Comments on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 5, 2019, meeting with representatives of Goldman Sachs
Public Comment Kenneth E. Bentsen, President and CEO, SIFMA
Public Comment Shirley A. Jones, Managing Associate General Counsel, Government Accountability Office
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 23, 2019, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 27, 2019, meeting with representatives of Public Citizen
Public Comment Members of the Marketplace Lending Association
Public Comment Briget Polichene, Chief Executive Officer, Institute of International Bankers
Public Comment David F. Freeman, Arnold Porter Kaye Scholer LLP
Public Comment Jeffrey A. Merkley, Unites States Senator
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 21, 2019, meeting with representatives of the American Investment Council
Public Comment Ajay Khanna
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 12, 2019, meeting with representatives of the Bank Policy Institute
Public Comment Ajav Khanna, PhD
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 17, 2018, meeting with representatives of the Institute of International Bankers
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 27, 2018, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 16, 2018, meeting with representatives of Goldman Sachs Group, Inc.
Public Comment J. Robert Kelly, Executive Vice President, Arvest Bank
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 24, 2018, meeting with a representative of Data Boiler Technologies, LLC
Public Comment Kurt N. Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy; CFA Institute Advocacy
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 22, 2018, meeting with representatives of SIFMA
Public Comment Americans for Financial Reform Education Fund
Public Comment Angelina Mason, General Counsel & Vice-President, Legal, Canadian Bankers Association
Public Comment Atlantic Capital Bank, et al.
Public Comment Bobby Franklin, President and CEO, National Venture Capital Association
Public Comment Brett Palmer, President, Small Business Investor Alliance (SBIA)
Public Comment Brian Chin, CEO, Global Markets Division, Credit Suisse
Public Comment Briget Polichene, Chief Executive Officer, Institute of International Bankers
Public Comment Bruce C. Bennett, Covington & Burling LLP
Public Comment Coalition for Derivatives End-Users

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-14-18
Release Number
BHCA-3
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