Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-56501 Sarah A. Miller, General Counsel, ABA Securities Association
Public Comment 34-54946 Sally Miller, Director & Chief Regulatory Counsel Center for Securities, Trust and Investments, American Bankers Association, and Norman R. Nelson, General Counsel, The Clearing House Association L.L.C.
Public Comment 34-54946 Lisa Tate, Associate General Counsel, Litigation, American Council of Life Insurers
Public Comment 34-54946 Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. and Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments American Bankers Association and General Counsel, ABA Securities Association
Public Comment 34-54946 Joe Belew, President, Consumer Bankers Association
Meeting with SEC Officials 34-54946 Memorandum regarding a June 19, 2007 telephone meeting regarding Regulation R with a representative of the Institute of International Bankers
Public Comment 34-54946 Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. and Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments American Bankers Association and General Counsel, ABA Securities Association
Meeting with SEC Officials 34-54946 Memorandum regarding a May 23, 2007 meeting regarding Regulation B with representatives of American Bankers Association, Arvest Bank, LaSalle Bank Midwest, First National Bank and Trust Company, The Union Bank Company, and the Board of Governors of the Federal Reserve System
Meeting with SEC Officials 34-54946 Memorandum regarding a May 4, 2007 meeting regarding Regulation R with representatives of Federated Investors, Inc.
Public Comment 34-54946 Thomas M. Selman, NASD, Washington, District of Columbia
Public Comment 34-54946 Joseph P. Borg, Esq., NASAA President and Director, Alabama Securities Commission
Public Comment 34-54946 Keith F. Higgins, Chair and James E. Scott, Chair, Committee on Federal Regulation of Securities of the American Bar Association
Public Comment 34-54946 Sandra Mico, President, West Coast Trust Company, Inc.
Public Comment 34-54946, 34-54947 Carl Howard, General Counsel, Bank Regulatory, Citigroup Inc.
Public Comment 34-54946, 34-54947 Jeffrey P. Neubert, President and CEO, The Clearing House Association L.L.C.
Public Comment 34-54946 Carol A. Jameson, Vice President and Deputy General Counsel, National Securities Clearing Corporation, New York, New York
Public Comment 34-54946 Alan E. Sorcher, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment 34-54946 Andrew C. Svarre, Associate General Counsel, TIAA-CREF
Public Comment 34-54946 Barbara Black, Charles Hartsock Professor of Law and Director, Corporate Law Center, University of Cincinnati College of Law, Cincinnati, Ohio
Public Comment 34-54946 Carl Krasik, General Counsel, Mellon Financial Corporation
Public Comment 34-54946 Christopher Cole, Regulatory Counsel, Independent Community Bankers of America
Public Comment 34-54946 Dale K. Nichols, Assistant General Counsel, Northern Trust Corporation
Public Comment 34-54946, 34-54947 David W. Lauer, Vice President and Senior Counsel, Wells Fargo & Company
Public Comment 34-54946, 34-54947 F. Jay Meyer, Vice President & Senior Attorney, TD Banknorth, N.A.
Public Comment 34-54946 Fred R. Becker, Jr., President/CEO, National Association of Federal Credit Unions
Public Comment 34-54946 Gregory A. Baer, Deputy General Counsel, Bank of America Corporation
Public Comment 34-54946 Gregory S. Meredith, JPMorgan Chase & Co.
Public Comment 34-54946 James S. Keller, Legal Department, The PNC Financial Services Group, Inc.
Public Comment 34-54946 Jeffrey Bloch, Senior Assistant General Counsel, Credit Union National Association
Public Comment 34-54946 Jill I. Gross, Esquire, Professor of Law, Pace University School of Law and Director, Pace Investor Rights Project

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-22-06
Release Number
34-56501
34-54946
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