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Comments on Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

[Release No. 34-65545; File No. S7-41-11]

See also: Comments for Dodd Frank Act Title VI, Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds


Comments have been received from individuals and entities using the following Letter Type A: 608
Comments have been received from individuals and entities using the following Letter Type B: 15,839
Comments have been received from individuals and entities using the following Letter Type C: 16
Comments have been received from individuals and entities using the following Letter Type D: 1,737
Comments have been received from individuals and entities using the following Letter Type E: 46,883

Submitted Comments

(Click here for meetings with SEC officials)
Dec. 9, 2013 William Frederick Derbyshire
Dec. 4, 2013 Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, The Real Estate Roundtable, The U.S. Chamber of Commerce
Dec. 3, 2013 Robert Toomey, Managing Director and Associate General Counsel, SIFMA
Nov. 25, 2013 David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Nov. 21, 2013 Dennis Kelleher, President & CEO, Better Markets, Inc.
Nov. 21, 2013 Dennis Kelleher, President & CEO; David Frenk, Director of Research; and Caitlin Kline, Derivatives Specialist; Better Markets, Inc., Washington, District of Columbia
Nov. 7, 2013 David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Oct. 31, 2013 Aaron Klein, Director, Financial Regulatory Reform Initiative, Bipartisan Policy Center
Oct. 30, 2013 Aaron Klein, Director, Financial Regulatory Reform Initiative, Bipartisan Policy Center
Oct. 24, 2013 Capital Markets Task Force, Bipartisan Policy Center
Oct. 24, 2013 Suzanne Shatto
Sep. 25, 2013 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Jun. 5, 2013 Ralph S. Saul
Jun. 4, 2013 Americans for Financial Reform
Dec. 10, 2012 David Hirschmann, President and CEO, Center for Capital Markets Competitiveness, and Myron Brilliant, Senior Vice President, International Affairs, U.S. Chamber of Commerce
Dec. 3, 2012 Brandon Reddick
Nov. 17, 2012 Robert E. Rutkowski
Nov. 16, 2012 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Nov. 16, 2012 Americans for Financial Reform
Nov. 13, 2012 John Gidman, President, Association of Institutional INVESTORS
Nov. 9, 2012 Phillip Gillespie, State Street Global Advisors
Oct. 22, 2012 Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Sep. 7, 2012 John Gidman, President, Association of Institutional INVESTORS
Sep. 7, 2012 Howard Marsh, Managing Director and Head of the Municipal Securities Division, Citigroup Global Markets Inc.
Aug. 31, 2012 Brackett B. Denniston III, Senior Vice President and General Counsel, GE Company, and David G. Nason, Vice President, GE Company, Chief Regulatory Officer, GE Capital
Aug. 23, 2012 Tom Deutsch, Executive Director, American Securitization Forum
Jul. 27, 2012 Tom Deutsch, Executive Director, American Securitization Forum
Jul. 24, 2012 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Jul. 5, 2012 R. Bram Smith, Executive Director, Loan Syndications and Trading Association, New York, New York
Jun. 19, 2012 Dennis Kelleher, President and CEO and Marc Iarsulic, Chief Economist, Better Markets, Inc., Washington, District of Columbia
Jun. 12, 2012 Michael Pettit
Jun. 10, 2012 Gerard Allen Hinson
Jun. 8, 2012 Stephen Brancaccio
May 24, 2012 Jeanne Shaheen, United States Senator
May 21, 2012 Richard A. Dorfman, Managing Director, Head of Securitization, and Christopher B. Killian, Managing Director, SIFMA
May 17, 2012 Jeff A. Merkley and Carl Levin, Unites States Senate
May 14, 2012 Ben Tamlyn, New York, New York
May 4, 2012 Henry T. Bernstein
Apr. 30, 2012 Rep. Earl Blumenauer, et al., U.S. House of Representatives
Apr. 30, 2012 Denise L. Nappier, Treasurer of the State of Connecticut, Hartford, Connecticut
Apr. 26, 2012 Sen. Jeffrey A. Merkley, et al., United States Senate
Apr. 27, 2012 S. Kaplan
Apr. 23, 2012 David Lawton, Acting Director of Markets, Financial Services Authority, London, United Kingdom
Apr. 19, 2012 J. Scott Colesanti, Associatiate Professor of Legal Writing, and Melissa Cefalu, David Feldman, Alexander Sand, Le-el Sinai, and Judd Taback, Law Students, Hofstra University
Apr. 16, 2012 Stephen S. Roach, Senior Fellow, Yale University
Apr. 13, 2012 Sen. Sherrod Brown and Sen. Tom Harkin, U.S. Senators
Apr. 12, 2012 Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association, Inc.
