Comments on Proposed Rule: Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 6, 2019, meeting with a representative of NextGen Strategic Advisors
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 7, 2019, telephone call with a representative of NextGen Strategic Advisors
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 21, 2018, telephone call with representatives of BNP Paribas
Meeting with SEC Officials 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 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 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 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of BNP Paribas
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2018, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2018, meeting with representatives of the Managed Fund Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018 conference call with representatives from Societe Generale
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 25, 2018, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2018, meeting with representatives of Nomura
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 26, 2018, meeating with representatives of BNP Paribas
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 2, 2018, meeting with representatives of the European Banking Federation
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 12, 2018, meeting with representatives of the International Swaps and Derivatives Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of Barclays
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 29, 2017, meeting with representatives of Citigroup
Public Comment Robert Fletcher Herbert
Public Comment Rep. Elijah E. Cummings, U.S. House of Representatives
Public Comment Robert E. Rutkowski
Public Comment Americans for Financial Reform
Public Comment Bartlett C. Naylor, Public Citizen, Washington, District of Columbia
Public Comment Dennis M. Kelleher, President and CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding October 15, 2015, and October 20, 2015, phone calls with a representative of Americans for Financial Reform

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-14-15
Release Number
34-75612
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