|
|
 |
Comments on Exemptive Order: Order Extending Until February 5, 2019, Certain Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps and Request for Comment
[Release No. 34-82626; File No. S7-27-11]
|
|
|
| Sep. 10, 2020 | Kyle Brandon, Managing Director, Head of Derivatives, SIFMA |
| Jan. 8, 2020 | Kyle Brandon, Managing Director, Head of Derivatives, SIFMA |
| Dec. 20, 2018 | Kyle Brandon, Managing Director, Head of Derivatives, SIFMA |
| Nov. 29, 2018 | Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association |
| Nov. 14, 2018 | Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association |
| Nov. 8, 2018 | SIFMA |
Meetings with SEC Officials
|
| Nov. 29, 2018 | Memorandum from the Division of Trading and Markets regarding a November 29, 2018, meeting with representatives of SIFMA |
Comments on Exemptive Order: Order Extending Certain Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps and Request for Comment
[Release No. 34-79833; File No. S7-27-11]
Comments on Exemptive Order: Order Granting Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Pending Revision of the Definition of "Security" to Encompass Security-Based Swaps, and Request for Comments
[Release No. 34-64795; File No. S7-27-11]
|
|
|
| Dec. 20, 2012 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Dec. 5, 2011 | SIFMA SBS Exemptive Relief Request |
| Oct. 20, 2011 | Draft SIFMA SBS Exemptive Relief Request |
| Jul. 26, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Jul. 15, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Jul. 11, 2011 | Christine P. Nguyen, Jr., Professional of Economics University Law, San Diego, California |
Meetings with SEC Officials
|
| Feb. 15, 2012 | Memorandum from the Division of Trading and Markets regarding a February 7 and 8, 2012, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), Davis Polk & Wardwell LLP, and Goldman Sachs |
| Nov. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of Davis Polk & Wardwell LLP |
| Oct. 26, 2011 | Memorandum from the Division of Trading and Markets regarding an October 7, 2011, meeting with representatives of Davis Polk & Wardwell LLP |
| Jul. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a July 12, 2011, telephonic meeting with a representative of Wilmer Cutler Pickering Hale and Dorr LLP |
| Jul. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a July 11, 2011, Telephonic meeting with representative of the Loan Syndications and Trading Association |
| Jul. 7, 2011 | Memorandum from the Division of Trading and Markets regarding a July 7, 2011, telephonic meeting with representatives of Davis Polk & Wardwell LLP |
http://www.sec.gov/comments/s7-27-11/s72711.shtml
|
