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

[Release No. BHCA-3; File No. S7-14-18]

Submitted Comments

(Click here for meetings with SEC officials)
Oct. 23, 2018 Kurt N. Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy; CFA Institute Advocacy
Oct. 17, 2018 David F. Freeman, Arnold & Porter Kaye Scholer LLP, on behalf of Federated Investors, Inc.
Oct. 17, 2018 Brian Chin, CEO, Global Markets Division, Credit Suisse
Oct. 17, 2018 Eric M. Varvel, Global Head, Asset Management, Credit Suisse
Oct. 17, 2018 Thomas T. Kim, Senior Vice President, Commercial Real Estate Finance, Mortgage Bankers Association
Oct. 17, 2018 Eli K. Peterson, Managing Director, Head of Regulatory Policy and Government Affairs, Bank of New York Mellon; Dale K. Nichols, Senior Vice President, Deputy General Counsel, Northern Trust Corporation; and Stefan M. Gavell, Executive Vice President Head of Regulatory, Industry, and Government Affairs, State Street Corporation
Oct. 17, 2018 Americans for Financial Reform Education Fund
Oct. 17, 2018 James Kemp, Global Financial Markets Association, Managing Director
Oct. 17, 2018 Mark W. Midkiff, Chief Risk Officer, KeyCorp
Oct. 17, 2018 Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association
Oct. 17, 2018 Kristin Dittmer, Executive Vice President & Chief Financial Officer, EnerBank USA
Oct. 17, 2018 John L. Thornton, Co-Chair; Hal S. Scott, Director; and R. Glenn Hubbard, Co-Chair; Committee on Capital Markets Regulation
Oct. 17, 2018 Stefan M. Gavell, Executive Vice President and Head of Regulatory, I, State Street Corporation
Oct. 17, 2018 Sheila C. Bair, Former Chairman, Federal Deposit Insurance Corporation, and Gaurav Vasisht, SVP and Director, Financial Regulation, The Volcker Alliance
Oct. 17, 2018 James T. Brett, President & CEO, The New England Council
Oct. 17, 2018 Mark R. Hutchison, Managing Director and General Counsel, HSBC Securities (USA) Inc.
Oct. 17, 2018 Jason Mulvihill, Chief Operating Officer and General Counsel, American Investment Council
Oct. 17, 2018 Bobby Franklin, President and CEO, National Venture Capital Association
Oct. 17, 2018 Michael Decker, Managing Director, SIFMA
Oct. 17, 2018 Timothy E. Keehan, VP, Senior Counsel, Center for Securities Trusts & Investments, American Bankers Association
Oct. 17, 2018 Scott O'Malia, Chief Executive Officer, International Swaps and Derivatives Association, Inc.
Oct. 17, 2018 Atlantic Capital Bank, et al.
Oct. 17, 2018 Brett Palmer, President, Small Business Investor Alliance (SBIA)
Oct. 17, 2018 Dennis M. Kelleher, President and CEO, and Joseph Cisewski, Senior Derivatives Consultant and Special Counsel, Better Markets, Inc.
Oct. 17, 2018 Richard Johns, Executive Director, Structured Finance Industry Group
Oct. 17, 2018 Wim Mijs, Chief Executive Officer, European Banking Federation
Oct. 17, 2018 Elise J. Bean, Former Staff Director and Chief Counsel, U.S. Senate Permanent Subcommittee on Investigations
Oct. 17, 2018 John F.W. Rogers, Executive Vice President, Chief of Staff and Secretary to the Board, The Goldman Sachs Group, Inc.
Oct. 17, 2018 Kenneth E. Bentsen, President and CEO, SIFMA
Oct. 17, 2018 John R. Dearie, Founder and President, Center for American Entrepreneurship
Oct. 17, 2018 Susan M. Olson, General Counsel, Investment Company Institute
Oct. 17, 2018 Kevin Fromer, President and CEO, Financial Services Forum
Oct. 17, 2018 Public Citizen
Oct. 17, 2018 Gregg Rozansky, Senior Vice President, Senior Associate General Counsel, Bank Policy Institute
