Comments on Clearing Agency Governance and Conflicts of Interest

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Comment
A: 2

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 30, 2023, meeting with representatives of the Independent Dealer and Trader Association
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an August 3, 2023 meeting with Paolo Saguato
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 26, 2023 conference call with representatives of CCP12
Meeting with SEC Officials Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a June 8, 2023 meeting with representatives of DTCC
Meeting with SEC Officials Memorandum from the Office Of Commissioner Caroline Crenshaw regarding an April 4, 2023 meeting with representatives of Options Clearing Corporation
Meeting with SEC Officials Memorandum from Office of Commissioner Uyeda regarding a June 9, 2023, meeting with representatives of the Options Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 2, 2023 meeting with representatives of the Future Industry Association
Public Comment Ben Passlow
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 2, 2023 conference call with representatives from The Options Clearing Corporation
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 1, 2023, meeting with representatives of the Options Clearing Corporation
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 29, 2023 meeting with representatives of the Options Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 22, 2023 conference call with representatives of the DTCC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 22, 2023 conference call with representatives of the London Stock Exchange Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 13, 2023 conference call with representatives of the Intercontinental Exchange, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 7, 2023 conference call with representatives from Options Clearing Corp.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 2, 2023 conference call with representatives from BlackRock
Public Comment Kens Bane, Retail Investor
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 30, 2022 conference call with representatives from Better Markets
Public Comment Kara Dutta, Assistant General Counsel, Intercontinental Exchange, Inc.
Public Comment U.S. Senator Thom Tillis
Public Comment Joseph P. Corcoran Managing Director, Associate General Counsel, SIFMA
Public Comment Ulrich Karl, Head of CLearing, International Swaps and Derivatives Association
Public Comment 2019 White Paper Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 1, 2022 conference call with representatives from The Options Clearing Corporation
Public Comment Anonymous, Retail Investor
Public Comment William Thum, Managing Director and Assistant General Counsel, SIFMA AMG
Public Comment Anonymous
Public Comment CCP12 - The Global Association of Central Counterparties
Public Comment Claire O'Dea, Director, Government Relations and Regulatory Strategy, Americas, London Stock Exchange Group
Public Comment James Tabacchi, Chairman, Independent Dealer and Trader Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-21-22
Release Number
34-95431
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