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: Security-Based Swap Data Repository Registration, Duties, and Core Principles

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Kara Stein regarding a December 8, 2014, teleconference with a representative of ICE
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Kara Stein regarding a December 9, 2014, telephone call with representatives of Better Markets
Meeting with SEC Officials 34-69491 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
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Kara Stein regarding a December 3, 2014, meeting with representatives of DTCC
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a July 22, 2014, meeting with representatives of ICE Trade Vault
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding an August 7, 2014, meeting with representatives of Markit
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a January 31, 2014, meeting with representatives of Bloomberg
Meeting with SEC Officials 34-69491 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
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a January 9, 2014, meeting with representatives of DTCC
Public Comment 34-69490, 34-69491, 34-69491 Kim Taylor, General Counsel, CME Group, and Kara L. Dutta, President, Clearing ICE Trade Vault, LLC
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 30, 2013, meeting with representatives of IntercontinentalExchange, Inc. (ICE)
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013, meeting with representatives of ICE Trade Vault
Public Comment 34-69491 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-69490, 34-69491, 34-69491 Kara L. Dutta, Assistant General Counsel, ICE Trade Vault, LLC
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding an August 28, 2013, meeting with representatives of ICE Trade Vault
Meeting with SEC Officials 34-69491 Memorandum from the Division of Trading and Markets regarding a July 26, 2013, phone meeting with representatives of CME Global Repository Services
Public Comment 34-69491 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-69491 Larry E. Thompson, General Counsel, The Depository Trust & Clearing Corporation
Public Comment 34-69491 Stephen P. O'Connor, Chairman, and Robert G. Pickel, Chief Executive Officer, ISDA
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs
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 34-63347 Chris Barnard, Germany
Meeting with SEC Officials 34-64017, 34-63107, 34-63347 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
Meeting with SEC Officials 34-64017, 34-63107, 34-63347 Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
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
Public Comment 34-63347 Christoffer Mohammar, General Counsel, TriOptima Group
Meeting with SEC Officials 34-63347 Memorandum from the Division of Trading and Markets regarding a September 20, 2011, meeting with representatives from Trade Information Warehouse
Meeting with SEC Officials 34-63347 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
Public Comment 34-63347 Larry E. Thompson, General Counsel, The Depository Trust and Clearing Corporation
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

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-35-10
Release Number
34-69491
34-63347
34-63347
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