Comments on Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a January 29, 2024 meeting with FINRA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a January 24, 2024 meeting with Citadel
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a January 16, 2024 meeting with representatives of the Alternative Investment Management Association ("AIMA")
Public Comment Darrell Duffie, Professor Finance, Stanford University Graduate School of Business
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 5, 2024 meeting with the Group of Thirty
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a January 2, 2024 meeting with Darrell Duffie
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Public Comment Tim Scott, Ranking Member, United States Senate
Public Comment Joanna Mallers, Secretary, FIA Principal Traders Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 5, 2023 meeting with representatives of Managed Fund Association
Meeting with SEC Officials Memorandum from Commissioner Hester M. Peirce regarding a November 29, 2023 meeting with representatives of the Senate Committee on Banking, Housing, and Urban Affairs
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 3, 2023 meeting with representatives of the of the Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a November 6, 2023 meeting with Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 6, 2023 meeting with MFA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 6, 2023 meeting with MFA
Public Comment Marcie Frost, Chief Executive Officer, California Public Employees Retirement System; Anastasia Titarchuk, Chief Investment Officer and Deputy Comptroller for Pension Investment & Cash Management, New York State Common Retirement Fund; Jase R. Auby, Chief Investment Officer, Teacher Retirement System of Texas; and Steven Meier, Chief Investment Officer and Deputy Comptroller for Asset Management, Office of the Comptroller of the City of New York
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 3, 2023 meeting with Hudson River Trading
Public Comment Lamar Taylor, Interim Executive Director & CIO, State Board of Administration of Florida
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 25, 2023 meeting with representatives of Schulte, Roth and Zabel
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 20, 2023 meeting with MFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 19, 2023 meeting with the the Board of Directors of the Insured Retirement Institute (IRI)
Public Comment Gail Bernstein, General Counsel and Monique Botkin, Associate General Counsel, Investment Adviser Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 12, 2023 meeting with New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an October 12, 2023 meeting with representatives of Optiver
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 12, 2023 meeting with Optiver
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a October 3, 2023 meeting with representatives of MFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 27, 2023 meeting with a representative of FIA Principal Traders Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 13, 2023 meeting with representatives of FIA Principal Traders Group
Meeting with SEC Officials Memorandum from the Office Of Commissioner Mark T. Uyeda regarding a August 25, 2023 meeting with representatives of the Alternative Investment Management Association
Public Comment Jiri Krol, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-22
Release Number
34-94524
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