Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

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: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps

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

Comment
(S7-06-22 form letter A; S7-32-10 form letter B): 16
A: 348
C: 31
D: 9
E: 1
F: 20
G: 106
H: 21
I: 16
J: 31
K: 2
L: 6
M: 11
N: 12
O: 11
P: 6
Q: 2
R: 37

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-94062, 34-97143, 34-97990, 34-98766, 34-96495, 34-93784, 34-96496, 33-11295, 34-100647, IA-6644, IC-35290 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 8, 2025 meeting with representatives of JP Morgan Chase
Public Comment 34-93784 Anonymous, Finance Student
Public Comment 34-93784 Brandon Adams, Finance Student
Public Comment 34-93784 Ernesto Martinez (SDSU)
Public Comment 34-93784 Tamimi Ayoub, San Diego State University
Public Comment 34-93784 Yonathan Embaie
Public Comment 34-93784 Zaid Assemat
Public Comment 34-93784 Alberto Aguilar
Public Comment 34-93784 Hayden Penrod, Finance Student
Public Comment 34-93784 Trevor Ward
Public Comment 34-93784 Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Meeting with SEC Officials 34-93784 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 14, 2024, 2024 meeting with representatives of HSBC
Public Comment 34-93784 Chris Mcentre
Meeting with SEC Officials 34-93784 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a January 17, 2024 meeting with Barclays
Meeting with SEC Officials 34-94524, 34-95763, 34-93784 Memorandum from the Division of Trading and Markets regarding a December 5, 2023 meeting with representatives of Managed Fund Association
Meeting with SEC Officials 34-93784 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 2, 2023 meeting with representatives of Goldman Sachs
Public Comment 34-93784 Brian Popoca, Student At SDSU
Public Comment 34-93784 David Erk
Public Comment 34-93784 Eric H., Student of Finance
Public Comment 34-93784 Inés Martín García
Public Comment 34-93784 Maximilian Sieder
Public Comment 34-93784 Joann Lin
Meeting with SEC Officials 34-93784 Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 25, 2023 meeting with representatives of Trion
Meeting with SEC Officials 34-93784 Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 19, 2023 meeting with the the Board of Directors of the Insured Retirement Institute (IRI)
Meeting with SEC Officials 34-93784 Memorandum from the Division of Economic and Risk Analysis regarding a October 3, 2023 meeting with representatives of MFA
Meeting with SEC Officials 34-93784 Memorandum from the Division of Trading and Markets regarding a October 3, 2023 meeting with representatives of the Ontario Securities Commission (OSC)
Meeting with SEC Officials 34-93784 Memorandum from the Office of Public Engagement regarding a September 21, 2023 virtual meeting with representatives of SIFMA
Meeting with SEC Officials 34-93784 Memorandum from the Office of Public Engagement regarding a September 28, 2023 virtual meeting with representatives of the International Swaps and Derivatives Association
Meeting with SEC Officials 34-93784 Memorandum from the Office of Public Engagement regarding a September 29, 2023 virtual meeting with representatives of the Managed Funds Association
Public Comment 34-93784 Cory Lemke

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-32-10
Release Number
34-93784
34-69491
34-63236
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