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 34-63346, 34-63347 Memorandum from the Division of Trading and Markets regarding a May 17, 2011, telephonic meeting with representatives of Markit
Public Comment 34-63346 Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment 34-63346, 34-63452, 34-63557 The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation
Meeting with SEC Officials 34-63346, 34-63347 Memorandum from the Office of Commissioner Paredes regarding an April 28, 2011, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding materials received from Allan D. Grody, Financial InterGroup Advisors and Financial InterGroup Holdings Ltd.
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association (ISDA)
Meeting with SEC Officials 34-63107, 34-63346, 34-63347, 34-63452 Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Meeting with SEC Officials 34-63346 Memorandum from the Division of Trading and Markets regarding an April 6, 2011 meeting with Karla McKenna, Chair, TC68 (Financial Services), International Organization for Standardization
Public Comment 34-63825, 34-64017, 34-62717, 34-63107, 34-63236, 34-63346, 34-63347, 34-63452, 34-63556, 34-63557 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Meeting with SEC Officials 34-63346, 34-63347 Memorandum from the Division of Trading and Markets regarding a March 16, 2011, meeting with representatives of Better Markets, Inc.
Meeting with SEC Officials 34-63346, 34-63452, 34-63557 Memorandum from the Division of Trading and Markets regarding a March 16, 2011, telephonic meeting with Ed Rosen and Bob Colby on foreign bank issues
Meeting with SEC Officials 34-63825, 34-63346, 34-63452 Memorandum from the Office of Commissioner Paredes regarding a March 1, 2011, meeting with representatives of Nomura
Meeting with SEC Officials 34-63346, 34-63347, 34-63452, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc.
Public Comment 34-63346, 34-63452, 34-63557 Lanny Schwartz, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Societe Generale, and UBS AG
Public Comment 34-63346 Charles Llewellyn, Legal Counsel, Society for Worldwide Interbank Financial Telecommunication SCRL
Public Comment 34-63346 Edward J. Rosen, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Bank of America Merrill Lynch, BNP Paribas, Citi, Credit Agricole, Corporate and Investment Bank, Credit Suisse Securities (USA), Deutsche Bank AG, Morgan Stanley, Nomura Securities International, Inc., PNC Bank, National Association, Societe Generale, UBS Securities LLC, Wells Fargo & Company
Meeting with SEC Officials 34-63825, 34-63107, 34-63346 Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 4, 2011, meeting with representatives of Barclays
Public Comment 34-63346 Robert Carpenter, President and CEO, GS1 US, Inc.; Miguel A. Lopera, CEO, GS1 Global; and Allan D. Grody, President, Financial InterGroup Holdings Ltd.
Public Comment 34-63825, 34-63346 Patrick Durkin, Managing Director, Barclays Capital Inc.
Meeting with SEC Officials 34-63346, 34-63347, 34-63557 Memorandum from the Division of Trading and Markets regarding a January 27, 2011, meeting of the OTC Derivatives Supervisors Group (ODSG) with major participants in the OTC derivatives market
Meeting with SEC Officials 34-61358, 34-63825, 34-63346, 34-63556 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies
Public Comment 34-63346 Andrew Downes, Managing Director, and Bert Fuqua, Managing Director, UBS Securities LLC, Stamford, Connecticut
Public Comment 34-63346 Daniel Viola, Partner, Sadis & Goldberg LLP, New York, New York
Public Comment 34-63346 Cravath, Swaine & Moore LLP
Meeting with SEC Officials 34-63346, 34-63452 Memorandum from the Division of Trading and Markets regarding a telephone meeting with Ed Rosen of Cleary Gottlieb Steen & Hamilton LLP
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Office of Commissioner Aguilar regarding a February 3, 2011, meeting with representatives of Barclays Capital
Meeting with SEC Officials 34-63825, 34-63346 Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Barclays Capital
Meeting with SEC Officials 34-63727, 34-63825, 34-64766, 34-63346, 34-63452, 34-65543, 34-63557 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA
Meeting with SEC Officials 34-63346, 34-63452, 34-63557 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 31, 2011, meeting with representatives of Nomura
Public Comment 34-63346 Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

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