Apr. 9, 2012 Ralph S. Saul
Mar. 28, 2012 Mike Nicholas, Chief Executive Officer, Bond Dealers of America
Mar. 26, 2012 Timothy Peters, Boise, Idaho
Mar. 23, 2012 Susan S. Chang, Chairperson for and on behalf of The Bankers Association of the Republic of China
Mar. 21, 2012 Tom Deutsch, Executive Director, American Securitization Forum
Mar. 20, 2012 Sen. Carl Levin, U.S. Senate
Mar. 19, 2012 Peter Pang, Chairman, Executive Board, Treasury Markets Association, Hong Kong
Mar. 16, 2012 Rep. James A. Himes, U.S. House of Representatives
Mar. 16, 2012 Robert P. Casey, Jr., United States Senator
Mar. 15, 2012 Akshat Tewary, Esq., New York, New York
Mar. 12, 2012 Louise Milone, Decatur, Georgia
Mar. 12, 2012 Sarah Magee, Providence, Kentucky
Mar. 12, 2012 Christopher Wilson, Torrance, California
Mar. 11, 2012 John Albin, New York, New York
Mar. 10, 2012 John Baka, San Francisco, California
Mar. 10, 2012 Kathy Propst-Dasilva, Garden Grove, California
Mar. 10, 2012 Lew Douglas, Oakland, California
Mar. 10, 2012 Janine Nichols, Brooklyn, New York
Mar. 9, 2012 Steve Israel, Member of Congress
Mar. 9, 2012 Securities Industry and Financial Markets Association, American Bankers Association, The Financial Services Roundtable, and The Clearing House Association
Mar. 9, 2012 David Goldschmidt, Princeton, New Jersey
Mar. 9, 2012 Lucy Subhasiriwatana, New york, New York
Mar. 9, 2012 Richard Malato, Chicago, Illinois
Mar. 9, 2012 Michael Glynn, Durham, North Carolina
Mar. 8, 2012 Enrico Petrucco, Schenectady, United States Minor Outlying Islands
Mar. 8, 2012 Christopher Glasspool, Chelan, Washington
Mar. 7, 2012 Keith Jones, South Amboy, New Jersey
Mar. 7, 2012 Ryan Huggins, Merriam, Kansas
Mar. 7, 2012 Sandra Ryan, Houston, Texas
Mar. 6, 2012 Demetri Kofinas, Washington, District of Columbia
Mar. 5, 2012 Brody Bothwell, Pelham, Alabama
Mar. 5, 2012 Gordon Anderson, Houston, Texas
Mar. 3, 2012 Patrick Regan, Munich, Germany
Feb. 28, 2012 Manuel Sager, Ambassador, Embassy of Switzerland in the United States of America
Feb. 27, 2012 Bob Goodlatte, Member of Congress
Feb. 28, 2012 Juan Pablo Arango Arango, Superintendente Financiero de Colombia
Feb. 26, 2012 Benedetta A. Kissel, Retired Attorney, Arlington, Virginia
Feb. 25, 2012 George Determann, Louisville
Feb. 24, 2012 Senator Michael F. Bennet, U.S. Senate
Feb. 23, 2012 Andrew Reyburn, Michigan
Feb. 21, 2012 Margrethe Vestager, Minister of Economic Affairs and the Interior, Denmark, and President, EU Council of Ministers
Feb. 21, 2012 Abbott Laboratories, American Insurance Corporation, Anadarko Petroleum Corporation, Arch Coal, Inc., Association for Financial Professionals, Business Roundtable, Caterpillar Inc., Chesapeake Energy Corporation, Convergys, Darden Restaurants, Inc., Devon Energy Corporation, DuPont Co., Eaton Corporation, Financial Executives International, FMC, GE, Goodrich, HCA, Macy's Inc., Motorola Solutions, National Association of Corporate Treasurers, National Association of Manufacturers, Nissan Motor Acceptance Corporation, Qualcomm Incorporated, Safeway Inc., The Boeing Company, The Real Estate Roundtable, The U.S. Chamber of Commerce, UPS, Yocum Oil Company, Inc.
Feb. 20, 2012 Thomas S. Hodge, Chief Operating Officer, Frazier Healthcare Ventures
Feb. 20, 2012 Sally Wong, Chief Executive Officer, Hong Kong Investment Funds Association
Feb. 19, 2012 Joan Budd
Feb. 17, 2012 Gary C. Peters, Joseph Crowley, Jared Polis, Ron Kind, Cedric L. Richmond, James P. Moran, Adam Smith, Gwen Moore, Allyson Schwartz, Carolyn McCarthy, William L. Owens, Jason Almire, John Barrow, Russ Carnahan, John C. Carney, Jr., Ed Perlmutter, Loretta Sanchez, Gerald E. Connolly, Lois Capps, Adam B. Schiff, Kurt Schrader, Jay Inslee, Rick Larsen, Karen Bass, and Mike Quigley
Feb. 17, 2012 Senator Barbara Boxer, U.S. Senate
Feb. 17, 2012 Robert McCann, CEO; Mark S. Shelton, General Counsel; Darryll Hendricks Head of Strategy, Investment Bank; UBS Americas Inc., Stamford, Connecticut
Feb. 17, 2012 Members of Congress
Feb. 16, 2012 Senators Thomas R. Carper, Pat Toomey, Mark Warner, Mike Crapo, Christopher Coons, and Scott Brown, United States Senate
Feb. 16, 2012 E. Benjamin Nelson, United States Senator
Feb. 16, 2012 John Gilbert
Feb. 16, 2012 Jiri Krol, Director of Government and Regulatory AffairsThe Alternative Investment Management Association Limited
Feb. 16, 2012 Ernest Seinfeld
Feb. 15, 2012 Duncan Fairweather, Chair, Financial Industry Council of Australia
Feb. 15, 2012 Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and James C. Allen, CFA, Head, Capital Markets Policy, CFA Institute
Feb. 15, 2012 Kimberly Unger, Executive Director, The Security Traders Association of New York, Inc., New York, New York
Feb. 15, 2012 Pauline I. Yahr, Irvine, California
Feb. 15, 2012 Duncan Fairweather, Chair, Finance Industry Council of Australia
Feb. 15, 2012 Woodbine Associates, Stamford, Connecticut
Feb. 14, 2012 Abbott Laboratories, American Insurance Association, Anadarko Petroleum Corporation, Arch Coal, Inc., Association for Financial Professional, Business Roundtable, Caterpillar Inc, Chesapeake Energy Corporation, Convergys, Darden Restaurants, Inc., Devon Energy Corporation, Dominion Resources Inc., DuPont Co., Eaton Corporation, Financial Executives International, FMC, GE, Goodrich, HCA, Macy’s, Inc., Nissan Motor Acceptance Corporation, Qualcomm Incorporated, Safeway Inc., The Boeing Company, The Real Estate Roundtable
Feb. 14, 2012 Teri L. List-Stoll, Chair, Committee on Corporate Treasury, Financial Executives International
Feb. 14, 2012 Dave Donald
Feb. 14, 2012 Remy
Feb. 14, 2012 Jordan Mechanic, Washington, D.C.
