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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
[Release No. 34-69491; File No. S7-27-10]
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Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
May 21, 2013 | Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association |
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
[Release No. 34-63107; File No. s7-27-10]
See also: Comments on Dodd-Frank Act, Title VII; Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies
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(Click here for meetings with SEC officials)
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Comments have been received from individuals and entities using the following Letter Type A: 24 |
Jun. 6, 2012 | Daniel E. Glatter, Assistant General Counsel, GFI Group Inc. |
Dec. 9, 2011 | David E. Franasiak, on behalf of Bloomberg |
Aug. 16, 2011 | Ben Macdonald, Global Head Fixed Income, Bloomberg, L.P. |
Jun. 3, 2011 | James Cawley, Co-Founder, Swaps & Derivatives Market Association |
Jun. 3, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation |
Jun. 2, 2011 | John R. Gidman, Association of Institutional Investors |
Apr. 29, 2011 | Joanne T. Medero and Richard Prager, BlackRock, Inc., San Francisco, California |
Apr. 29, 2011 | ABA Securities Association, Financial Services Roundtable, Futures Industry Association, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association |
Apr. 29, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
Apr. 28, 2011 | Ian Axe, CEO, LCH.Clearnet Group |
Apr. 26, 2011 | Wayne P. Luthringshausen, Chairman and Chief Executive Officer, Options Clearing Corporation |
Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
Mar. 23, 2011 | Chris Barnard, Germany |
Mar. 21, 2011 | Greg Donohoe |
Mar. 15, 2011 | Mike Hisler, Swaps and Derivatives Market Association (SDMA), New York, New York |
Mar. 7, 2011 | Jonathan Feigelson, General Counsel, Teachers Insurance and Annuity Association of America |
Feb. 14, 2011 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 4, 2011, meeting with representatives of Barclays |
Feb. 8, 2011 | Kenneth A. Monahan, Principal, Vizier Ltd. , New York, New York |
Feb. 4, 2011 | Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc. |
Jan. 11, 2011 | ABA Securities Association, The Clearing House Association L.L.C., Financial Services Roundtable, Futures Industry Association, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association |
Dec. 28, 2010 | U.S. Department of Justice, Antitrust Division |
Dec. 20, 2010 | Senator Carl Levin, U.S. Senate |
Dec. 6, 2010 | H. Garten |
Nov. 29, 2010 | Thomas Book, Member of Executive Board, Eurex Clearing, Eschborn, Germany |
Nov. 26, 2010 | Mike Hisler, Co-Founder, Swaps Derivatives Market Association |
Nov. 26, 2010 | Mark Scanlan, Vice President, Agriculture and Rural Policy, Independent Community Bankers of America |
Nov. 26, 2010 | Dennis M. Kelleher, President & CEO, and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc. |
Nov. 26, 2010 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation, New York, New York |
Nov. 26, 2010 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
Nov. 26, 2010 | Arthur B. Reinstein, Deputy General Counsel, Chicago Board Options Exchange, Inc. |
Nov. 26, 2010 | Roger Liddell, Chief Executive, LCH.Clearnet Limited |
Nov. 24, 2010 | Kathleen M. Cronin, CME Group Inc., Chicago, Illinois |
Nov. 24, 2010 | Nancy C. Gardner, Executive Vice President & General Counsel, Thomson Reuters Markets |
Nov. 24, 2010 | Ben Macdonald, Global Head Fixed Income, Bloomberg LP, New York, New York |
Nov. 24, 2010 | Douglas L. Friedman, General Counsel, Tradeweb Markets LLC, New York, New York |
Nov. 23, 2010 | Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc. |
Nov. 23, 2010 | Chris Barnard, Germany |
Nov. 22, 2010 | Wayne P. Luthringshausen, Chairman and Chief Executive Officer, The Options Clearing Corporation |
Nov. 19, 2010 | Laurel Leitner, Senior Analyst, Council of Institutional Investors |
Nov. 18, 2010 | John S. Willian, Managing Director, Goldman, Sachs & Co. |
