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: Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Division of Trading and Markets regarding a June 11, 2013, meeting with representatives of Bank of America
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of Commissioner Paredes regarding a June 11, 2013, meeting with representatives of Bank of America Merrill Lynch
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a June 5, 2013, telephone meeting with representatives of DTCC
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
Public Comment 34-63346 Thomas G. McCabe, Chief Operating Officer, OneChicago, LLC
Meeting with SEC Officials 34-63825, IC-29969, 34-64766, 34-63346, 34-65543 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA
Meeting with SEC Officials 34-62717, 34-64766, 34-63346, 34-63452 Memorandum from the Division of Trading and Markets regarding an August 6, 2012, meeting with representatives from the Association of Financial Guaranty Insurers
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding a July 17, 2012, meeting with representatives of Markit, MarkitSERV, and Latham & Watkins
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Office of Commissioner Aguilar regarding a June 19, 2012, meeting with representatives of UBS
Public Comment 34-63346 Elizabeth King, Head of Regulatory Affairs, GETCO, Chicago, Illinois
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding a March 1, 2012, meeting with representatives of Interactive Data Corporation on reporting issues in the SBSR Rule Proposal
Meeting with SEC Officials 34-63346, 34-63347 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a March 7, 2012, meeting with representatives of DTCC
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with a representative of ICAP
Meeting with SEC Officials 34-63825, 34-63346, 34-63452 Memorandum from the Office of Commissioner Walter regarding a meeting with Representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with a representative of ICAP
Meeting with SEC Officials 34-62174, 34-63346 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a November 1, 2011, meeting with representatives of the Securities Industry and Financial Markets Association and JP Morgan Chase & Co.
Meeting with SEC Officials 34-63346 Memorandum from the Office of Commissioner Walter regarding a November 4, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
Public Comment 34-63825, 34-63346 Michael Hisler, Co-Founder, Swaps & Derivatives Market Association
Public Comment 34-63825, 34-62717, 33-9204, 34-64766, 34-63346, 34-63556, 34-63557 ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
Public Comment 34-63346 Scott Pintoff, General Counsel, GFI Group Inc.
Meeting with SEC Officials 34-63346, 34-63452 Memorandum from the Office of Commissioner Paredes regarding a June 29, 2011, meeting with representatives of Bank of America
Meeting with SEC Officials 34-64314, 34-63825, 34-63346, 34-63347, 34-63557 Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding a June 15, 2011, meeting with representatives from the Depository Trust & Clearing Corporation and the Financial Industry Regulatory Authority, Inc.
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding a June 8, 2011, meeting with representatives from GS 1 US, Inc., et al.
Public Comment 34-63346 Chris Koppenheffer, Swaps & Derivatives Market Association
Public Comment 34-63346 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
Public Comment 34-63346 Stephen Merkel, Chairman, Wholesale Markets Brokers' Association, Americas
Public Comment 34-63346 John R. Gidman, Association of Institutional Investors
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding a May 25, 2011, meeting with representatives from the Depository Trust & Clearing Corporation (DTCC) et al.
Meeting with SEC Officials 34-63346, 34-63347 Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from the Depository Trust & Clearing Corporation (DTCC)

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-34-10
Release Number
34-69491
34-63346
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