Feb. 14, 2012 Jonathan Dean
Feb. 14, 2012 Ramon Fernandez, Director, Direction Généerale du Trésor; Christian Noyer, Chairman, Autorité contrôle prudentiel; Jean-Pierre Jouyet, Chairman, Autorité des marchés financiers
Feb. 14, 2012 Howard Delano
Feb. 13, 2012 Nixon Peabody LLP submitted on behalf of PNC Bank, National Association and Royal Bank of Canada
Feb. 13, 2012 Michael A. Mazzuchi and Paul R. St. Lawrence, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Apollo Global Management LLC, Babson Capital Management LLC, Bank of America Merrill Lynch, CIFC, Citigroup Global Markets Inc., Crescent Capital Group, Deutsche Bank AG, Doral Bank, Golub Capital, GSO/Blackstone Debt Funds Management LLC, Halcyon Asset Management LLC, JPMorgan Chase & Co., Morgan Stanley, Prudential Fixed Income, WCAS Fraser Sulitvan Investment Management LLC, Wells Fargo & Company
Feb. 13, 2012 Bob Corker, United States Senator
Feb. 13, 2012 Carolann Jensen, Chief Administration Officer, Iowa Finance Authority
Feb. 13, 2012 Brandon Becker, Executive Vice President and Chief Legal Officer, TIAA-CREF
Feb. 13, 2012 David Aronoff, Jeff Bussgang, Michael Greeley, Chip Hazard, and Jon Karlen, General Partners, Flybridge Capital Partners
Feb. 13, 2012 Thomas M. Graf, Executive Director, Massachusetts Educational Financing Authority
Feb. 13, 2012 Dan Waters, Managing Director, ICI Global
Feb. 13, 2012 Kenneth W. Anderson, Jr., Commissioner, Public Utility Commission of Texas
Feb. 13, 2012 Christopher Holt, General Counsel, Clark Consulting
Feb. 13, 2012 Kelvin Anderson, President, OptumHealth Bank
Feb. 13, 2012 Paul Schott Stevens, President & CEO, Investment Company Institute
Feb. 13, 2012 Barbara Novick, Vice Chairman, and Matthew J. Mallow, General Counsel, BlackRock, Inc.
Feb. 13, 2012 Margaret Risk
Feb. 13, 2012 Robert M. Williamson
Feb. 13, 2012 Rhoda Schermer
Feb. 13, 2012 G. L. Lawton
Feb. 13, 2012 Doub Grinbergs
Feb. 13, 2012 Anonymous
Feb. 13, 2012 Eugenia Kuttler
Feb. 13, 2012 Paul B. Bellamy
Feb. 13, 2012 E. Schmidt
Feb. 13, 2012 Tina Gregory
Feb. 13, 2012 Jim Steitz
Feb. 13, 2012 Americans for Financial Reform
Feb. 13, 2012 Douglas Lowenstein, President, Private Equity Growth Capital Council
Feb. 13, 2012 Janet Cowell, State Treasurer of North Carolina
Feb. 13, 2012 Americans for Financial Reform
Feb. 13, 2012 Patrick J. Foye, Executive Director, Port Authority of New York and New Jersey
Feb. 13, 2012 Senators Jeff Merkley and Carl Levin, U.S. Senate
Feb. 13, 2012 Joanne De Laurentiis, President and CEO, Investment Funds Institute of Canada
Feb. 13, 2012 Paul Voisin, Chief Executive Officer, Natixis Asset Management
Feb. 13, 2012 Angela Knight, Chief Executive, British Bankers' Association
Feb. 13, 2012 Katten Muchin Rosenman LLP
Feb. 13, 2012 Anat R. Admati, George G.C. Parker Professor of Finance and Economics, and and Paul Pfleiderer, C.O.G. Miller Distinguished Professor of Finance, Graduate School of Business, Stanford University, Stanford, California
Feb. 13, 2012 Andre, NY
Feb. 13, 2012 Brian Leach, Chief Risk Officer, Citigroup Inc.
Feb. 13, 2012 Russell Wasson, Director of Tax, Finance and Accounting Policy, The National Rural Electric Cooperative Association
Feb. 13, 2012 Richard H. Baker, President and CEO, Managed Funds Association
Feb. 13, 2012 John F.W. Rogers, Chief of Staff, The Goldman Sachs Group, Inc.
Feb. 13, 2012 John F.W. Rogers, Chief of Staff, The Goldman Sachs Group, Inc.
Feb. 13, 2012 Trabue Bland, Vice President, Regulatory Affairs and Assistant General Counsel, IntercontinentalExchange, Inc.
Feb. 13, 2012 Mary Dent, General Counsel, SVB Financial Group
Feb. 12, 2012Louis S. Citron, Chief Legal Officer, New Enterprise Associates, Inc.
Feb. 13, 2012Agustin Guillermo Carstens Carstens, Governor, Banco de Mexico
Feb. 13, 2012Simon Johnson
Feb. 13, 2012David Stepp, Venrock
Feb. 13, 2012Stephen B. Tracy and Tony Grappone, Novogradac & Company LLP on behalf of the Renewable Energy Tax Credit Working Group
Feb. 13, 2012Allen & Overy LLP
Feb. 13, 2012Dennis M. Kelleher, President and CEO, Better Markets Inc.
Feb. 13, 2012Andy Rappaport, August Capital
Feb. 13, 2012 Payson F. Swaffield, CFA, Chief Income Investment Officer, Eaton Vance Management
Feb. 13, 2012 IHS Inc.
