Comments on Exemption of Certain Foreign Brokers or Dealers

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Date Received
Date Letter Type Commenter Name
Public Comment Rod Smith, CEO, Canada
Public Comment Colette Kimbrough
Public Comment Jorgen Holmquist
Public Comment French Banking Federation
Public Comment Charles S. Gittleman and Russell D. Sacks, Shearman & Sterling LLP
Public Comment Joan Caridi, Legal and Compliance Department, Credit Suisse Securities (USA) LLC
Public Comment EU-US Coalition on Financial Regulation, London
Public Comment John Barrass, Deputy Chief Executive, Association of Private Client Investment Managers and Stockbrokers
Public Comment D. Grant Vingoe, Arnold & Porter LLP
Public Comment Edward F. Greene, Deputy General Counsel, Citigroup Inc., General Counsel, Institutional Clients Group
Public Comment Jonathan L. Auerbach, Managing Director, and David S. Grayson, Managing Director, Auerbach Grayson & Company, Inc.
Public Comment Lee Betsill, Managing Director, EDX London Ltd.
Public Comment Reto Francioni and Andreas Preuss, Deutsche Boerse
Public Comment Anthony Ianni, President, Ernst & Young
Public Comment Ari Burstein, Senior Counsel, Investment Company Institute
Public Comment Benjamin J. Catalano, Member of the Firm, Proskauer Rose LLP
Public Comment Clara Furse DBE, Chief Executive, London Stock Exchange
Public Comment Daniel F. Pedrotty, Director, Office of Investment, AFL-CIO
Public Comment Diana L. Preston, Managing Director and Associate General Counsel, SIFMA and David Strongin, Managing Director, SIFMA
Public Comment DLA Piper UK LLP, Lovells LLP, Mayer Brown, Morrison & Foerster, Orrick, Herrington & Sutcliffe LLP, and Simmons & Simmons
Public Comment Duncan Fairweather, Executive Director, Australian Financial Markets Association
Public Comment Guido Ravoet, European Banking Federation
Public Comment Ian C.W. Russell, President & Chief Executive Officer, Investment Industry Association of Canada
Public Comment Jonathan Taylor, Chairman, Securities Associations and Marilyn Skiles, Secretary General, International Council of International Council of Securities Associations
Public Comment Joseph Zangri, Chief Compliance Officer, Bloomberg Tradebook
Public Comment Judith Hardt, Secretary General, Federation of European Securities Exchanges
Public Comment Lawrence R. Uhlick, Chief Executive Officer, Institute of International Bankers
Public Comment Mark Berman, Principal, CompliGlobe Ltd.
Public Comment Nick Weinreb, Executive Director, Regulation, LIFFE
Public Comment Peggy Willenbucher

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-08
Release Number
34-58047
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