Oct. 17, 2018 Briget Polichene, Chief Executive Officer, Institute of International Bankers
Oct. 17, 2018 Daniela O'Leary-Gill, Chief Operating Officer, BMO Financial Corp.
Oct. 17, 2018 Angelina Mason, General Counsel & Vice-President, Legal, Canadian Bankers Association
Oct. 17, 2018 Coalition for Derivatives End-Users
Oct. 17, 2018 Japanese Bankers Association
Oct. 16, 2018 R. Patrick Quinn, Chief Corporate Governance Officer and Corporate S, New York Community Bank
Oct. 16, 2018 Occupy the SEC
Oct. 16, 2018 Gail C. Bernstein, General Counsel, Investment Adviser Association
Oct. 16, 2018 Elliot Ganz, General Counsel, Loan Syndications and Trading Association
Oct. 16, 2018 Kelvin To, Founder and President, Data Boiler Technologies, LLC
Oct. 16, 2018 Meredith Fuchs, Senior Vice President, Chief Counsel, Regulatory Advisory, Capital One Financial Corporation, et al.
Oct. 12, 2018 Gregg Gelzinis, Research Associate, Economic Policy, Center for American Progress
Oct. 12, 2018 Ryozo Himino, Vice Minister for International Affairs, Financial Services Agency, and Kimihiro Etoh, Executive Director, Bank of Japan
Oct. 5, 2018 Carrie R. Hunt, EVP Government Affairs, General Counsel, National Association of Federally-Insured Credit Unions
Oct. 1, 2018 Alistair Fyfe, Principal, B&F Capital Markets, Inc., and Sam Tortorici, CEO, Cadence Bank, N.A.
Sep. 16, 2018 Lori Gayle Nuckolls, Esq.
Sep. 16, 2018 Eric Mills
Sep. 4, 2018 Douglas Holtz-Eakin, President, and Thomas Wade, Director, Financial Services Policy, American Action Forum
Aug. 31, 2018 Sushant Kumar
Jul. 31, 2018 Sam Singh, Ph.D.
Jul. 28, 2018 Peter Park
Jul. 25, 2018 Andrew Morris, Regulatory Affairs Counsel, National Association of Federally-Insured Credit Unions
Jul. 17, 2018 David F. Freeman, Arnold & Porter Kaye Scholer LLP
Jul. 10, 2018 Dennis M. Kelleher, Better Markets; Marcus Stanley, Americans for Financial Reform; Bartlett Naylor, Public Citizen; and Gregg Gelzinis, Center for American Progress
Jul. 6, 2018 Randy Hutlgren, Member of Congress, U.S. House of Representatives
Jun. 30, 2018 Zia Khan
Jun. 22, 2018 B. Dan Berger, President and Chief Executive Officer, National Association of Federally-Insured Credit Unions
Jun. 19, 2018 Eric Denney

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 24, 2018 Memorandum from the Division of Trading and Markets regarding an October 24, 2018, meeting with a representative of Data Boiler Technologies, LLC
Oct. 22, 2018 Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 22, 2018, meeting with representatives of SIFMA
Oct. 3, 2018 Memorandum from Division of Trading and Markets regarding an October 3, 2018, meeting with representatives of Goldman Sachs Group, Inc.
Oct. 2, 2018 Memorandum from the Division of Investment Management regarding an October 1, 2018, meeting with representatives of the Investment Company Institute
Sep. 6, 2018 Memorandum from the Office of the Chairman regarding a September 5, 2018, meeting with representatives of the AFL-CIO
Aug. 7, 2018 Memorandum from the Division of Investment Management regarding an August 7, 2018, meeting with representatives of the Investment Company Institute
Jun. 27, 2018 Memorandum from the Division of Investment Management regarding a June 27, 2018, meeting with representatives of Goldman Sachs Group, Inc.
Jun. 27, 2018 Memorandum from the Division of Trading and Markets regarding a June 27, 2018, meeting with representatives of Goldman Sachs Group, Inc.