alpharetta, Georgia |
| Sep. 8, 2009 | Beverly Byrne, GW Capital Management, LLC (doing business as Maxim Capital Management), Greenwood Village, Colorado |
| Sep. 8, 2009 | Rep. Robert Wexler, U.S. House of Representatives |
| Sep. 8, 2009 | Joseph W. Sack, Managing Director, Securities Industry and Financial Markets Association |
| Sep. 8, 2009 | John D. Walda, President and CEO, National Association of College and University Business Officers |
| Sep. 8, 2009 | Christopher K. Dyer, CFA, Managing Director, Fund Administration, Victory Capital Management |
| Sep. 8, 2009 | Mari S. |
| Sep. 8, 2009 | David T. Hirschmann, President and Chief Executive Officer, U.S. Chamber of Commerce |
| Sep. 8, 2009 | Adam C. Dean, President, SVB Asset Management |
| Sep. 8, 2009 | Greg C. Gaskins, Director of Finance, City of Charlotte |
| Sep. 8, 2009 | Scott R. Plummer, Chief Legal Officer and Assistant Secretary, RiverSource Investments, LLC |
| Sep. 8, 2009 | Gregory J. Lyons, Russell Investments |
| Sep. 8, 2009 | Susan Gaffney, Government Finance Officers Association; Beth Kellar, International City/County Management Association; Steve Traylor, National Association of Counties; Tom Malzahn, National Association of County Collectors, Treasurers & Finance Officers; Cornelia Chebinou, National Association of State Auditors, Comptrollers and Treasurers; Lars Etzkorn, National League of Cities; Larry Jones, U.S. Conference of Mayors; Amy Hille, American Public Power Association; and Rick Farrell, Council on Infrastructure Financing Authorities |
| Sep. 8, 2009 | James A. McNamara, Managing Director, President, Goldman Sachs Mutual Funds |
| Sep. 8, 2009 | Karrie McMillan, General Counsel, Investment Company Institute |
| Sep. 8, 2009 | Amy Staton, Director of Finance, City of Rocky Mount, North Carolina |
| Sep. 8, 2009 | Michael Kanef, Chief Regulatory and Compliance Officer, Moody's Investors Service |
| Sep. 8, 2009 | John Fisk, Chief Executive Officer, Federal Home Loan Banks |
| Sep. 8, 2009 | Erik R. Preus, President, Tamarack Funds Trust |
| Sep. 8, 2009 | Sunir Kapoor, President and Chief Executive Officer, UBmatrix, Inc. |
| Sep. 8, 2009 | J. Charles Cardona, President, The Dreyfus Corporation |
| Sep. 8, 2009 | George C. W. Gatch, J.P. Morgan Asset Management |
| Sep. 8, 2009 | Thomas R. Schmuhl, Duane Morris LLP, on behalf of the Board of Trustees of the Pennsylvania School District Liquid Asset Fund |
| Sep. 8, 2009 | Phillip Gillespie, Executive Vice President and General Counsel, State Street Global Advisors |
| Sep. 8, 2009 | Lisa Bleier, Vice President and Senior Counsel Center for Securities, Trust and Investments, American Bankers Association |
| Sep. 8, 2009 | Deborah Cunningham, Chief Investment Officer, Federated Investors and
Co-Chair, ASF Money Market Reform Working Group and Reginald Imamura, Senior Managing Director, PNC Capital Markets LLC and Co-Chair, ASF Money Market Reform Working Group |
| Sep. 8, 2009 | Michael S. Scofield, Chair, Independent Directors Council Governing Council |
| Sep. 8, 2009 | John W. McGonigle, Executive Vice President and Chief Legal Officer, Federated Investors, Inc. |
| Sep. 8, 2009 | David B. Smith, Mutual Fund Directors Forum |
| Sep. 8, 2009 | C. David Messman, Wells Fargo Funds Management, LLC |
| Sep. 8, 2009 | David Eidson, Chairman and Chief Executive Officer, RidgeWorth Capital Management, Inc. |
| Sep. 8, 2009 | William M. Tartikoff, Senior Vice President and General Counsel, Calvert Group, Ltd. and Lancelot A. King, Assistant Vice President and Associate General Counsel, Calvert Group, Ltd. |
| Sep. 8, 2009 | Joan Ohlbaum Swirsky, Stradley Ronon Stevens & Young, LLP |
| Sep. 8, 2009 | Earle A. Malm, HighMark Capital Management, Inc. |
| Sep. 8, 2009 | Keith A. Weller, UBS Global Asset Management |
| Sep. 8, 2009 | Russell W. Swansen, Thrivent Mutual Funds |
| Sep. 8, 2009 | John von Seggern, Council of Federal Home Loan Banks |
| Sep. 8, 2009 | David Oestreicher, T. Rowe Price Associates |
| Sep. 8, 2009 | Brian C. Essman, Data Communique, Inc. |
