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Comments on Exemption of Certain Foreign Brokers or Dealers
[Release No. 34-58047; File No. S7-16-08]
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| Oct. 13, 2008 | Rod Smith, CEO, Canada |
| Oct. 9, 2008 | Colette Kimbrough |
| Sep. 30, 2008 | Jorgen Holmquist |
| Sep. 18, 2008 | French Banking Federation |
| Sep. 12, 2008 | Charles S. Gittleman and Russell D. Sacks, Shearman & Sterling LLP |
| Sep. 12, 2008 | Joan Caridi, Legal and Compliance Department, Credit Suisse Securities (USA) LLC |
| Sep. 11, 2008 | John Barrass,
Deputy Chief Executive, Association of Private Client Investment Managers and Stockbrokers |
| Sep. 11, 2008 | EU–US Coalition on Financial Regulation, London |
| Sep. 9, 2008 | Jonathan L. Auerbach, Managing Director, and David S. Grayson, Managing Director, Auerbach Grayson & Company, Inc. |
| Sep. 9, 2008 | Edward F. Greene,
Deputy General Counsel, Citigroup Inc., General Counsel, Institutional Clients Group |
| Sep. 9, 2008 | Lee Betsill, Managing Director, EDX London Ltd. |
| Sep. 9, 2008 | Reto Francioni and Andreas Preuss, Deutsche Boerse |
| Sep. 9, 2008 | D. Grant Vingoe, Arnold & Porter LLP |
| Sep. 8, 2008 | Clara Furse DBE, Chief Executive, London Stock Exchange |
| Sep. 8, 2008 | Peggy Willenbucher |
| Sep. 8, 2008 | Mark Berman, Principal, CompliGlobe Ltd. |
| Sep. 8, 2008 | Duncan Fairweather, Executive Director, Australian Financial Markets Association |
| Sep. 8, 2008 | Diana L. Preston, Managing Director and Associate General Counsel, SIFMA and David Strongin, Managing Director, SIFMA |
| Sep. 8, 2008 | Susan D. Lang, Assistant Director Office of Regulatory Policy, FinCEN |
| Sep. 8, 2008 | Nick Weinreb, Executive Director, Regulation, LIFFE |
| Sep. 8, 2008 | Stefan M. Gavell, Executive Vice President, State Street Corporation |
| Sep. 8, 2008 | Joseph Zangri, Chief Compliance Officer, Bloomberg Tradebook |
| Sep. 8, 2008 | Benjamin J. Catalano, Member of the Firm, Proskauer Rose LLP |
| Sep. 8, 2008 | Lawrence R. Uhlick, Chief Executive Officer, Institute of International Bankers |
| Sep. 8, 2008 | Sullivan & Cromwell LLP |
| Sep. 8, 2008 | Ari Burstein, Senior Counsel, Investment Company Institute |
| Sep. 8, 2008 | DLA Piper UK LLP,
Lovells LLP, Mayer Brown, Morrison & Foerster, Orrick, Herrington & Sutcliffe LLP, and Simmons & Simmons |
| Sep. 8, 2008 | Daniel F. Pedrotty, Director, Office of Investment, AFL-CIO |
| Sep. 8, 2008 | Ian C.W. Russell, President & Chief Executive Officer, Investment Industry Association of Canada |
| Sep. 8, 2008 | Judith Hardt, Secretary General, Federation of European Securities Exchanges |
| Sep. 8, 2008 | Guido Ravoet, European Banking Federation |
| Sep. 8, 2008 | Anthony Ianni, President, Ernst & Young |
| Sep. 8, 2008 | Sally Scutt, Managing Director, IBFed and Pierre de Lauzan, Chairman, IBFed Financial Markets Working Group |
| Sep. 8, 2008 | Jonathan Taylor, Chairman, Securities Associations and Marilyn Skiles, Secretary General, International Council of International Council of Securities Associations |
| Sep. 5, 2008 | Urs P. Roth, Chief Executive Officer and Heinrich Siegmann, Head U.S. Affairs, Swiss Bankers Association |
| Sep. 5, 2008 | George Brunelle, Brunelle & Hadjikow, P.C. |
| Sep. 2, 2008 | Marc Menchel, Executive Vice President and General Counsel, Financial Industry Regulatory Authority |
| Aug. 29, 2008 | Carl N. Brooks |
| Aug. 13, 2008 | Howard Meyerson, General Counsel, Liquidnet, Inc., New York, New York |
| Aug. 11, 2008 | Memorandum from the Division of Trading and Markets regarding a July 28, 2008 meeting with representatives of Cadwalader, Wickersham & Taft LLP |
| Jul. 18, 2008 | Ed Buscemi, Brooklyn, New York |
| Jul. 16, 2008 | Memorandum from the Office of the Chairman regarding a July 11, 2008 meeting with representatives of FINRA |
| Jul. 16, 2008 | Darshan Patel, CA, Chartered Accountant in Practice, Ahmedabad, India |
| Jul. 9, 2008 | David L. Brock, Las Vegas, Nevada |
| Jul. 7, 2008 | Peter J.Chepucavage,
General Counsel, Plexus Consulting LLC |
| Jun. 27, 2008 | Willie Middleton |
| Jun. 16, 2008 | Richard Ketchum, Chairman, Regulation Committee, World Federation of Exchanges |
http://www.sec.gov/comments/s7-16-08/s71608.shtml
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