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: Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

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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 July 16, 2015, meeting with representatives of Nomura
Meeting with SEC Officials 34-69491 Memorandum from the Office of Commissioner Kara Stein regarding a June 30, 2015, meeting with a representative of Nomura
Meeting with SEC Officials 34-69490, 34-74834, 34-69491, 34-69491, 34-69491 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 18, 2015, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 34-74245, 34-69491 Memorandum from the Division of Trading and Markets regarding a March 12, 2015, meeting with representatives of Cadwalader, Wickersham & Taft LLP
Public Comment 34-69491 Americans for Financial Reform
Public Comment 34-71958, 34-69491, 34-69491, 34-69491, 34-69491 Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York
Meeting with SEC Officials 34-71958, 34-69491, 34-69491 Memorandum from the Division of Trading and Markets regarding an August 12, 2014, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc.
Meeting with SEC Officials 34-69490, 34-69491, 34-69491, 34-65545 Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials 34-69490, 34-69491, 34-69491, 34-65545 Memorandum from the Office of Commissioner Kara Stein regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers
Meeting with SEC Officials 34-69490, 34-63346, 34-69491, 34-65545 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials 34-69490, 33-9408, IA-3616, IC-30551, 34-64514, 34-69491, 34-69491, 34-65545, 34-70004 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Meeting with SEC Officials 34-69490, 33-9408, IA-3616, IC-30551, 34-64514, 34-69491, 34-69491, 34-65545 Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Division of Trading and Markets regarding the September 2, 2013, publication of Basel-IOSCO paper: Margin Requirements for Non-Centrally Cleared Derivatives
Public Comment 34-69490, 34-69491, 34-69491 Matti Leppälä, Secretary General/CEO, PensionsEurope
Public Comment 34-69490, 34-69491, 34-69491 Americans for Financial Reform
Public Comment 34-69490, 34-69491, 34-69491 Agricultural Retailers Association, Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, National Association of Manufacturers, and U.S. Chamber of Commerce
Public Comment 34-69490, 34-69491, 34-69491 Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and Fady Zeidan, Acting Deputy/General Counsel, International Finance Corporation
Public Comment 34-69490, 34-69491, 34-69491 Dennis M. Kelleher,President & CEO, Better Markets, Inc.; Stephen W. Hall,Securities Specialist, Better Markets, Inc.; and Katelynn 0. Bradley, Attorney, Better Markets, Inc.
Public Comment 34-69490, 34-69491, 34-69491 Dr. Lutz-Christian Funke, Senior Vice President, KfW and Dr. Frank Czichowski, Senior Vice President and Treasurer, KfW
Public Comment 34-69490, 34-69491, 34-69491 Futures and Options Association, London, United Kingdom
Public Comment 34-69490, 34-69491, 34-69491 Jeff Gooch, Head of Processing, Markit, Chair and CEO, MarkitSERV
Public Comment 34-69490, 34-69491, 34-69491 Karrie McMillan, General Counsel, Investment Company Institute and Dan Waters, Managing Director, ICI Global
Public Comment 34-69490, 34-69491, 34-69491 Kathleen Cronin, Senior Managing Director, General Counsel, CME Group Inc.
Public Comment 34-69490, 34-69491, 34-69491 Kenneth E. Bentsen, Jr., President, SIFMA; Walt Lukken, President & Chief Executive Officer, Futures Industry Association; and Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment 34-69490, 34-69491, 34-69491 Koichi lshikura, Executive Chief of Operations for International Headquarters, Japan Securities Dealers Association
Public Comment 34-69490, 34-69491, 34-69491 Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation
Public Comment 34-69490, 34-69491, 34-69491 Monique S. Botkin, Associate General Counsel, Investment Adviser Association
Public Comment 34-69490, 34-69491, 34-69491 Patrick Pearson, European Commission
Public Comment 34-69490, 34-69491, 34-69491 Per Sjberg, Chief Executive Officer, TriOptima AB and Christoffer Mohammar, General Counsel, TriOptima AB
Public Comment 34-69490, 34-69491, 34-69491 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-40-11
Release Number
34-69491
34-65543
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