Comments on Notice of Substituted Compliance Application submitted by the Bundesanstalt für Finanzdienstleistungsaufsicht in connection with Certain Requirements Applicable to Security-Based Swap Entities subject to regulation in the Federal Republic of Germany; Proposed Order

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 12, 2021 meeting with representatives from the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 28, 2021 meeting with representatives of Morgan Stanley
Public Comment Andrew Nash, Managing Director, Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 17, 2020 meeting with Legal Counsel for the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 16, 2020 meeting with representatives of Deutsche Bank
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 1, 2020 meeting with representatives of Deutsche Bank
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 23, 2020 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Public Comment Jan Ford, Head of Compliance, Americas, Co-head of SBS Council, Deutsche Bank and Gary Kane, Co-Head Institutional Client Group, Americas, Co-head of SBS Council, Deutsche Bank
Public Comment Kyle L. Brandon, Managing Director, Head of Derivatives Policy, SIFMA
Public Comment Wim Mijs, Chief Executive Officer, European Banking Federation

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-20
Release Number
34-90378
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