Comments on Concept Release: Use of Derivatives by Investment Companies under the Investment Company Act of 1940

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Date Received
Date Letter Type Commenter Name
Public Comment Richard K. Singer, Retired Consulting Firm Director and Investor, Harwich, Massachusetts
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of ProShares Capital Management LLC and Ropes and Gray
Public Comment Matthew Barrus, McKinney, Texas
Public Comment E. Russell Ives, Jr., President, Ives Associates, Inc., Glen Rock, New Jersey
Public Comment Senator Carl Levin, U.S. Senate
Public Comment Scott T. Morris, PhD candidate, Washington University in St. Louis, St. Louis, Missouri
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of Interactive Data
Public Comment Timothy W. Cameron, Esq., Managing Director, Asset Management Group, SIFMA, New York, New York
Public Comment Polly J. Sidwell, Seattle, Washington
Public Comment Davis Polk & Wardwell LLP
Public Comment Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, and Jay G. Baris, Chair of the Task Force on Investment Company Use of Derivatives and Leverage, American Bar Association, New York, New York
Public Comment Phillip C. Harvey, Minooka, Illinois
Public Comment Stephen A. Keen, Fort Collins, Colorado
Public Comment Alison M. Fuller and E. Carolan Berkley, Esquire, Stradley Ronon Stevens & Young, LLP, Washington, District of Columbia
Public Comment Amy J. Lee, Senior Vice President, Security Investors, LLC
Public Comment Ari Gabinet, General Counsel, and Geoffrey Craddock, Chief Risk Officer, OppenheimerFunds, Inc.
Public Comment Brendan R. Kalb, General Counsel, AQR Capital Management, LLC, Greenwich, Connecticut
Public Comment Daniel D. O'Neill, President, Rafferty Asset Management, LLC, New York, New York
Public Comment David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia
Public Comment David Oestreicher, Fran M. Pollack-Matz, Predrag Rogic, and Jonathan D. Siegel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Public Comment Dechert LLP, New York, New York
Public Comment Dennis M. Kelleher, President & CEO; Wallace C. Turbeville, Derivatives Specialist; and Stephen W. Hall, Securities Specialist; Better Markets, Inc.
Public Comment Dorothy A. Berry, Chair, Governing Council, Independent Directors Council
Public Comment Gus Sauter, Managing Director and Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard
Public Comment James A. Simpson, President, ETP Resources, LLC, Dublin, Ohio
Public Comment Janet McGinness, Senior Vice President - Legal, Corporate Secretary, NYSE Euronext
Public Comment Jean S. Loewenberg, Esq., General Counsel, Loomis, Sayles and Company, L.P., Boston, Massachusetts
Public Comment Jenny L. Klebes, Chicago Board Options Exchange, Incorporated, Chicago, Illinois
Public Comment Jerry Chafkin, President, AlphaSimplex Group, LLC
Public Comment John Rekenthaler, Senior Vice President, Corporate Research, and Nadia Papagiannis, Director, Alternative Fund Research, Morningstar, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-33-11
Release Number
IC-29776
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