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 Anonymous
Public Comment Anonymous, Chemist
Public Comment Diana L. Boyd, Teacher
Public Comment Scott George
Public Comment Ben Brendle
Public Comment Chris Clark, Investor
Public Comment Jesse Muldoon
Public Comment Robert J. Simons
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 10, 2021 conference call with representatives of the NCC Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 18, 2022 webex meeting with representatives of SIFMA
Public Comment Peter Taylor, Retail Investor
Public Comment Patrick McHenry, Ranking Member, House Committee on Financial Services, and Pat Toomey, Ranking Member, Senate Committee on Banking, Housing, and Urban Affairs
Public Comment Matt Edwards
Public Comment John Gebauer, President, National Regulatory Services
Public Comment Eversheds Sutherland (US) LLP on behalf of Committee of Annuity Insurers
Public Comment Anonymous
Public Comment FLO FI
Public Comment Adam Schaub, VP, Product Management - Platform, RegEd
Public Comment Allison Lurton, General Counsel and Chief Legal Officer, Futures Industry Association
Public Comment Blair Anderson, Director, AWS Public Policy
Public Comment Brayden John, Enterprise Data Intelligence, Insightful Technology
Public Comment Curtis Turnell, Compliance Program Manager - Microsoft Corporation
Public Comment Dave T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Douglas Weeden, Managing Director, 17a-4, LLC
Public Comment Emily Micale, Insured Retirement Institute, Inc.
Public Comment Ian J. Frimet, Senior Vice President, Associate General Counsel, LPL Financial
Public Comment Patrick C. Reeder, Deputy General Counsel and Ian Trepanier, Policy Analyst, American Councel of Life Insurers
Public Comment Alexander Gavis, Senior Vice President & Deputy General Counsel, Fidelity Investments
Public Comment American Funds Distributors, Inc.
Public Comment John Trotti, NCC Group

Last Reviewed or Updated: Dec. 18, 2025

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