Feb. 13, 2012 Ken Taymor, Executive Director, Berkeley Center for Law, Business and the Economy, University of California, Berkeley
Feb. 13, 2012 Garth B. Rieman, Director of Housing Advocacy and Strategic Initiatives, National Council of State Housing Agencies
Feb. 13, 2012 David Love, Director, Policy and International Affairs, Australian Financial Markets Association
Feb. 13, 2012 James L. McIntire, Washington State Treasurer
Feb. 13, 2012 Novogradac & Company LLP, on behalf of the Low Income Housing Tax Credit Working Group
Feb. 13, 2012 Andrea Psoras
Feb. 13, 2012 Mark A. Standish, Co-Group Head, Capital Markets, Royal Bank of Canada
Feb. 13, 2012Tony Burke, Policy Director, Australian Bankers' Association Inc.
Feb. 13, 2012Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Investments
Feb. 13, 2012Russell Goldsmith, Chairman, Midsize Bank Coalition of America
Feb. 13, 2012Michael J. Novogradac and Brad Elphick, Novogradac & Company LLP
Feb. 13, 2012Martin L. Flanagan, President and Chief Executive Officer, Invesco Ltd.
Feb. 13, 2012Carlos Serrano, Vice President for Regulatory Policy, Comision Nacional Bancaria y de Valores (National Banking and Securities Commission - Mexico)
Feb. 13, 2012Stephen M. Renna, Chief Executive Officer, Commercial Real Estate Finance Council
Feb. 13, 2012Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Feb. 13, 2012Patrick J. McCoy, Director - Finance, The Metropolitan Transportation Authority of the State of New York
Feb. 13, 2012Terry Campbell, President & Chief Executive Officer, Association Des Banquiers Canadiens (Canadian Bankers Association)
Feb. 13, 2012 Craig S. Donohue, Chief Executive Officer, CME Group
Feb. 13, 2012 Colm Kelleher, Co-President, Institutional Securities Group, and Jim Rosenthal, Chief Operating Officer, Morgan Stanley
Feb. 13, 2012 Robert Johnson, Executive Director, Senior Fellow and Director of Global Finance, Roosevelt Institute, and Joseph Stiglitz
Feb. 13, 2012 Matthew Richardson, NYU Stern School of Business
Feb. 13, 2012 Robert L. Megna, New York State Division of the Budget
Feb. 13, 2012 Andrew F. Barth, Chairman, Capital Guardian Trust Company and Paul G. Haaga, Jr., Chairman, Capital Research and Management Company, The Capital Group Companies, Inc.
Feb. 13, 2012 Robert M. Kimmitt and Russell J. Bruemmer, WilmerHale
Feb. 13, 2012 Allen & Overy LLP, on behalf of Bank of Montréal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, National Bank of Canada, The Royal Bank of Canada, and The Toronto-Dominion Bank
Feb. 13, 2012 Allen & Overy LLP, on behalf of Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, Deutsche Bank AG, HSBC Global Asset Management, Royal Bank of Canada, Société Générale, Standard Chartered Bank, and The Toronto-Dominion Bank
Feb. 13, 2012 Michael A. Mazzuchi and Paul R. St. Lawrence, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Apollo Global Management, LLC, Babson Capital Management LLC, Bank of America, Merrill Lynch, CIFC, Citigroup Global Markets, Inc., Crescent Capital Group, Deutsche Bank AG, Doral Bank, Golub Capital, GSO / Blackstone Debt Funds Management LLC, Halcyon Asset Management LLC, JPMorgan Chase & Co., Morgan Stanley, WCAS Fraser Sullivan Investment Management, LLC, and Wells Fargo & Company
Feb. 13, 2012 David Oestreicher, Vice President and Chief Legal Counsel, T. Rowe Price Associates, Inc.; Christine M. Morgan, Vice President and Managing Legal Counsel, T. Rowe Price Associates, Inc.; Jonathan D. Siegel, Vice President and Senior Legal Counsel, T. Rowe Price Associates, Inc.
Feb. 13, 2012 Katten Muchin Rosenman LLP
Feb. 13, 2012 Chris Ballinger Group Vice President & Chief Financial Officer, Toyota Motor Credit Corporation
Feb. 13, 2012 Peter G. Mugo, Massachusetts Mutual Life Insurance Company
Feb. 13, 2012 Country Financial, Mutual of Omaha, Nationwide Mutual Insurance Company, Principal Financial Group, The Prudential Insurance Company of America, State Farm Mutual Automobile Insurance Company, TIAA-CREF, Westfield Group
Feb. 13, 2012 Michael Sacks Chief Executive Officer, Grovesnor Capital Management, LP
Feb. 13, 2012 Michael E. Cahill, General Counsel, The TCW Group, Inc.; and Sean Plater, Associate General Counsel, The TCW Group, Inc.
