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

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Date Received
Date Letter Type Commenter Name
Public Comment Arthur Turner, Marketing Manager
Public Comment Anonymous
Public Comment Chris Palmiero
Public Comment James Mahr, Retail Investor
Public Comment Jim
Public Comment Kenny Plume
Public Comment Linn Svensson, Account Manager, Google
Public Comment Matthew Jones, Objecutive Inc.
Public Comment Michael H.
Public Comment Mostafa Nassar, Business Owner
Public Comment Stephen Martine
Public Comment Zhi Han
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 16, 2022 Webex Meeting with representatives of the NCC Group
Public Comment Anonymous
Public Comment Albert Kaloustian, Software Engineer
Public Comment Anonymous
Public Comment Garrett Walstad
Public Comment Ho Doan
Public Comment Matthew Pruett
Meeting with SEC Officials Memorandum from the Office of the General Counsel regarding a July 13, 2022 meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 17, 2022 meeting with representatives of Amazon Web Services
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 9, 2022 meeting with Microsoft Representatives.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 2, 2022, Webex Meeting with representatives of Amazon Web Service
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 11, 2022 Webex Meeting with SIFMA Representatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 15, 2022 meeting with with representatives of Microsoft
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 9, 2022 meeting with representatives of AWS
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 7, 2022 meeting with representatives from the Securities Industry and Financial Markets Association ("SIFMA")
Public Comment Anonymous
Public Comment Anonymous
Public Comment Allen Browne

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-19-21
Release Number
34-93614
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