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 Proposed Rule: Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 24

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Date Received
Date Letter Type Release Number Commenter Name
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 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 34-64017, 34-63107, 34-63347 Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA
Meeting with SEC Officials 34-64017, 34-63107, 34-63347 Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
Public Comment 34-63107 Daniel E. Glatter, Assistant General Counsel, GFI Group Inc.
Meeting with SEC Officials 34-64017, 34-63107, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Office of Commissioner Aguilar regarding a January 17, 2012, meeting with representatives of Bloomberg L.P.
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of Bloomberg
Public Comment 34-63825, 34-63107 David E. Franasiak, on behalf of Bloomberg
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives from Bloomberg
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Public Comment 34-63107 Ben Macdonald, Global Head Fixed Income, Bloomberg, L.P.
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a July 21, 2011, meeting with representatives of Bloomberg LLP
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives from Tradeweb
Meeting with SEC Officials 34-63825, 34-63107 Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Bloomberg L.P.
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P.
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC
Meeting with SEC Officials 34-64017, 34-63107 Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP
Public Comment 34-63107 James Cawley, Co-Founder, Swaps & Derivatives Market Association
Public Comment 34-63107 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Public Comment 34-63107 John R. Gidman, Association of Institutional Investors
Public Comment 34-63107 ABA Securities Association, Financial Services Roundtable, Futures Industry Association, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association
Public Comment 34-63107 Joanne T. Medero and Richard Prager, BlackRock, Inc., San Francisco, California
Public Comment 34-63107 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment 34-63107 Ian Axe, CEO, LCH.Clearnet Group
Public Comment 34-63107 Wayne P. Luthringshausen, Chairman and Chief Executive Officer, Options Clearing Corporation
Meeting with SEC Officials 34-63107, 34-63346, 34-63347, 34-63452 Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Public Comment 34-63825, 34-64017, 34-62717, 34-63107, 34-63236, 34-63346, 34-63347, 34-63452, 34-63556, 34-63557 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-27-10
Release Number
34-69491
34-63107
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