Feb. 13, 2012 Frank Pignanelli, Executive Director, National Association of industrial Bankers; Bill Himpler, Executive Vice President, the American Financial Services Association; Bill Uffelman, President & Chief Executive Officer, the Nevada Bankers Association; and Howard Headlee, President, the Utah Bankers Association
Feb. 13, 2012 Gus Sauter Chief Investment Officer, Vanguard; and Bob Auwaerter, Head of Fixed Income, Vanguard
Feb. 13, 2012 Allen & Overy LLP
Feb. 13, 2012 Phillip Gillespie, State Street Global Advisors
Feb. 13, 2012 Edward P. O'Keefe, Executive Vice President, General Counsel, Bank of America
Feb. 13, 2012 David Arkush, Director, Public Citizen's Congress Watch; and Bartlett Naylor Financial Policy Advocate, Public Citizen's Congress Watch
Feb. 13, 2012 Steven Alan Bennett, Executive Vice President, General Counsel & Corporate Secretary, United Services Automobile Association
Feb. 13, 2012 Allen & Overy LLP
Feb. 13, 2012 Michael S. Whitman, Principal and Founder, Stuyvesant Trading Group, LLC , New York, New York
Feb. 13, 2012 The PNC Financial Services Group, Inc., U.S. Bancorp, Capital One Financial Corporation, SunTrust Banks, Inc., Branch Banking and Trust Company, Fifth Third Bancorp, Regions Financial Corporation, KeyCorp
Feb. 13, 2012 Tom Deutsch, Executive Director, American Securitization Forum
Feb. 13, 2012 American Public Power Association, Council of Infrastructure Financing Authorities, Government Finance Officers Association, Education Finance Council, International City/County Management Association, International Municipal Lawyers Association, Large Public Power Council, National Association of Counties, National Association of Health and Educational Facilities Finance Authorities, National Association of Local Housing Finance Agencies, National Association of State Auditors, Comptrollers and Treasurers, National Association of State Treasurers, National Conference of State Legislatures, National Council of State Housing Agencies, National League of Cities
Feb. 13, 2012 James M. Strother, Senior Executive Vice President and General Counsel, Wells Fargo
Feb. 13, 2012 James M. Strother, Senior Executive Vice President and General Counsel, Wells Fargo
Feb. 13, 2012 Wayne A. Abernathy, Executive Vice President of Financial Institutions Policy and Regulatory Affairs, American Bankers Association
Feb. 13, 2012 Kristin H.R. Franceschi, President, National Association of Bond Lawyers
Feb. 13, 2012 Ernest C. Goodrich Jr., Managing director - Legal Department, Deutsche Bank AG; and Salvatore P. Palazzolo, Managing Director - Legal Department, Deutsche Bank AG
Feb. 13, 2012 Ernest C. Goodrich Jr., Managing director - Legal Department, Deutsche Bank AG; and Salvatore P. Palazzolo, Managing Director - Legal Department, Deutsche Bank AG
Feb. 13, 2012 Julie H. Hertzog, Executive Director, The Affordable Housing Investors Council
Feb. 13, 2012 Hal S. Scott, Director, Committee on Capital Markets Regulation
Feb. 13, 2012 Frank Keating, President & CEO, American Bankers Association
Feb. 13, 2012 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers and Guido Ravoet, Secretary General, European Banking Federation
Feb. 13, 2012 Tom Deutsch, Executive Director, American Securitization Forum
Feb. 13, 2012 Fixed Income Forum and Credit Roundtable, New York, New York
Feb. 13, 2012 Ryan K. Brist, Head of U.S. High Grade Credit, and Stephen A. Walsh, Chief Investment Officer, Western Asset Management Company
Feb. 13, 2012 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Feb. 13, 2012 Monique S. Botkin, Assistant General Counsel, Investment Adviser Association
Feb. 13, 2012 Nobuyuki Hirano, Deputy President, Mitsubishi UFJ Financial Group, Inc.
Feb. 13, 2012 Angelo R. Aldana, General Manager, Mizuho Corporate Bank, Ltd.
Feb. 13, 2012 Jerry del Missier, Co-Chief Executive, Barclays Capital
Feb. 13, 2012 Christopher R. Kunkle, Director Securities Lending, Securities Lending Division of the Risk Management Association; and Michael P. McAuley, Chairman RMA Executive Committee, Securities Lending Division of the Risk Management Association
Feb. 13, 2012 Robert L. Reynolds, President and Chief Executive Officer, Putnam Investments
Feb. 13, 2012 Barry L. Zubrow, Executive Vice President, JPMorgan Chase & and Co.
Feb. 13, 2012 Jim Vogel, Executive Vice President, FTN Financial Capital Markets
Feb. 13, 2012 R. Bram Smith, Executive Director, Loan Syndications and Trading Association
Feb. 13, 2012 David F. Freeman, Jr., Arnold & Porter
Feb. 13, 2012 Christine R. McGillis, President, SunTrust Banks, Inc.; and David T. Bloom, Senior Vice President and Deputy General Counsel, SunTrust Banks, Inc.
Feb. 13, 2012 Joseph L. Seidel, Managing Director, Credit Suisse Securities (USA) LLC
Feb. 13, 2012 Michael W. Williams, Managing Director, Credit Suisse Securities (USA) LLC
Feb. 13, 2012 Daniel McCardell, Senior Vice President and Head of Regulatory Affairs, The Clearing House Association L.L.C.
Feb. 13, 2012 William J. Sweet, Skadden, Arps, Slate, Meagher & Flom LLP
Feb. 13, 2012 Alex Radetsky, Vice President and Assistant General Counsel, The Clearing House Association L.L.C.; and Cecelia A. Calaby, Senior Vice President and Executive Director, ABA Securities Association
Feb. 13, 2012 Mike Nicholas, Chief Executive Officer, Bond Dealers of America
Feb. 13, 2012 Brett Palmer, Small Business Investor Alliance
Feb. 13, 2012 Cecelia Calaby, Executive Director and General Counsel, ABA Securities Association
Feb. 13, 2012 David Nason, General Electric Company
Feb. 13, 2012 Scott Weikart, Palo Alto, CA
Feb. 13, 2012 Lynn A. Stout, Marc and Beth Goldberg Distinguished Visiting Professor of law, Cornell Law School, Paul Hastings Distinguished Professor of Corporate and Securities Law, UCLA School of Law
Feb. 13, 2012 Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association, Inc.
Feb. 13, 2012 Stefan M. Gavell, Executive Vice President and Head of Regulatory and Industry Affairs, State Street Corporation
Feb. 13, 2012 Bank of New York Mellon Corporation, Northern Trust Corporation, and State Street Corporation
Feb. 13, 2012 Paul V. Noble, The Bank of Montreal; Jordy Chilcott, The Bank of Nova Scotia; Steve Geist, Canadian Imperial Bank of Commerce; Richard Koo, National Bank of Canada; Thomas A. Smee, Royal Bank of Canada; and Brian Murdock, The Toronto-Dominion Bank
Feb. 13, 2012 E.William Parsley, Executive Vice President, Chief Investment Officer and Treasurer, PNC Financial Services Group, Inc.
