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Comments on Exemption of Certain Foreign Brokers or Dealers

[Release No. 34-58047; File No. S7-16-08]

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

Modified: 10/23/2008