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

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-82626 Kyle Brandon, Managing Director, Head of Derivatives, SIFMA
Public Comment 34-82626 Kyle Brandon, Managing Director, Head of Derivatives, SIFMA
Public Comment 34-82626 Kyle Brandon, Managing Director, Head of Derivatives, SIFMA
Meeting with SEC Officials 34-82626 Memorandum from the Division of Trading and Markets regarding a November 29, 2018, meeting with representatives of SIFMA
Public Comment 34-82626 Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association
Public Comment 34-82626 Walt L. Lukken, President and Chief Executive Officer, Futures Industry Association
Public Comment 34-82626 SIFMA
Public Comment 33-9231, 34-64794, 39-2475, 34-79833, 34-79752 Kyle Brandon, Managing Director, SIFMA
Public Comment 34-79833 Tonette C. Carter
Public Comment 34-79833 Alisa Mccoy
Public Comment 34-79833, 34-79752 Kyle Brandon, Managing Director, SIFMA
Public Comment 34-79833 Layla L. Spencer
Public Comment 34-64795 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Meeting with SEC Officials 34-64795 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
Public Comment 34-64795 SIFMA SBS Exemptive Relief Request
Meeting with SEC Officials 34-64795 Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of Davis Polk & Wardwell LLP
Meeting with SEC Officials 34-64795 Memorandum from the Division of Trading and Markets regarding an October 7, 2011, meeting with representatives of Davis Polk & Wardwell LLP
Public Comment 34-64795 Draft SIFMA SBS Exemptive Relief Request
Public Comment 34-64017, 34-64678, 34-64795, 34-64796 Kevin Gould, President, Markit North America, Inc.
Public Comment 34-64017, 34-64678, 34-64795, 34-64796 Jeff Gooch, Chief Executive Officer, MarkitSERV
Meeting with SEC Officials 33-9231, 34-64794, 39-2475, 34-64795 Memorandum from the Division of Trading and Markets regarding a July 11, 2011 Telephonic meeting with representative of the Loan Syndications and Trading Association
Meeting with SEC Officials 34-64795 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
Public Comment 34-64795 Christine P. Nguyen, Jr., Professional of Economics University Law, San Diego, California
Meeting with SEC Officials 34-64678, 34-64795 Memorandum from the Division of Trading and Markets regarding a July 7, 2011 telephonic meeting with representatives of Davis Polk & Wardwell LLP

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-27-11
Release Number
34-82626
34-79833
34-64795
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