| Sep. 8, 2009 | Lloyd A. Wennlund, Northern Funds and Northern Institutional Funds |
| Sep. 8, 2009 | Keith Wirtz, Fifth Third Asset Management, Inc. |
| Sep. 8, 2009 | Richard P. Strubel, Northern Funds and Northern Institutional Funds |
| Sep. 8, 2009 | Anthony J. Carfang, Partner, Treasury Strategies, Inc. and Cathryn R. Gregg, Partner, Treasury Strategies, Inc. |
| Sep. 8, 2009 | Campbell Pryde, XBRL US |
| Sep. 8, 2009 | Charles E. Zebula, American Electric Power |
| Sep. 8, 2009 | Clifford A. Gladson, Senior Vice President, Fixed Income Investments, USAA Investment Management Company |
| Sep. 8, 2009 | Thomas P. Hollowell, The Independent Trustees of The North |
| Sep. 8, 2009 | Maureen O'Boyle, CCM, Assistant Treasurer, Shaklee Corporation, Chairman,
AFP Government Relations Committee and Joseph C. Meek, CTP, Vice President & Treasurer, Health Management Associates, Inc., Chairman, Financial Markets Task Force, AFP Government Relations Committee |
| Sep. 8, 2009 | Sabrina Saxer, Vice President, Waddell & Reed Investment Management Company and Mira Stevovich, Vice President, Waddell & Reed Investment Management Company |
| Sep. 8, 2009 | Sutherland Asbill & Brennan on behalf of the Committee of Annuity Insurers |
| Sep. 8, 2009 | Jan Jacobson, American Benefits Council |
| Sep. 8, 2009 | David Certner, AARP |
| Sep. 8, 2009 | Mercer E. Bullard, Fund Democracy |
| Sep. 8, 2009 | Kenneth J. Berman |
| Sep. 8, 2009 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University,
McDonough School of Business, Washington DC |
| Sep. 8, 2009 | G. Scott Hetzer, Senior Vice President, Tax and Treasurer, Dominion Resources Services, Inc. |
| Sep. 8, 2009 | Barry C. Melancon, CPA, President and CEO, American Institute of Certified Public Accountants, New York, New York |
| Sep. 8, 2009 | Kenneth L. Wolfe, Chairman of the Independent Trustees, The Fidelity Fixed-Income and Asset Allocation Funds |
| Sep. 8, 2009 | Edward Ferrigno, Vice President, Washington Affairs, The Profit Sharing and 401(K) Advocate |
| Sep. 8, 2009 | Matthew J. Simpson, Executive Vice President & General Counsel, GE Asset Management Incorporated |
| Sep. 8, 2009 | Eugene A. Ludwig, Chairman; Alan Blinder, Vice Chairman; and Mark P. Jacobson, President & CEO, Promontory Interfinancial Network LLC |
| Sep. 8, 2009 | Barbara Palk, President, TD Asset Management, Toronto, Canada |
| Sep. 8, 2009 | Gail Le Coz, CEO, Institutional Money Market Funds Association |
| Sep. 8, 2009 | Mary Keogh, Managing Director, Regulatory Affairs, DBRS |
| Sep. 7, 2009 | Matthew J. Clay, Clearwater Analytics, LLC |
| Sep. 7, 2009 | Robert Scott, City of Brookfield, Wisconsin |
| Sep. 5, 2009 | Douglas Mims |
| Sep. 4, 2009 | Philip K. Holl, Senior Vice President and Associate General Counsel, TCW Investment Management Company |
| Sep. 4, 2009 | J. Kenneth Alderman, Executive Vice President, Regions Morgan Keenan Trust |
| Sep. 4, 2009 | Lyman Missimer, Head of Global Cash Management, Invesco Aim Advisors, Inc. |
| Sep. 4, 2009 | Timothy H. Buchman |
| Sep. 4, 2009 | Koji E. Felton, Senior Vice President & Deputy General Counsel, Charles Schwab Investment Management, Inc. |
| Sep. 4, 2009 | Paul L. Audet, Vice Chairman of BlackRock Inc., Head of Global Cash Management |
| Sep. 4, 2009 | George O. Martinez, Executive Director, Fund Administration, J.P. Morgan Investor Services Co. and Thomas Perugini, Vice President, Fund Administration, J.P. Morgan Investor Services Co. |
| Sep. 4, 2009 | James C. Rivers, President, Capital Management of the Carolinas |
| Sep. 4, 2009 | Christopher Cole, Vice President and Senior Regulatory Counsel, Independent Community Bankers of America |
| Sep. 3, 2009 | C. Stephen Wesselkamper |
| Sep. 3, 2009 | Stephen H. McElhennon, Vice President and Deputy General Counsel, Fannie Mae, Washington, District of Columbia |
| Sep. 3, 2009 | Brent W. Clum, Senior Vice President and Treasurer, XTO Energy Inc., Fort Worth, Texas |
| Sep. 3, 2009 | U.S. Chamber of Commerce and Joint Treasurer Signatories |
| Sep. 3, 2009 | Vera B. Lichtenberger, Des Moines, Iowa |
