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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]


Submitted Comments

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

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

Modified: 08/08/2018