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
Public Comment 34-93784 Anonymous
Public Comment 34-93784 Connor Michael Method
Public Comment 34-93784 Cory Woods
Public Comment 34-93784 Dustyn W. Erb
Public Comment 34-93784 Erik, Retail Investor
Public Comment 34-93784 Evan
Public Comment 34-93784 George, General Manager
Public Comment 34-93784 Jaiden Baker
Public Comment 34-93784 James
Public Comment 34-93784 Jeff
Public Comment 34-93784 Joshua Zimmerman
Public Comment 34-93784 Lindsay Meeks
Public Comment 34-93784 Martin W.
Public Comment 34-93784 Melissa Shaw, Commercial Solar Sales
Public Comment 34-93784 Ronk, Retail Investor
Public Comment 34-93784 Stephan
Public Comment 34-93784 Steve
Public Comment 34-93784 Todd S.
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a February 11, 2015, meeting with representatives of the Alternative Investment Management Association
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 34-63236 Memorandum from the Division of Trading and Markets regarding a January 12, 2012 meeting with representatives of the Loan Syndications and Trading Association
Meeting with SEC Officials 34-63236 Memorandum from the Division of Trading and Markets regarding an August 31, 2011, meeting with representatives of Wilmer Hale
Public Comment 34-63236 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Meeting with SEC Officials 34-63236 Memorandum from the Division of Trading and Markets regarding an April 1, 2011, conference call with representatives of the Managed Funds Association
Public Comment 34-63236 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
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
Meeting with SEC Officials 34-63236 Memorandum from the Division of Trading and Markets regarding a March 9, 2011, conference call with representatives of the Securities Industry and Financial Markets Association and International Swap and Derivatives Association, Inc.
Meeting with SEC Officials 34-63236 Memorandum from the Division of Trading and Markets regarding a March 2, 2011, conference call with representatives of the Managed Funds Association
Public Comment 34-63236 Richard Painter

Last Reviewed or Updated: Dec. 18, 2025

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