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

[Release No. IC-29776; File No. S7-33-11]

Submitted Comments

(Click here for meetings with SEC officials)
Jan. 26, 2016 Richard K. Singer, Retired Consulting Firm Director and Investor, Harwich, Massachusetts
Oct. 17, 2012 Matthew Barrus, McKinney, Texas
May 10, 2012 E. Russell Ives, Jr., President, Ives Associates, Inc., Glen Rock, New Jersey
Mar. 19, 2012 Senator Carl Levin, U.S. Senate
Dec. 15, 2011 Scott T. Morris, PhD candidate, Washington University in St. Louis, St. Louis, Missouri
Nov. 23, 2011 Timothy W. Cameron, Esq., Managing Director, Asset Management Group, SIFMA, New York, New York
Nov. 15, 2011 Polly J. Sidwell, Seattle, Washington
Nov. 11, 2011 Davis Polk & Wardwell LLP
Nov. 11, 2011 Phillip C. Harvey, Minooka, Illinois
Nov. 11, 2011 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
Nov. 8, 2011 Stephen A. Keen, Fort Collins, Colorado
Nov. 7, 2011 Karrie McMillan, Investment Company Institute, Washington, District of Columbia
Nov. 7, 2011 Ari Gabinet, General Counsel, and Geoffrey Craddock, Chief Risk Officer, OppenheimerFunds, Inc.
Nov. 7, 2011 Kevin Gould, President, Markit North America, Inc.
Nov. 7, 2011 Dennis M. Kelleher, President & CEO; Wallace C. Turbeville, Derivatives Specialist; and Stephen W. Hall, Securities Specialist; Better Markets, Inc.
Nov. 7, 2011 Jerry Chafkin, President, AlphaSimplex Group, LLC
Nov. 7, 2011 Daniel D. O'Neill, President, Rafferty Asset Management, LLC, New York, New York
Nov. 7, 2011 Gus Sauter, Managing Director and Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard
Nov. 7, 2011 Jenny L. Klebes, Chicago Board Options Exchange, Incorporated, Chicago, Illinois
Nov. 7, 2011 Amy J. Lee, Senior Vice President, Security Investors, LLC
Nov. 7, 2011 David Oestreicher, Fran M. Pollack-Matz, Predrag Rogic, and Jonathan D. Siegel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Nov. 7, 2011 Janet McGinness, Senior Vice President - Legal, Corporate Secretary, NYSE Euronext
Nov. 7, 2011 James A. Simpson, President, ETP Resources, LLC, Dublin, Ohio
Nov. 7, 2011 David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia
Nov. 7, 2011 Mark Hepsworth, President, Institutional Business, Interactive Data Corporation, Bedford, Massachusetts
Nov. 7, 2011 Joyce Dillard, Los Angeles, California
Nov. 7, 2011 Phillip S. Gillespie, Executive Vice President and General Counsel, State Street Global Advisors, Boston, Massachusetts
Nov. 7, 2011 Alison M. Fuller and E. Carolan Berkley, Esquire, Stradley Ronon Stevens & Young, LLP, Washington, District of Columbia
Nov. 7, 2011 Brendan R. Kalb, General Counsel, AQR Capital Management, LLC, Greenwich, Connecticut
Nov. 7, 2011 Jean S. Loewenberg, Esq., General Counsel, Loomis, Sayles and Company, L.P., Boston, Massachusetts
Nov. 7, 2011 Dorothy A. Berry, Chair, Governing Council, Independent Directors Council
Nov. 7, 2011 John Rekenthaler, Senior Vice President, Corporate Research, and Nadia Papagiannis, Director, Alternative Fund Research, Morningstar, Inc.
Nov. 7, 2011 Dechert LLP, New York, New York
Nov. 7, 2011 John W. Gerstmayr, Gregory D. Sheehan, Timothy W. Diggins, and Bryan Chegwidden, Ropes & Gray LLC, Boston, Massachusetts
Nov. 7, 2011 John W. Zerr, Senior Vice President, Invesco Advisers, Inc.
Nov. 4, 2011 Joanne Medero, Managing Director, Government Relations, and Ira P. Shapiro, Managing Director, Law and Compliance, BlackRock, Inc.
Nov. 1, 2011 Leslie Rahl and Peter Niculescu, Capital Market Risk Advisors
Oct. 13, 2011 Emile D. Boyle, Burke, Virginia
Oct. 12, 2011 Harris Capps, North Charleston, South Carolina
Oct. 12, 2011 Arthur T. Pittman, Raleigh, North Carolina
Oct. 8, 2011 Suzanne H. Shatto, Seattle, Washington
Oct. 6, 2011 William R. Hammock, Greenwich, Connecticut
Oct. 5, 2011 Anthony J. Saliba, Chief Executive Officer, LiquidPoint, LLC, Chicago, Illinois
Sep. 19, 2011 Chris Barnard, Germany
Sep. 8, 2011 Stephen Keen and Andrew Cross, Reed Smith, LLP, Pittsburgh, Pennsylvania
Sep. 4, 2011 G. R. Peck
Sep. 4, 2011 Julia A. O'Neal, Ocean Springs, Mississippi
Sep. 1, 2011 Andrew W. Kargacos, Grantham, New Hampshire
Sep. 1, 2011 Daniel Belcher, one, Tampa, Florida
Sep. 1, 2011 Donald L. Strang, Kearns, Utah
Sep. 1, 2011 Justin Kanda, New Jersey

Meetings with SEC Officials

Click here for submitted comments from the public)
Dec. 3, 2015 Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of ProShares Capital Management LLC and Ropes and Gray
Dec. 7, 2011 Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of Interactive Data

Modified: 01/27/2016