Comments on Prohibition against Conflicts of Interest in Certain Securitizations

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Date Received
Date Letter Type Commenter Name
Public Comment Don Simon, Chief Operating Officer, Pentalpha Surveillance LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 19, 2016, meeting with representatives of Bass Berry and Sims, Loomis, Sayles and Company, and PentAlpha
Public Comment Wells M. Engledow, Vice President and Deputy General Counsel, Fannie Mae and Melinda Reingold, Vice President and Deputy General Counsel, Mortgage Securities, Freddie Mac
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 24, 2015 meeting with representatives from the FHFA, Frannie Mae, and Freddie Mac
Public Comment Sen. Jeffrey A. Merkley, et al., U.S. Senate
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 7, 2013 meeting with a representative of PGGM
Public Comment Som-lok Leung, Executive Director, The International Association of Credit Portfolio Managers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 14, 2012 call with members of the International Association of Credit Portfolio Managers (IACPM), Citigroup, Deutsche Bank and Sullivan & Cromwell
Public Comment Gary Wee, Chief Investment Officer, Orchard Global Asset Management, Singapore
Public Comment Som-lok Leung, Executive Director, The International Association of Credit Portfolio Managers
Public Comment Ruulke Bagijn, CIO, Private Markets, PGGM Investments
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 30, 2012 conference call with representatives of the Federal Housing Finance Agency
Public Comment BlueCrest Capital Management (UK) LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 14, 2012 meeting with representatives from the Department of the Treasury and the Federal Housing Finance Agency
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 25, 2012 meeting with members of the International Association of Credit Portfolio Managers (IACPM), Citigroup, Deutsche Bank and Sullivan & Cromwell
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 17, 2012 meeting with members of SIFMA, Skadden, Bank of America, JP Morgan, Citi and Morgan Stanley
Public Comment Akshat Tewary, Esq., New York, New York
Public Comment Americans for Financial Reform
Public Comment Chris Ballinger, Group Vice President and Chief Financial Officer, Toyota Motor Credit Corporation
Public Comment David Arkush, Director, Public Citizen's Congress Watch; Eric Fish, Fellow, Public Citizen's Litigation Group
Public Comment Dennis M. Kelleher, President & CEO, Better Markets Inc.
Public Comment Frank Polverino, Cadwalader, Wickersham & Taft LLP
Public Comment Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee; Martin Fingerhut, Chair, Securitization and Structured Finance Committee
Public Comment John R. Gidman, Association of Institutional Investors
Public Comment Karrie McMillan, General Counsel, Investment Company Institute (ICI)
Public Comment Richard A. Dorfman, Managing Director, Head of Securitization, The Securities Industry and Financial Markets Association (SIFMA); Christopher B. Killian, Managing Director, SIFMA
Public Comment Richard Hopkin, Managing Director, Association for Financial Markets in Europe (AFME); Nicholas de Boursac, Chief Executive Officer, Asia Securities Industry & Financial Markets Association (ASIFMA); Ruari Ewing, Director, Primary Markets, International Capital Market Association (ICMA)
Public Comment Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment Stephen M. Renna, Chief Executive Officer, Commercial Real Estate (CRE) Finance Council
Public Comment Tom Deutsch, Executive Director, American Securitization Forum

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-38-11
Release Number
34-65355
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