Nov. 17, 2010 | James Fuqua, Managing Director, Legal, UBS Securities LLC and David Kelly, Managing Director, Legal, UBS Securities LLC |
Nov. 17, 2010 | Barry L. Zubrow, EVP & Chief Risk Officer, JP Morgan Chase & Co. |
Nov. 17, 2010 | Karrie McMillan, General Counsel, Investment Company Institute |
Nov. 17, 2010 | Sherrod Brown, United States Senator |
Nov. 17, 2010 | James Hill, Managing Director, Morgan Stanley |
Nov. 17, 2010 | Alyson L. Abramowitz, Chair, CA Democratic Party Business & Professional Caucus, Democrats Mean Business |
Nov. 17, 2010 | Daniel Torres, President, Latino American Chamber of Commerce of Connecticut |
Nov. 17, 2010 | Tim Walz, Member of Congress |
Nov. 17, 2010 | Tom Harkin, United States Senate |
Nov. 17, 2010 | John M. Damgard, President, Futures Industry Association |
Nov. 16, 2010 | State Representative Robert Megna, Connecticut 97th District; State Representative Betsy Ritter, Connecticut 38th District; and State Representative Susan Johnson, Connecticut 49th District |
Nov. 16, 2010 | Americans for Financial Reform |
Nov. 16, 2010 | Joseph Harder |
Nov. 16, 2010 | Molly Peterson |
Nov. 16, 2010 | Alex Farrel |
Nov. 16, 2010 | Tom Hughes |
Nov. 16, 2010 | Alissa Ko, President, California Young Democrats |
Nov. 16, 2010 | Thomas Chaffee, Individual Investor and Teacher |
Nov. 16, 2010 | Michael Manset |
Nov. 16, 2010 | Pat Washington, Ph.D., President, San Diego Democratic Women's Club |
Nov. 16, 2010 | Rita Ramirez-Dean, Dr., President, Democratic Women of Inland Empire |
Nov. 16, 2010 | Andrew Postal |
Nov. 16, 2010 | Robert Matthies, President, Greater Lodi Area Democrats |
Nov. 16, 2010 | Jerry Greenspan, President, Coronado Democratic Club |
Nov. 16, 2010 | Randy Ghan, Executive Secretary-Treasurer - Central Labor Council of Fresno, Madera, Tulare, and Kings County |
Nov. 16, 2010 | Joshua Miller, RI State Senator, Chairman - Corperations Comm., Providence, Rhode Island |
Nov. 16, 2010 | David W. Brown, Ph.D., Retired Applied Economics Professor And Int'l Development Advisor, Newport, Rhode Island |
Nov. 16, 2010 | Laurie McBride, Chair, California Democratic Party LGBT Caucus (North) |
Nov. 16, 2010 | Ian Magruder, President, California College Democrats |
Nov. 16, 2010 | Paula Villescaz, Member, Cal Berkeley Democrats |
Nov. 16, 2010 | Dan Kirk, Democratic Central Committee Member and Owner, Dan Kirk Consulting |
Nov. 16, 2010 | Connor Johnston, California Democratic Party Delegate, San Luis Obispo Democratic Central Committee Member |
Nov. 16, 2010 | Jon Riley, Executive Director, Napa-Solano Central Labor Council |
Nov. 16, 2010 | Evan Hawkins, Executive Director, Democratic Party of Sacramento County |
Nov. 16, 2010 | Bruce Deitch, President, Kasden Fuel, Inc., East Hartford, Connecticut |
Nov. 15, 2010 | Tim Paulson, Executive Director, San Francisco Labor Council - Chair, California Labor Party Democratic Caucus |
Nov. 15, 2010 | R. Glenn Hubbard, John L. Thornton, and Hal S. Scott, Committee on Capital Markets Regulation |
Nov. 15, 2010 | Raelene Brown, Secretary-Treasurer, Stanislaus-Tuolomne County Central Labor Council |
Nov. 15, 2010 | Carole Adell, Principal, Renaissance Consulting, Sacramento, California |
Nov. 15, 2010 | Anais LeVoie, Communications Director, Cal Berkeley Democrats, Berkeley, California |
Nov. 15, 2010 | Klein Lieu, Cal Berkeley Democrats, IT Director |
Nov. 15, 2010 | Chris Norem, Consultant |
Nov. 15, 2010 | Daniel Osborn, Cal Berkeley Democrats, President |
Nov. 15, 2010 | Raquel Simental, Secretary, Women Democrats of Sacramento County |
Nov. 15, 2010 | Christy Stanker, Cal Berkeley Democrats, Membership Director |
Nov. 12, 2010 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association |
Nov. 9, 2010 | Shelley Kessler, Executive Secretary-Treasurer, San Mateo County Central Labor Council |
Nov. 8, 2010 | Tom Sgouros |
Nov. 8, 2010 | Ernest C. Goodrich, Jr. and Marcelo Riffaud, Deutsche Bank AG |
Nov. 5, 2010 | Roger Liddell, Chief Executive, LCH.Clearnet Limited |
Nov. 4, 2010 | Michael N. Castle, Member of Congress and Jim Gerlach,
Member of Congress |
Oct. 28, 2010 | Michael E. Capuano, Member of Congress |
Oct. 18, 2010 | Stephen F. Lynch, Member of Congress |
