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 Commissioner Jaime Lizárraga regarding a January 18, 2023 meeting with Element Capital
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 22, 2022 meeting with representatives of Element Capital
Public Comment Jennifer W. Han, Managed Funds Association
Public Comment Jennifer W. Han, Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 29, 2022 meeting with representatives of Managed Fund Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 28, 2022 meeting with representatives of the Futures Industry Association Principal Traders' Group
Public Comment Jiri Krol, Deputy CEO, Global Head of Government Affairs, AIMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 18, 2022 meeting with representatives of DRW
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a November 8, 2022, meeting with representatives of T. Rowe Price
Meeting with SEC Officials Memorandum from the Office Commissioner Jaime Lizárraga regarding a Nov. 8, 2022 meeting with Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 4, 2022 virtual meeting with representatives of the Investment Company Institute
Public Comment U.S. Senator Thom Tillis
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 27, 2022 virtual meeting with representatives of Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 28, 2022 meeting with representatives and members of ICI
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an October 26, 2022 meeting with representatives of the MFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 25, 2022 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 21, 2022 meeting with representatives of the Alternative Investment Management Association
Public Comment John L. Thorton, Co-Chair, Hal S. Scott, President, and R. Glenn Hubbard, Co-Chair, Committee on Capital Markets Regulation
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 14, 2022 meeting with representatives of the Managed Funds Association
Public Comment Robert Toomey, Managing Director, Associate General Counsel, Head of Capital Markets and Joseph Corcoran, Managing Director, Associate General Counsel, SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a September 23, 2022 meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a September 26, 2022 meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 27, 2022 meeting with representatives of Two Sigma
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 30, 2022 virtual meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 24, 2022 virtual meeting with representatives of the Securities Industry and Financial Markets Association (“SIFMA”)
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an August 3, 2022 meeting with Millennium Management LLC
Public Comment Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 20, 2022 meeting with representatives of Citadel Securities
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 20, 2022 meeting with representatives of MFA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 19, 2022 meeting with representatives of Alternative Investment Management Association

Last Reviewed or Updated: Dec. 18, 2025

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