Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act

Comments on Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-69491 Phyllis C. Borzi, Assistant Secretary, U.S. Department of Labor
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding conference calls with representatives of the International Swaps and Derivatives
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a December 16, 2015, meeting with representatives of the International Swaps and Derivatives
Meeting with SEC Officials 34-74245, 34-69491 Memorandum from the Division of Trading and Markets regarding a November 13, 2015, meeting with representatives of SIFMA and Cleary Gottlieb Steen & Hamilton LLP
Public Comment 34-69491 Kyle Brandon, Managing Director, SIFMA
Meeting with SEC Officials 34-74245, 34-74834, 34-69491 Memorandum from the Division of Trading and Markets regarding an October 14, 2015, meeting with representatives of SIFMA AMG, BlackRock, Vanguard, Goldman Sachs Asset Management, and Russell
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 29, 2015, conference call with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding an October 5, 2015, conference call with representatives of the Securities Industry and Financial Markets Association
Public Comment 34-69491 Kyle Brandon, Managing Director, SIFMA
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 17, 2015, conference call with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding an August 28, 2015, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association
Public Comment 34-69491 Kyle Brandon, Managing Director, Head of Derivatives and Director of Research, SIFMA
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a July 13, 2015, meeting with representatives of SIFMA
Public Comment 34-71958, 34-69491, 34-69491, 34-69491, 34-69491 Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a November 7, 2013, meeting with representatives of the International Swaps and Derivatives Association
Public Comment 34-69491 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a September 27, 2013, meeting with representatives of Americans for Financial Reform, Public Citizen, Consumer Federation of America, and AFL-CIO
Public Comment 34-69491 Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers
Public Comment 34-69491 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-69491 John M. Damgard, President, FIA; Robert Pickel, Executive Vice Chairman, ISDA; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Public Comment 34-69491 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-63825, IC-29969, 34-64766, 34-63346, 34-65543 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA
Public Comment 34-64766 Bruce Stern, Chairman, Association of Financial Guaranty Insurers
Meeting with SEC Officials 34-62717, 34-64766, 34-63346, 34-63452 Memorandum from the Division of Trading and Markets regarding an August 6, 2012, meeting with representatives from the Association of Financial Guaranty Insurers
Public Comment 34-64766 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association and Nir D. Yarden, Chair, Institutional Investors Committee, Business Law Section, American Bar Association
Meeting with SEC Officials 34-64766, IC-29776 Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of Interactive Data
Public Comment 34-64766 Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
Meeting with SEC Officials 34-64766 Memorandum from the Division of Trading and Markets regarding a September 29, 2011, consultation with representatives from the Consumer Federation of America, et al.
Meeting with SEC Officials 34-64766 Memorandum from the Division of Trading and Markets regarding an October 13, 2011, consultation with representatives from the Consumer Federation of America, et al.
Public Comment 34-64766 Joseph Dear, California Public Employees' Retirement System; Jennifer Paquette, Colorado PERA; Keith Bozarth, State of Wisconsin Investment Board; Brian Guthrie, Teacher Retirement System of Texas; and Rick Dahl, Missouri State Employees' Retirement System

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-11
Release Number
34-69491
34-64766
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