Feb. 13, 2012 Karsten Langer, Chairman, European Private Equity and Venture Capital Association
Feb. 13, 2012 Dan Flynn, Jay Kaufman, Greg Wren, and Fukunaga, National Conference of State Legislatures
Feb. 13, 2012 Marshall Blume and Kenneth E. Scott, Shadow Financial Regulatory Committee
Feb. 13, 2012 Richard Hopkin, Managing Director, Association for Financial Markets in Europe; Nicholas de Boursac, Chief Executive Officer, Asia Securities Industry & Financial Markets Association; and Ruari Ewing, Director, Primary Markets, International Capital Market Association
Feb. 13, 2012 James E. Roselle, Associate General Counsel, Northern Trust
Feb. 13, 2012 Oliver Wyman | Financial Services
Feb. 13, 2012 John Leith-Tetrault, National Trust for Historic Preservation & Historic Tax Credit Coalition
Feb. 13, 2012 Stuart Alderoty, Senior Executive Vice President and General Counsel, HSBC Bank USA
Feb. 13, 2012 Philippa Hall, Head of Regulatory Strategy, F&amnp;C Management Ltd.
Feb. 13, 2012 Kun Ho Hwang, Chairman, International Council of Securities Associations (ICSA) and Duncan Fairweather, Chairman, ICSA Standing Committee on Regulatory Affairs
Feb. 13, 2012 Jonathan Gray, Regulatory Developments Director, Lloyds Banking Group
Feb. 13, 2012 Paul Beresford, Chief Actuary, HSBC Life (international) Limited
Feb. 13, 2012 Occupy the SEC
Feb. 13, 2012 Chris Fielding, Executive Director, UK Regulated Covered Bond Council
Feb. 13, 2012 Bill Magness, Vice-President & General Counsel, Electric Reliability Council of Texas, Inc.
Feb. 13, 2012 Mark Page, Office of Management and Budget, The City of New York
Feb. 13, 2012 Hans Joachim Reinke and Dr. Andreas Zubrod, Union Asset Management Holding AG
Feb. 13, 2012 Lawrence K. Orr, General Partner, Trinity Ventures
Feb. 13, 2012 Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank
Feb. 13, 2012 John S. Reed
Feb. 13, 2012 Alice Arant-Cousins, Phoenix, Arizona
Feb. 13, 2012 Pierre Bollon, Association Française de la Gestion financière
Feb. 13, 2012 Marcel Rencin, Chairman, Association Francçaise des Professionnels des Titres
Feb. 13, 2012 Laura Schisgall, Managing Director & Senior Counsel, and Jason Hoberman, Director & Counsel, Société Générale
Feb. 13, 2012 Pierre de Lauzun, French Banking Federation
Feb. 13, 2012 Peter De Proft, Director General, European Fund and Asset Management Association
Feb. 13, 2012 François DeloozBNP PARIBAS Investment Partners
Feb. 13, 2012 Thomas Richter and Dr. Magdalena Kuper, BVI Bundesverband Investment and Asset Management, Germany
Feb. 13, 2012 James M. Flaherty, Minister of Finance, Canada
Feb. 13, 2012 Mark Carney, Governor, Bank of Canada
Feb. 13, 2012 Guido Ravoet, Chief Executive, European Banking Federation
Feb. 13, 2012 Securities Industry and Financial Markets Association, American Bankers Association, Financial Services Roundtable, The Clearing House Association
Feb. 13, 2012 David Hirschmann, U.S.Chamber of Commerce, Washington, District of Columbia
Feb. 13, 2012 Securities Industry and Financial Markets Association, American Bankers Association, Financial Services Roundtable, The Clearing House Association
Feb. 13, 2012 Timothy W. Cameron, Esq. Managing Director, Asset Management Group, Securities Industry and Financial Markets Association
Feb. 13, 2012 International Regulatory Strategy Group
Feb. 13, 2012 Richard A. Dorfman, Managing Director, Head of Securitization, and Christopher B. Killian, Managing Director, Securities Industry and Financial Markets Association
Feb. 13, 2012 Peter De Proft, Director General, Investment Management Association, United Kingdom
Feb. 13, 2012 David L. Cohen, Managing Director, Associate General Counsel, Municipal Securities Division, Securities Industry and Financial Markets Association, New York, New York
Feb. 13, 2012 Barbara Ridpath, Chief Executive, and John Andrews, Research Analyst, International Centre for Financial Regulation
Feb. 13, 2012 Camille Thommes, Director General, and Marc Saluzz, President, Association of the Luxembourg Fund Industry
Feb. 13, 2012 Paul A. Volcker
Feb. 13, 2012 Janine Guillot, Chief Operating Investment Officer, California Public Employees' Retirement System (CaiPERS)
Feb. 13, 2012 Magnus Carlsson and Mats Beckman, Merchant Banking Division, Skandinaviska Enskilda Banken AB
Feb. 13, 2012 National Association of Mutual Insurance Companies
Feb. 13, 2012 Daniel Lowenstein and Kathy Hamilton, Denver, Colorado
Feb. 13, 2012 Susan Buchan, Merced, California
