Comments on Exemption of Certain Foreign Brokers or Dealers

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Date Received
Date Letter Type Commenter Name
Public Comment Sally Scutt, Managing Director, IBFed and Pierre de Lauzan, Chairman, IBFed Financial Markets Working Group
Public Comment Stefan M. Gavell, Executive Vice President, State Street Corporation
Public Comment Sullivan & Cromwell LLP
Public Comment Susan D. Lang, Assistant Director Office of Regulatory Policy, FinCEN
Public Comment George Brunelle, Brunelle & Hadjikow, P.C.
Public Comment Urs P. Roth, Chief Executive Officer and Heinrich Siegmann, Head U.S. Affairs, Swiss Bankers Association
Public Comment Marc Menchel, Executive Vice President and General Counsel, Financial Industry Regulatory Authority
Public Comment Carl N. Brooks
Public Comment Howard Meyerson, General Counsel, Liquidnet, Inc., New York, New York
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 28, 2008 meeting with representatives of Cadwalader, Wickersham & Taft LLP
Public Comment Ed Buscemi, Brooklyn, New York
Public Comment Darshan Patel, CA, Chartered Accountant in Practice, Ahmedabad, India
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 11, 2008 meeting with representatives of FINRA
Public Comment David L. Brock, Las Vegas, Nevada
Public Comment Peter J.Chepucavage, General Counsel, Plexus Consulting LLC
Public Comment Willie Middleton
Public Comment Richard Ketchum, Chairman, Regulation Committee, World Federation of Exchanges

Last Reviewed or Updated: Dec. 18, 2025

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