| Sep. 2, 2009 | Janet Cowell, Treasurer, Department of State Treasurer, North Carolina |
| Aug. 31, 2009 | Joe Benevento, Managing Director, Deutsche Investment Management Americas Inc., Deutsche Asset Management |
| Aug. 31, 2009 | Memorandum from the Office of Investment Management regarding a meeting with representatives of the U.S. Chamber of Commerce |
| Aug. 31, 2009 | Memorandum from the Office of Investment Management regarding a meeting with representatives of the American Securitization Forum |
| Aug. 31, 2009 | Peter G.Crane, President of Crane Data LLC and Publisher of Money Fund Intelligence, Westborough, Massachusetts |
| Aug. 31, 2009 | John von Seggern ,President and CEO ouncil of Federal Home Loan Banks |
| Aug. 28, 2009 | Jeri Le Henry, Vice President, Director of Corporate Trust, Public Funds and Trust Operations, Bankers Trust Company, N.A. |
| Aug. 28, 2009 | Cadmus Hicks, Managing Director, Nuveen Investments |
| Aug. 28, 2009 | Peter McPherson, President, Association of Public and Land-grant Universities |
| Aug. 27, 2009 | R. Jay Scheideman |
| Aug. 27, 2009 | James B. Burnham, Ph.D., Distinguished Service Professor, Donahue Graduate School of Business, Duquesne University, Pittsburgh, Pennsylvania |
| Aug. 26, 2009 | Memorandum from the Office of Investment Management regarding an August 26, 2009, meeting with representatives of J.P. Morgan Asset Management |
| Aug. 25, 2009 | Sean Egan, Egan-Jones Ratings Company |
| Aug. 24, 2009 | Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Investments |
| Aug. 21, 2009 | J. Alan Reid, Jr., CEO, Forward Management, San Francisco, California |
| Aug. 20, 2009 | Leslie Forsythe, Akron, Ohio |
| Aug. 19, 2009 | F. William McNabb, III, President and CEO, The Vanguard Group, Inc. |
| Aug. 18, 2009 | R. Scheidel |
| Aug. 17, 2009 | Clark G. Case, MBA, Assistant Financial Officer/Treasurer, and Denise C. Bell, Chief Financial Officer, City of Winston-Salem, Winston-Salem, North Carolina |
| Aug. 17, 2009 | William R. Trout, Chief Investment Officer, West Coast Trust Company, Portland, Oregon |
| Aug. 13, 2009 | Memorandum from the Office of the Chairman regarding a meeting with representatives of Fidelity Management and Research Company |
| Aug. 10, 2009 | Paul McAlister |
| Aug. 7, 2009 | George W. Middlekauff, Roseburg, Oregon |
| Aug. 7, 2009 | Josh de Graffenried, Dallas, Texas |
| Aug. 5, 2009 | Jeb H. Clarkson, CFTA, Senior Vice President, Pioneer Bank & Trust |
| Jul. 30, 2009 | Ralph B. Latchaw, Jr. |
| Jul. 28, 2009 | Randy Wood, Managing Director, iMoneyNet |
| Jul. 28, 2009 | David C. Rhodes, Marietta, Georgia |
| Jul. 27, 2009 | Jim Teplik |
| Jul. 26, 2009 | Willard M. Reed, Jr., Thomasville, Alabama |
| Jul. 23, 2009 | Randy Dodd |
| Jul. 23, 2009 | Philip D. Moyer, CEO President, EDGAR Online, Inc., New York, New York |
| Jul. 23, 2009 | John M. Winters, CFA, Hingham, Massachusetts |
| Jul. 23, 2009 | Stephen R. Bott, Bow, Washington |
| Jul. 22, 2009 | Rebecca Zhang, CFA |
| Jul. 22, 2009 | Shyam L. Thakur, CEO, Taipei, Taiwan |
| Jul. 17, 2009 | Memorandum from the Division of Investment Management regarding a July, 15, 2009 meeting with representatives of Clearwater Analytics |
| Jul. 15, 2009 | Investment Company Institute, Average Maturity of Taxable Prime Money Market Funds, 1998-2009 |
| Jul. 15, 2009 | Benedicto M. Gallo |
| Jul. 13, 2009 | Karen Harris, Sargent Shriver National Center on Poverty Law, Chicago, Illinois |
| Jul. 13, 2009 | Jim Harrison, Dallas, Texas |
| Jul. 10, 2009 | Brian Donohue, Niantic, Connecticut |
| Jul. 9, 2009 | Michael E. Kelley, Simi Valley, California |
| Jul. 9, 2009 | James H. Jones,Jr., Hilton Head, South Carolina |
| Jul. 8, 2009 | Jack Courtney, Houston, Texas |
| Jul. 7, 2009 | Joe Barnes, Marietta, Georgia |
| Jul. 6, 2009 | Frank Linsenmeyer, Avon Lake, Ohio |
| Jul. 4, 2009 | James L. Nesfield, Engelhard, North Carolina |
| Jul. 2, 2009 | Donald G. Lee, Eagan, Minnesota |
| Jul. 1, 2009 | Sean Gautam, President, Intelligrity Capital Management, LLC, Charlotte, North Carolina |
http://www.sec.gov/comments/s7-11-09/s71109.shtml
|
