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 34-63236 Suzanne H. Shatto, Investor, Snohomish, Washington
Public Comment IC-29497, 33-9143, 34-62932, 34-63236, 34-63346, 34-63347, IA-3110 Beckwith B. Miller, CEO, Ethics Metrics LLC
Public Comment 34-63236 Beckwith B. Miller, CEO, Ethics Metrics LLC
Public Comment 34-63236 Dennis M. Kelleher, President CEO, and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-63236 Kenneth E. Bentsen, Jr., Securities Industry and Financial Markets Association and Robert G. Pickel, International Swaps and Derivatives Association, Inc.
Public Comment 34-63236 R. Bram Smith, Executive Director, The Loan Syndications & Trading Association
Public Comment 34-63236 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment 34-63236 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Meeting with SEC Officials 34-63236, IA-3110, IA-3111, 34-63452 Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Public Comment 34-63236 Anonymous
Public Comment 34-63236 F. S.
Public Comment 34-63236 Clifford Lee, Dallas, Texas
Meeting with SEC Officials 34-63236, 34-63346, 34-63452 Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the Managed Funds Association (MFA)
Public Comment 34-63236 Chris Barnard, Germany
Public Comment 34-63236 Bryan Maloney, Texas

Last Reviewed or Updated: Dec. 18, 2025

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