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Comments on Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

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Date Sort descending	Letter Type	Commenter Name
Dec. 22, 2021	Public Comment	Anthony J. Pugliese, CIA, CPA, CGMA, CITP, President and Chief Executive Officer, The Institute of Internal Auditors, Global Headquarters
Dec. 22, 2021	Public Comment	Melissa MacGregor, Managing Director and Associate General Counsel, SIFMA
Dec. 20, 2021	Public Comment	Marcia E. Asquith, Executive Vice President, Board & External Relations, Financial Industiy Regulato1y Authority, Inc.
Dec. 16, 2021	Public Comment	Anonymous
Dec. 16, 2021	Public Comment	Robert Laorno, General Counsel, ICE Bonds Securities Corporation
Dec. 15, 2021	Public Comment	Hector Chow
Dec. 15, 2021	Public Comment	Joshua Zimmerman

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-19-21

Release Number

34-93614

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