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Comments on Broker-Dealer Reports

[Release No. 33-9222; File No. S7-23-11]


Submitted Comments

(Click here for meetings with SEC officials)
Apr. 17, 2012 Sutherland Asbill & Brennan LLP
Sep. 15, 2011 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York
Sep. 14, 2011 N.M. Hamlet, Seattle, Washington
Sep. 13, 2011 Suzanne H. Shatto, Seattle
Aug. 26, 2011 Annette Lege, Chief Financial Officer, and Mark Gregson, Financial and Operations Principal, Van Kampen Funds Inc. and Invesco Distributors, Inc.
Aug. 26, 2011 Ernst & Young LLP
Aug. 26, 2011 Holly H. Smith and Michael B. Koffler, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Aug. 26, 2011 Susan S. Coffey, CPA, Senior Vice President, Public Practice and Global Alliances, American Institute of CPAs
Aug. 26, 2011 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Aug. 26, 2011 Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
Aug. 26, 2011 McGladrey & Pullen, LLP
Aug. 26, 2011 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Aug. 26, 2011 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Aug. 26, 2011 Grant Thornton LLP
Aug. 25, 2011 Robert Kaufmann and David Grumer, Partners, Citrin Cooperman & Co., LLP, New York, New York
Aug. 25, 2011 PricewaterhouseCoopers, LLP
Aug. 25, 2011 KPMG LLP
Aug. 25, 2011 Cynthia M. Fornelli, Executive Director, Center for Audit Quality
Aug. 25, 2011 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Aug. 25, 2011 Deloitte & Touche LLP
Aug. 14, 2011 Suzanne Shatto
Aug. 2, 2011 Todd Genger, New York, New York
Jul. 25, 2011 Suzanne H. Shatto, Washington
Jul. 25, 2011 Suzanne Shatto
Jul. 20, 2011 Chris Barnard, Germany
Jun. 27, 2011 Robert R. Kelley, Weldona, Colorado
Jun. 22, 2011 Naphtali M. Hamlet, Seattle, Washington

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Feb. 7, 2012 Memorandum from the Division of Trading and Markets regarding a January 25, 2012, meeting with representatives of the Securities Industry and Financial Markets Association
Jan. 10, 2012 Memorandum from the Division of Trading and Markets regarding a January 10, 2012, meeting with representatives of the Committee of Annuity Insurers
Dec. 16, 2011 Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Oct. 7, 2011 Memorandum from the Division of Trading and Markets regarding an October 6, 2011, telephone call with representatives of the AICPA Stockbrokerage and Investment Banking Expert Panel
Oct. 5, 2011 Memorandum from the Division of Trading and Markets regarding an October 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Sep. 21, 2011 Memorandum from the Division of Trading and Markets regarding a September 21, 2011, telephonic meeting with the AICPA Stockbrokerage and Investment Banking Expert Panel
Jul. 11, 2011 Memorandum from the Division of Trading and Markets regarding a July 11, 2011, telephonic meeting with representatives of the Securities Industry and Financial Markets Association

 

http://www.sec.gov/comments/s7-23-11/s72311.shtml

Modified: 10/16/2014