Oct. 15, 2010 | Townsend Walker, Economist/Writer, San Francisco, California |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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Mar. 28, 2013 | 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 |
Oct. 26, 2012 | Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs) |
Feb. 6, 2012 | Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C. |
Jan. 23, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a January 17, 2012, meeting with representatives of Bloomberg L.P. |
Jan. 17, 2012 | Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of Bloomberg |
Nov. 1, 2011 | Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives from Bloomberg |
Oct. 21, 2011 | 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 |
Sep. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association |
Jul. 22, 2011 | Memorandum from the Division of Trading and Markets regarding a July 21, 2011, meeting with representatives of Bloomberg LLP |
Jun. 27, 2011 | Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives from Tradeweb |
Jun. 24, 2011 | Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Bloomberg L.P. |
Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC |
Jun. 20, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P. |
Jun. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC |
Jun. 6, 2011 | Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP |
May 10, 2010 | Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group |
Apr. 28, 2010 | Memorandum from the Office of Commissioner Paredes regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group |
Apr. 21, 2011 | Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
Apr. 14, 2011 | Memorandum from the Office of Commissioner Walter regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group |
Apr. 14, 2011 | Memorandum from the Division of Trading and Markets regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group |
Mar. 21, 2011 | Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC |
Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with a representative of the Goldman Sachs Group, Inc. |
Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with a representatives of the Managed Funds Association |
Feb. 24, 2011 | Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs |
Feb. 23, 2011 | Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of Bloomberg LLP |
Jan. 20, 2011 | Memorandum from the Division of Trading and Markets regarding a January 20, 2011 meeting with representatives of Citadel LLC |
Jan. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a December 22, 2010, telephone call with staff from the U.S. Department of Justice |
Dec. 3, 2010 | Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners |
Dec. 3, 2010 | Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of LCH.Clearnet and Rich Feuer Group |
Nov. 30, 2010 | Memorandum from the Division of Trading and Markets regarding a November 23, 2010, meeting with representatives of Sidley Austin LLP |
Nov. 12, 2010 | Memorandum from the Office of Commissioner Casey regarding a November 10, 2010, meeting with representatives of LCH.Clearnet |
Nov. 12, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a November 10, 2010, meeting with representatives of NASDAQ OMX |
Oct. 28, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an October 26, 2010, meeting with representatives of the Options Clearing Corporation |
Oct. 26, 2010 | Memorandum from the Office of the Chairman regarding a meeting with representatives of the Options Clearing Corporation |
Oct. 26, 2010 | Memorandum from the Office of Commissioner Walter regarding an October 26, 2010, meeting with representatives of the Options Clearing Corporation |
Oct. 26, 2010 | Memorandum regarding an October 20, 2010, meeting with Professor Darrel Duffie, Dean Witter Distinguished Professor of Finance at the Graduate School of Business, Stanford University |
Oct. 14, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 14, 2010 meeting with representatives of UBS |
Oct. 13, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 13, 2010 meeting with representatives of Goldman Sachs |
http://www.sec.gov/comments/s7-27-10/s72710.shtml
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