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
Public Comment 34-69490, 34-69491, 34-69491 Sren Elbech, Treasurer, lnter-American Development Bank and Jorge Alers, General Counsel, lnter-American Development Bank
Public Comment 34-69490, 34-69491, 34-69491 Sullivan & Cromwell LLP
Public Comment 34-69490, 34-69491, 34-69491 Bruce Stern, Association of Financial Guaranty Insurers
Public Comment 34-69490, 34-69491, 34-69491 Ernst-Albrecht Brockhaus, Member of the Management, Board, and Dr. Nico Zachert, Authorized Signatory, Legal/Compliance, FMS Wertmanagement
Public Comment 34-69490, 34-69491, 34-69491 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association
Public Comment 34-69490, 34-69491, 34-69491 Jonathan B. Kindred and Shigesuke Kashiwagi, Co-chairs, Japan Financial Markets Council
Public Comment 34-69490, 34-69491, 34-69491 Kevin Nixon, Managing Director, Institute of International Finance
Public Comment 34-69490, 34-69491 Masaaki Tanaka, Deputy President, Mitsubishi UFJ Financial Group, Inc.
Public Comment 34-69491 Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers
Public Comment 34-69491 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-69490, 34-69491, 34-69491 Chris Barnard, Germany
Meeting with SEC Officials 34-69490, 33-9354, 34-69491, 34-69491, 34-69491 Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials 34-69013;IA-3558, 34-69490, 33-9408, IA-3616, IC-30551, 34-69491, 34-69491, 34-65545 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the Institute of International Bankers
Meeting with SEC Officials 34-69490, 33-9408, IA-3616, IC-30551, 34-69491, 34-69491, 34-65545 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Division of Trading and Markets regarding a June 11, 2013, meeting with representatives of Bank of America
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of Commissioner Paredes regarding a June 11, 2013, meeting with representatives of Bank of America Merrill Lynch
Meeting with SEC Officials 34-69490, 34-69491, 34-69491 Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs
Public Comment 34-69491 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-63825, IC-29969, 34-64766, 34-63346, 34-65543 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA
Meeting with SEC Officials 34-65543 Memorandum from the Office of the Chairman regarding an April 3, 2012, meeting with representatives of Société Générale
Public Comment 34-65543 Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Katelynn O. Bradley, Attorney, Better Markets, Inc.
Public Comment 34-65543 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-65543 Memorandum from the Division of Trading and Markets regarding a December 13, 2011, phone call with representatives of Better Markets, Inc.
Public Comment 34-65543 Chris Barnard, Germany
Public Comment 34-65543 David Brooke
Meeting with SEC Officials 34-63727, 34-63825, 34-64766, 34-63346, 34-63452, 34-65543, 34-63557 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA

Last Reviewed or Updated: Jan. 7, 2026

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