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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
[Release No. 34-75612; File No. S7-14-15]
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| Oct. 17, 2016 | Robert Fletcher Herbert |
| Nov. 13, 2015 | Rep. Elijah E. Cummings, U.S. House of Representatives |
| Oct. 27, 2015 | Robert E. Rutkowski |
| Oct. 26, 2015 | Americans for Financial Reform |
| Oct. 26, 2015 | Dennis M. Kelleher, President and CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc. |
| Oct. 26, 2015 | Bartlett C. Naylor, Public Citizen, Washington, District of Columbia |
Meetings with SEC Officials
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| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 7, 2019, telephone call with a representative of NextGen Strategic Advisors |
| Mar. 4, 2019 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 6, 2019, meeting with a representative of NextGen Strategic Advisors |
| Oct. 3, 2018 | 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 |
| Oct. 3, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 21, 2018, telephone call with representatives of BNP Paribas |
| Aug. 31, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 10, 2018, meeting with the Financial Services Institute Board of Directors |
| Aug. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 8, 2018, meeting with representatives of NextGen Strategic Advisors |
| Jul. 26, 2018 | 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 |
| Jul. 18, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 18, 2018, meeting with representatives of BNP Paribas |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 11, 2018, meeting with representatives of the Investment Company Institute |
| Jul. 2, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2018, meeting with representatives of the Managed Fund Association |
| May 11, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 9, 2018 conference call with representatives from Societe Generale |
| Apr. 27, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup |
| Apr. 26, 2018 | 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 |
| Apr. 26, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 24, 2018, meeting with representatives of Citigroup |
| Apr. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2018, meeting with representatives of Nomura |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 2, 2018, meeting with representatives of the European Banking Federation |
| Mar. 14, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 26, 2018, meeating with representatives of BNP Paribas |
| Mar. 5, 2018 | 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 |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 23, 2018, meeting with representatives of Barclays |
| Mar. 5, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 12, 2018, meeting with representatives of the International Swaps and Derivatives Association |
| Dec. 1, 2017 | Memorandum from the Division of Trading and Markets regarding a November 29, 2017, meeting with representatives of Citigroup |
| Oct. 21, 2015 | 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 |
http://www.sec.gov/comments/s7-14-15/s71415.shtml
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