Comments on Proposed Rule: Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"

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Date Received
Date Letter Type Commenter Name
Public Comment Thomas D'Ambrosio, Chair, The Committee on Futures and Derivatives, New York City Bar Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 6, 2012, meeting with representatives from the Association of Financial Guaranty Insurers
Public Comment Anne-Marie Leroy, Senior Vice Presidentand Group General Counsel, World Bank, and Rachel Robbins, Vice President and General Counsel, International Finance Corporation
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a March 15, 2012 meeting with representatives of Better Markets
Public Comment Michel Barnier
Public Comment Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and David Frenk, Research Director, Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an April 3, 2012 meeting with representatives of Americans for Financial Reform, AFL-CIO, Consumer Federation of America, and Public Citizen
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 26, 2012, call with representatives from the Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 22, 2012, call with a representative from Better Markets
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy, and Financial Innovation regarding Information regarding activities and positions of participants in the single-name credit default swap market
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 7, 2012, meeting with representatives from Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a February 29, 2012, telephone conference call with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 29, 2012, meeting with representatives of Better Markets
Public Comment National Corn Growers Association and Natural Gas Supply Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 16, 2012, call with staff from the Senate Committee on Banking, Housing, and Urban Affairs
Public Comment Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 30, 2012, call with representatives from the National Association of Insurance Commissioners ("NAIC")
Public Comment James Kemp, Managing Director, Global Foreign Exchange Division, and Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association
Public Comment James Kemp, Managing Director, Global Foreign Exchange Division, and Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a December 8, 2011, meeting with representatives of Bank of America; Barclays Capital; BNP Paribas; Credit Agricole; Deutsche Bank; Goldman Sachs; Morgan Stanley; Nomura; RBC; Societe Generale; Wells Fargo; HSBC; Davis, Polk; SIFMA and Citibank
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a meeting with Representatives of the Securities Industry and Financial Markets Association
Public Comment Capital One Financial Corporation, Fifth Third Bancorp and Regions Financial Corporation
Public Comment Brian Knapp, Policy Advisor, American Petroleum Institute
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 16, 2011, call with representatives from DRW Trading, Chicago Trading Company, Infinium Capital Management, and Delta Strategy Group
Public Comment Diana L. Preston, Vice President and Senior Counsel Center for Securities, Trust & Investments, American Bankers Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 19, 2011, meeting with representatives from the Financial Services Roundtable
Public Comment Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Public Comment Barry Taylor-Brill, Managing Counsel, Law Department, Wells Fargo & Company, Charlotte, North Carolina
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 12, 2011, call with representatives from Ambac Credit Products LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-39-10
Release Number
34-63452
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