Comments on Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 2
B: 3
C: 5

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Date Received
Date Letter Type Commenter Name
Public Comment Kevin A. Zambrowicz, Deputy General Counsel, (Institutional) & Managing Director, SIFMA
Public Comment Christopher A. Iacovella, President and CEO, American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a December 17, 2024 meeting with representatives of Securities Investor Protection Corporation (SIPC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 16, 2024 conference call with Securities Investor Protection Corporation (SIPC)
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a December 2, 2024 meeting with representatives of the Securities Investor Protection Corporation (SIPC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 30, 2024 meeting with representatives of the Securities Investor Protection Corporation (SIPC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 28, 2024, conference call with representatives of SIMFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 21, 2024 meeting with representatives from the Securities Investor Protection Corporation
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding an October 15, 2024 meeting with Securities Investor Protection Corporation (SIPC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 9, 2024 meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 30, 2024 meeting with representatives of SIFMA
Public Comment Jessica R. Giroux, General Counsel & Head of Fixed Income Policy, American Securities Association
Public Comment Jessica R. Giroux, General Counsel & Head of Fixed Income Policy, American Securities Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a September 3, 2024 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 16, 2024 conference call with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an August 26, 2024 meeting with representatives of SPIC
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 14, 2024 meeting with Securities Investor Protection Corporation (SIPC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 24, 2024 meeting with Steven Lofchie
Public Comment Suzanne Hamlet Shatto, Investor
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 7, 2024 conference call with representatives of SIPC
Public Comment Chris Mcentre
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a March 1, 2024 meeting with SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 9, 2024 meeting with representatives of SIFMA
Public Comment Cory
Public Comment American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 18, 2024 conference call with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 28, 2023 conference call with representatives of American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an October 26, 2023 meeting with representatives of Nomura
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 23, 2023 conference call with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 23, 2023 conference call with representatives of SIPC

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-11-23
Release Number
34-97877
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