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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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Date Sort descending	Letter Type	Commenter Name
Jan. 12, 2011	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a January 12, 2011 meeting with representatives of the National Association of Regulatory Utility Commissioners
Jan. 12, 2011	Public Comment	Paul J. Pantano, Jr., McDermott Will & Emery, on behalf of the Agricultural Commodity Swaps Working Group
Jan. 11, 2011	Public Comment	Davis Polk & Wardwell LLP, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Socit Gnrale and UBS AG
Jan. 10, 2011	Public Comment	Sarah Miller, Chief Executive Officer, Institute of International Bankers, New York, New York
Jan. 7, 2011	Public Comment	Chris Barnard, Germany
Dec. 23, 2010	Public Comment	Edward Prosser, Vice President, Agricultural Trading, The Gavilon Group, LLC
Dec. 21, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a December 21, 2010, meeting with representatives of the Coalition of Derivatives End Users
Dec. 16, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
Dec. 16, 2010	Public Comment	Representative Spencer Bachus, Ranking Member, House Committee on Financial Services and Representative Frank Lucas, Ranking Member, House Committee on Agriculture
Dec. 8, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the Managed Funds Association (MFA)
Dec. 8, 2010	Meeting with SEC Officials	Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of the Managed Funds Association
March 9, 2010	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-39-10

Release Number

34-63452

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