Feb. 13, 2012 Martha Ramsey, Brattleboro, Vermont
Feb. 12, 2012 Joan Rutherford
Feb. 12, 2012 Catherine Mason
Feb. 12, 2012 Catherine Mason
Feb. 11, 2012 Marie Leven
Feb. 11, 2012 Karen Thaw
Feb. 11, 2012 Ralph Harrison
Feb. 11, 2012 Armida Brashears
Feb. 11, 2012 Rep. Susan Almy, GR 11, New Hampshire
Feb. 10, 2012 William F. Truscott, Chairman, Columbia Management Investment Advisers, LLC
Feb. 10, 2012 Susan Whetstone, Interim President-Executive Director, Connecticut Housing Finance Authority
Feb. 10, 2012 Richard Leining
Feb. 10, 2012 Robina Quale-Leach
Feb. 10, 2012 Karisa Bohon
Feb. 10, 2012 Arline DeMaio
Feb. 10, 2012 Lee Smith
Feb. 10, 2012 Sherry Reames
Feb. 10, 2012 David Georgi
Feb. 10, 2012 Susan Verdicchio
Feb. 10, 2012 Michele Smith
Feb. 10, 2012 Bryan Morris
Feb. 10, 2012 Edward Bright
Feb. 10, 2012 Raun Norquist
Feb. 10, 2012 Ken Converse
Feb. 10, 2012 Janet Nelson
Feb. 10, 2012 Fran Fortino
Feb. 10, 2012 Lynn Manzione
Feb. 10, 2012 Sarah Reid
Feb. 10, 2012 James Stevenson
Feb. 10, 2012 Jeffrey Wallace
Feb. 10, 2012 Judith Zitko
Feb. 10, 2012 Dawn Stamlp
Feb. 10, 2012 Todd Johnston
Feb. 10, 2012 Mary A. Carroll
Feb. 10, 2012 Mike Rudnick
Feb. 10, 2012 Kevin Falcon, Minister and Deputy Premier, Province of British Columbia, Canada
Feb. 10, 2012 Zachary Boyers, U.S. Bancorp Community Development Corporation
Feb. 10, 2012 Committee on Investment of Employee Benefit Assets
Feb. 10, 2012 Cadmus Hicks, Managing Director, Nuveen Asset Management
Feb. 10, 2012 Kevin M. McCarty, President, and Therese M. Vaughn, Ph.D., Chief Executive Officer, National Association of Insurance Commissioners
Feb. 10, 2012 James M. Olsen, VP, Accounting and Investment Policy, Property Casualty Insurers Association of America
Feb. 10, 2012 Ashurst LLP, on behalf of JPMorgan Chase & Co., Wells Fargo Bank, N.A., Deutsche Bank AG, New York Branch, RBC Capital Markets, LLC, and Societe Generale, New York Branch
Feb. 10, 2012 Charles H. Dallara, Managing Director, Institute of International Finance
Feb. 10, 2012 Douglas A. Sheline, Senior Vice President and Assistant Treasurer, M&T Bank
Feb. 10, 2012 Rose M. Oswald, Poels President/CEO, Wisconsin Bankers Association
Feb. 10, 2012 Michael Kemmer, General Manager, Member of the Board of Directors, Association of German Banks and Hans-Joachim Massenberg, Member of the Management Board, Association of German Banks
Feb. 10, 2012 Charlie Bracken, Executive Vice President, Co-Chief Financial Officer, Liberty Global, Inc.
Feb. 10, 2012 Mimi Hodsoll
Feb. 10, 2012 Nathaniel Boonin, Newark, Delaware
Feb. 10, 2012 Robert Krouskoff, White Plains, New York
Feb. 10, 2012 Frances Vreman
Feb. 10, 2012 Rita Ray
Feb. 10, 2012 Lisa Kazmier
Feb. 10, 2012 Michael Wenger
Feb. 9, 2012 Mark R. Thresher, Executive Vice President, Chief Financial Officer, Nationwide Insurance
Feb. 9, 2012 Debbie Notkin
Feb. 9, 2012 James Ofsink
Feb. 9, 2012 Alexander Clayton
Feb. 9, 2012 Dyanne Dirosario
Feb. 9, 2012 Karen Bauer
Feb. 9, 2012 Kenneth Rose
Feb. 9, 2012 Andrew Pilling
Feb. 9, 2012 John Witmer
Feb. 9, 2012 Tom And Rosalie Cripps
Feb. 9, 2012 Susan Pashkoff
Feb. 9, 2012 Ronald Gedrim
Feb. 9, 2012 Teresa Priem
Feb. 9, 2012 Phillip Baker
Feb. 9, 2012 Allan Richardson
Feb. 9, 2012 Rosemary Wyche
Feb. 9, 2012 Janet Bullock
Feb. 9, 2012 Barry Rein
Feb. 9, 2012 Mary Starzyk
Feb. 9, 2012 David Annis
Feb. 9, 2012 Lawrence York
Feb. 9, 2012 Karen Hensley, Reston, Washington
Feb. 9, 2012 Janet McGinness, Senior Vice President and Corporate Secretary, NYSE Euronext
Feb. 9, 2012 Brandon Becker, Executive Vice President and Chief Legal Officer, TIAA-CREF
Feb. 9, 2012 Jack Mcgregor
Feb. 9, 2012 Kenneth Glidden
Feb. 9, 2012 Casey Maddren
Feb. 9, 2012 Paul Perkal
Feb. 9, 2012 Tim White
Feb. 9, 2012 Michael Iltis
Feb. 9, 2012 Judith Braun
Feb. 9, 2012 Sandra Stevens
Feb. 9, 2012 Franklin Neubauer
Feb. 9, 2012 Doug Gilbert
Feb. 9, 2012 Stephen J. Pew
Feb. 9, 2012 J. L. Cone
Feb. 9, 2012 Wendy Emlinger
Feb. 9, 2012 Randy Childers
Feb. 9, 2012 Joseph Satriano
Feb. 9, 2012 Terrence Karney
Feb. 9, 2012 David B. Chandler
Feb. 9, 2012 Marc De Puy
Feb. 9, 2012 Glenn Krakower
Feb. 9, 2012 Tim Peterson
Feb. 9, 2012 Steve Dickman
Feb. 9, 2012 Cadwalader, Wickersham & Taft LLP
Feb. 9, 2012 Luc Monty, Deputy Minister of Finance, Quebec, Canada
Feb. 9, 2012 Sarah Reed, General Counsel, On Behalf of Charles River Ventures, LLC
Feb. 9, 2012 Scott A. Cammam, Cadwalader, Wickersham & Taft LLP
Feb. 9, 2012 Samrat Pathania
Feb. 8, 2012 Michel Barnier, Member, European Commission
