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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. S7-35-10]
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| Nov. 19, 2013 | Kim Taylor, General Counsel, CME Group, and Kara L. Dutta, President, Clearing ICE Trade Vault, LLC |
| Oct. 18, 2013 | Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Sep. 23, 2013 | Kara L. Dutta, Assistant General Counsel, ICE Trade Vault, LLC |
| Jul. 22, 2013 | Larry E. Thompson, General Counsel, The Depository Trust & Clearing Corporation |
| Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Jun. 28, 2013 | Stephen P. O'Connor, Chairman, and Robert G. Pickel, Chief Executive Officer, ISDA |
| 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
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Meetings with SEC Officials
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| Jan. 9, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a December 8, 2014, teleconference with a representative of ICE |
| Dec. 11, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a December 9, 2014, telephone call with representatives of Better Markets |
| Dec. 8, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a December 8, 2014, teleconference with representatives of Sloan School of Management and Americans for Financial Reform |
| Dec. 5, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a December 3, 2014, meeting with representatives of DTCC |
| Nov. 20, 2014 | Memorandum from the Division of Trading and Markets regarding a July 22, 2014, meeting with representatives of ICE Trade Vault |
| Aug. 8, 2014 | Memorandum from the Division of Trading and Markets regarding an August 7, 2014, meeting with representatives of Markit |
| Feb. 3, 2014 | Memorandum from the Division of Trading and Markets regarding a January 31, 2014, meeting with representatives of Bloomberg |
| Jan. 14, 2014 | Memorandum from the Division of Trading and Markets regarding a January 9, 2014, meeting with representatives of DTCC |
| Jan. 14, 2014 | Memorandum from the Commission's Division of Trading and Markets regarding an October 16, 2013, meeting with representatives of ICE Trade Vault and CME Group |
| Oct. 30, 2013 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 30, 2013, meeting with representatives of IntercontinentalExchange, Inc. (ICE) |
| Oct. 29, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013, meeting with representatives of ICE Trade Vault |
| Aug. 28, 2013 | Memorandum from the Division of Trading and Markets regarding an August 28, 2013, meeting with representatives of ICE Trade Vault |
| Jul. 26, 2013 | Memorandum from the Division of Trading and Markets regarding a July 26, 2013, phone meeting with representatives of CME Global Repository Services |
| May 22, 2013 | Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs |
Comments on Proposed Rule: Security-Based Swap Data Repository Registration, Duties, and Core Principles
See also: Comments on Dodd-Frank Act Title VII, Swap Data Repositories
[Release No. 34-63347; File No. S7-35-10]
[Release No. 34-63347; File No. S7-35-10]
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(Click here for meetings with SEC officials)
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| Dec. 22, 2011 | Christoffer Mohammar, General Counsel, TriOptima Group |
| Jul. 21, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation |
| Jun. 3, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Jan. 24, 2011 | Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation, New York, New York |
| Jan. 24, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Jan. 24, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Jan. 24, 2011 | Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist; Better Markets, Inc. |
| Jan. 24, 2011 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
| Jan. 18, 2011 | Beckwith B. Miller, CEO, Ethics Metrics LLC |
| Jan. 17, 2011 | Carlos Tavares, Vice-Chairman, European Securities and Markets Authority |
| Dec. 7, 2010 | Raymond J. Dorado , Executive Vice President & Deputy General Counsel, BNY Mellon |
| Dec. 6, 2010 | Ralph S. Saul |
| Nov. 15, 2010 | Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Mar. 28, 2013 | Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA |
| Oct. 26, 2012 | Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs) |
| Mar. 7, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a March 7, 2012, meeting with representatives of DTCC |
| Oct. 24, 2011 | Memorandum from the Division of Trading and Markets regarding a September 20, 2011, meeting with representatives from Trade Information Warehouse |
| Oct. 21, 2011 | Memorandum from the Division of Trading and Markets regarding an October 4, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain trade repositories |
| Jun. 23, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from the Depository Trust & Clearing Corporation (DTCC) |
| May 19, 2011 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011, telephonic meeting with representatives of Markit |
| Apr. 28, 2011 | Memorandum from the Office of Commissioner Paredes regarding an April 28, 2011, meeting with representatives of Goldman Sachs |
| Mar. 29, 2010 | Memorandum from the Division of Trading and Markets regarding a March 29, 2011 meeting with representatives of MarkitSERV, Markit, The Depository Trust Clearing Corporation and Winston & Strawn |
| Apr. 21, 2011 | Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
| Mar. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a March 16, 2011, meeting with representatives of Better Markets, Inc. |
| Mar. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011, telephonic meeting with representatives of Trade Information Warehouse |
| Mar. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association |
| Feb. 24, 2011 | Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs |
| Feb. 24, 2011 | Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc. |
| Feb. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a February 10, 2011, telephonic meeting with representatives of Trade Information Warehouse |
| Feb. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a February 7, 2011, meeting with representatives of Trade Information Warehouse |
| Feb. 10, 2011 | 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 |
| Feb. 4, 2011 | Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc. |
| Jan. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a January 20, 2011 telephone meeting with representatives of Trade Information Warehouse |
| Jan. 18, 2011 | Memorandum from the Division of Trading and Markets regarding a January 13, 2011 meeting with representatives of Markit |
| Dec. 22, 2010 | Memorandum from the Division of Trading and Markets regarding a December 20, 2010, meeting with representatives of Trade Information Warehouse |
http://www.sec.gov/comments/s7-35-10/s73510.shtml
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