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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

[Release No. 34-69491; File No. S7-32-10]


Jul. 22, 2013 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
May 21, 2013 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association

 

Comments on Proposed Rule: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps

[Release No. 34-63236; File No. S7-32-10]

See also: Comments on Dodd-Frank Act Title VII, Anti-Manipulation Protections


Submitted Comments

(Click here for meetings with SEC officials)
Jul. 8, 2011 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Mar. 29, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 26, 2011 Richard Painter
Jan. 27, 2011 Suzanne H. Shatto, Investor, Snohomish, Washington
Jan. 18, 2011 Beckwith B. Miller, CEO, Ethics Metrics LLC
Dec. 23, 2010 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Dec. 23, 2010 Dennis M. Kelleher, President CEO, and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc., Washington, District of Columbia
Dec. 23, 2010 Kenneth E. Bentsen, Jr., Securities Industry and Financial Markets Association and Robert G. Pickel, International Swaps and Derivatives Association, Inc.
Dec. 23, 2010 Beckwith B. Miller, CEO, Ethics Metrics LLC
Dec. 23, 2010 R. Bram Smith, Executive Director, The Loan Syndications & Trading Association
Dec. 16, 2010 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Dec. 14, 2010 Anonymous
Dec. 14, 2010 F. S.
Dec. 13, 2010 Clifford Lee, Dallas, Texas
Nov. 21, 2010 Chris Barnard, Germany
Nov. 10, 2010 Bryan Maloney, Texas

Meetings with SEC Officials

(Click here for submitted comments from the public)
Mar. 13, 2012 Memorandum from the Division of Trading and Markets regarding a January 12, 2012 meeting with representatives of the Loan Syndications and Trading Association
Aug. 31, 2011 Memorandum from the Division of Trading and Markets regarding an August 31, 2011, meeting with representatives of Wilmer Hale
Apr. 1, 2011 Memorandum from the Division of Trading and Markets regarding an April 1, 2011, conference call with representatives of the Managed Funds Association
Mar. 9, 2011 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.
Mar. 2, 2011 Memorandum from the Division of Trading and Markets regarding a March 2, 2011, conference call with representatives of the Managed Funds Association
Dec. 16, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Dec. 8, 2010 Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the Managed Funds Association (MFA)

 

http://www.sec.gov/comments/s7-32-10/s73210.shtml

Modified: 07/24/2013