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 Sort descending	Letter Type	Commenter Name
March 23, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 23, 2011, meeting with representatives from the Credit Union National Association and Chevron Federal Credit Union
March 22, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 22, 2011, meeting with representatives of the Asset Management Group of the Securities Industry Financial Markets Association
March 21, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 21, 2011, telephonic meeting with representatives of Northland Energy Trading LLC
March 18, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 18, 2011 Meeting with Representatives of Chatham Financial
March 17, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 17, 2011, meeting with representatives of Americans for Financial Reform (AFR)
March 16, 2011	Meeting with SEC Officials	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
March 4, 2011	Public Comment	Senator Carl Levin, Chairman, Permanent Subcommittee on Investigations, U.S. Senate Committee on Homeland Security and Government Affairs
March 3, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB)
March 2, 2011	Meeting with SEC Officials	Memorandum from the Office of Commissioner Paredes regarding a March 1, 2011, meeting with representatives of Nomura
March 1, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc.
Feb. 28, 2011	Public Comment	Christopher J. Ailman, Chief Investment Officer, California State Teachers' Retirement System
Feb. 24, 2011	Public Comment	Gary DeWaal, Senior Managing Director and Newedge Group General Counsel, Newedge USA, LLC
Feb. 24, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc.
Feb. 23, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a February 23, 2011 meeting with representatives of the Property Casualty Insurers Association of America
Feb. 23, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a February 23, 2011, meeting with representatives of Property Casualty Association of America
Feb. 22, 2011	Public Comment	American Benefits Council and Committee on Investment of Employee Benefit Assets
Feb. 22, 2011	Public Comment	Americans for Financial Reform
Feb. 22, 2011	Public Comment	Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Feb. 22, 2011	Public Comment	Christopher A. Klem, Ropes & Gray LLP
Feb. 22, 2011	Public Comment	Daniel F. C. Crowley, Partner, K&L Gates, on behalf of the Church Alliance
Feb. 22, 2011	Public Comment	David Carroll, Senior Counsel, American Express Company
Feb. 22, 2011	Public Comment	Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc.
Feb. 22, 2011	Public Comment	Diana L. Preston, Deputy General Counsel, ABA Securities Association, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
Feb. 22, 2011	Public Comment	Frank Iacono, Partner, Riverside Risk Advisors LLC
Feb. 22, 2011	Public Comment	Gerald W. McEntee, Intenational President, American Federation of State, County and Municipal Employees
Feb. 22, 2011	Public Comment	Gus Sauter, Managing Director and Chief Investment Officer, Vanguard and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard
Feb. 22, 2011	Public Comment	Guus Warringa, Chief Counsel, APG Algemene Pensioen Groep NV, Amsterdam, Netherlands
Feb. 22, 2011	Public Comment	J. Stephen ("Stef") Zielezienski, Senior Vice President & General Counsel, American Insurance Association
Feb. 22, 2011	Public Comment	Jack A. Hartings, The Peoples Bank Co., Coldwater, Ohio
Feb. 22, 2011	Public Comment	Jennifer J. Kalb, Associate General Counsel, MetLife

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-39-10

Release Number

34-63452

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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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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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