Notice of Substituted Compliance Application Submitted by the French Autorité des Marchés Financiers and the Autorité de Contrôle Prudential et de Résolution in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic; Proposed Order

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from Richard Gabbert, Counsel to Commissioner Hester M. Peirce regarding a June 11, 2021, meeting with Representatives of the European Banking Federation
Meeting with SEC Officials Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 7, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from Carol M. McGee, Assistant Director, Office of Derivatives Policy, Division of Trading and Markets regarding a July 7, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from Patrice Aguesse of the French Autorité des Marchés Financiers (AMF) regarding a April 14, 2021, comment to Valentina Deng of the Division of Trading and Markets
Public Comment Dennis M. Kelleher, President & CEO, Better Markets, Inc.; Stephen Hall, Legal Director and Securities Specialist, Better Markets, Inc.; and Jason Grimes, Senior Counsel, Better Markets, Inc.
Public Comment Etienne Barel, Deputy Chief Executive Officer, French Banking Federation
Public Comment Kyle L. Brandon, Managing Director, Head of Derivatives Policy, Securities and Financial Markets Association
Public Comment Wim Mijs, Chief Executive Officer, European Banking Federation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a April 7, 2021, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 18, 2021, meeting with Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 19, 2021, meeting with representatives of Deutsche Bank
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 22, 2021, meeting with representatives of Deutsche Bank
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 18, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 26, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association
Public Comment Etienne Barel, Deputy Chief Executive Officer, French Banking Federation
Public Comment Kyle L. Brandon, Managing Director, Head of Derivatives Policy, Securities and Financial Markets Association
Public Comment Wim Mijs, Chief Executive Officer, European Banking Federation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 21, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-22-20
Release Number
34-90766
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