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 Public Engagement regarding a July 12, 2023 virtual meeting with representatives of Futures Industry Association
Meeting with SEC Officials Memorandum from the Office Of Public Engagement regarding a July 13, 2023 virtual meeting with representatives of Americans for Financial Reform
Public Comment Michael Sorrell, Deputy General Counsel, FIA, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 29, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a June 29, 2023 meeting with Citadel, WH Trading, DRW, Optiver, Jump Trading, Geneva Trading, and Hudson River
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a June 15, 2023 meeting with the Depository Trust and Clearing Corporation
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a June 15, 2023 meeting with the Depository Trust and Clearing Corporation
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 28, 2023 meeting with representatives of ISDA
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 27, 2023 meeting with representatives of the Independent Dealer Trader Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 14, 2023 meeting with representatives of DTCC
Public Comment Rachel Goldberg, Head of Government Relations and Regulatory Strategy, Americas, London Stock Exchange Group
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 9, 2023 meeting with representatives of JP Morgan
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 7, 2023 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 30, 2023 meeting with Capital Group
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a May 12, 2023 meeting with the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 24, 2023 meeting with PIMCO
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a March 31, 2023 meeting with Federated Hermes
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a May 3, 2023 meeting with London Stock Exchange Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 16, 2023 meeting with representatives of JP Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2023 meeting with representatives of the Independent Dealer and Trader Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 27, 2023 meeting with representatives of DTCC
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an April 11, 2023 meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an April 4, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a March 28, 2023 meeting with the Independent Dealer and Trader Association
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a December 6, 2022 meeting with representatives of Intercontinental Exchange
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a February 10, 2023 meeting with representatives of GTS Securities LLC
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a February 16, 2023, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a March 1, 2023, meeting with representatives of Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a March 28, 2023 meeting with representatives of SIFMA AMG
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a November 8, 2022, meeting with representatives of Bank of America

Last Reviewed or Updated: Dec. 18, 2025

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