Comments on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities Fund Advisers

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Mark T. Uyeda regarding a December 8, 2023 meeting with representatives of DTCC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 5, 2023 meeting with representatives of Managed Fund Association
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a November 30, 2023 meeting with Darrell Duffie
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 22, 2023 meeting with the Group of Thirty
Public Comment Sebastian Crapanzano, Managing Director, Morgan Stanley
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 14, 2023 meeting with representatives of DTCC
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 14, 2023 meeting with representatives of Optiver
Public Comment Brian W. Steele, President, Managing Director, Head of Global Business Operations, DTCC; Laura Klimpel, General Manager, Head of SIFMU Business Development, FICC
Public Comment Reyneir Magee
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 1, 2023 meeting with representatives of DTCC
Public Comment Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 1, 2023 meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a July 27, 2023 conference call with representatives of BlackRock
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a June 1, 2023 conference call with representatives of BlackRock
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a June 27, 2023 conference call with representatives of the Independent Dealer & Trader Association (“IDTA”)
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a June 29, 2023 conference call with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding an October 27, 2023 conference call with representatives of the Citadel
Meeting with SEC Officials Memorandum from Office of Clearance and Settlement and Division of Trading and Markets regarding a June 29, 2023 conference call with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 13, 2023 meeting withrepresentatives of the Fixed Income Clearing Corporation (FICC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an October 26, 2023 meeting with representatives of Nomura
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 31, 2023 meeting with representatives of the Investment Company Institute (ICI)
Meeting with SEC Officials Memorandum from the Office of Commissioner Jamie Liz?rraga regarding a October 30, 2023 meeting with representatives of IDTA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a October 30, 2023 meeting with representatives of BNY Mellon
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 27, 2023 meeting with SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 27, 2023 meeting with representatives of Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a October 27, 2023 meeting with Element Capital
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 26, 2023 meeting with the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an October 19, 2023 meeting with MFA
Public Comment Jiří Król, Deputy CEO, Global Head of Government Affairs, AIMA

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-23-22
Release Number
34-95763
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