Feb. 8, 2012 William R. Hambrecht, Chairman and CEO, WR Hambrecht + Co
Feb. 8, 2012 Adair Turner, Chairman, Financial Services Authority
Feb. 8, 2012 Michael A. Carusi, Managing Director, Advanced Technology Ventures
Feb. 8, 2012 Andrew Kahn and Donald Campbell
Feb. 8, 2012 Andrew Thornborrow, Operating Partner, BlueRun Ventures
Feb. 8, 2012 Mary Jane Sutliff
Feb. 8, 2012 Kate Mitchell, Managing Director, Scale Venture Partners and Sharon Wienbar, Managing Director, Scale Venture Partners
Feb. 8, 2012 Karen Michaelis
Feb. 8, 2012 Ben Leet
Feb. 8, 2012 Steve Westly, Managing Partner The Westly Group
Feb. 8, 2012 David J. Stertzer, Chief Executive Officer, Association for Advanced Life Underwriting
Feb. 8, 2012 Zane E. Brown, Partner & Fixed Income Strategist, Lord, Abbett & Co. LLC
Feb. 8, 2012 Lee Brown, Lee S. Brown Fine Arts
Feb. 8, 2012 Sarah McKee
Feb. 8, 2012 David R. Wilkes
Feb. 8, 2012 Dan W. Schneider, Baker & McKenzie LLP, Counsel to the Association
Feb. 8, 2012 Mary Levendos
Feb. 8, 2012 Liz Amsden
Feb. 8, 2012 Mike Cramton
Feb. 8, 2012 Jonathan L.Rosenthal, Senior Managing Director, Metropolitan Life Insurance Company
Feb. 8, 2012 Chuah Mei Lin, Executive Director, The Association of Banks in Malaysia
Feb. 7, 2012 Kurt J. Laning, FSA, President, Clark Consulting
Feb. 7, 2012 Scott A. Cammarn, Special Counsel, Cadwalader, Wickersham & Taft LLP
Feb. 6, 2012 David Fischer, Manager, Gal Hill Capital
Feb. 6, 2012 Joshua L. Green, General Partner, Mohr Davidow
Feb. 6, 2012 Joe B. Jones, Financial Representative, The Jayhawk Financial Group, Lawrence, Kansas
Feb. 6, 2012 Chuck Bracht, Executive Vice President, BBVA Compass Consulting and Benefits, Inc.
Feb. 6, 2012 George Michaels, CEO, G2 FinTech
Feb. 3, 2012 Bruce A. Ortwine, General Counsel, Americas, The Sumitomo Trust & Banking Co., Ltd.
Feb. 3, 2012 Eric Young, Partner, Canaan Partners
Feb. 3, 2012 Brent Ahrens, General Partner, Canaan Partners
Feb. 3, 2012 Deepak Kamra, General Partner, Canaan Partners
Feb. 3, 2012 Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Feb. 3, 2012 Mark G. Heesen, President, National Venture Capital Association
Feb. 2, 2012 Dan Fleming, Managing Director, River Cities Capital
Feb. 2, 2012 Hooman Shahlavi, Esq., Secretary and General CounselSofinnova Ventures
Feb. 2, 2012 Stephen E. Roth and Federick R. Bellamy, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Jan. 31, 2012 Gadi Mayman, Chief Executive Officer, Ontario Financing Authority
Jan. 31, 2012 Alan D. Polsky, Chair, Municipal Securities Rulemaking Board
Jan. 30, 2012 Eric Wedbush, President, Wedbush, Inc., Los Angeles, California
Jan. 28, 2012 Sheila Waddell
Jan. 27, 2012 Rep. Carolyn McCarthy, et al., Members of Congress
Jan. 27, 2012 Eric Benhamou
Jan. 27, 2012 Howard Marsh, Managing Director and Head of the Municipal Securities Division, Citigroup Global Markets Inc.
Jan. 27, 2012 Jeffrey D. DeBoer, President and Chief Executive Officer, The Real Estate Roundtable
Jan. 26, 2012 Robert Waters
Jan. 26, 2012 Robert D. Atkinson, President, Information Technology & Innovation Foundation
Jan. 25, 2012 Sen. Kirsten E. Gillibrand, U.S. Senate
Jan. 25, 2012 William A. O’Malley, CFA Managing Principal, Income Research & Management
Jan. 25, 2012 The Norinchukin Bank, Japan
Jan. 24, 2012 Julie A. Spiezio, Senior Vice President, Insurance Regulation & Deputy General Counsel, American Council of Life Insurers
Jan. 24, 2012 Christopher L. Rizik, Renaissance Venture Capital Fund
Jan. 23, 2012 Jackie Speier, Member of Congress
Jan. 23, 2012 George Osborne
Jan. 23, 2012 Cleary Gottlieb Steen & Hamilton LLP, Davis Polk & Wardwell LLP, and Sullivan & Cromwell LLP
Jan. 20, 2012 Len Canty, Black Economic Council; Jorge Corralejo, Latino Business Chamber of Greater LA; Faith Bautista, National Asian American Coalition, and Robert Gnaizda, Counsel
Jan. 19, 2012 Amy E. Koch, Director of Fixed Income Trading, Standish Mellon Asset Management Company LLC
Jan. 19, 2012 Paul v. Noble, Deputy General Counsel, Private Client Group, Bank of Montreal; Jordy Chilcott, Head Canadian Mutual Funds, The Bank of Nova Scotia; Steve Geist, President, CIBC Asset Management, Canadian Imperial Bank of Commerce; Thomas A. Smee, Senior Vice President & Deputy General Counsel, RBC Law Group, Royal Bank of Canada and Brian Muedock, Executive Vice President, The Toronto-Dominion Bank
Jan. 17, 2012 Alice W. Handy, President and CEO, Investsure LLC
Jan. 17, 2012 Tom Quaadman, Vice President, U.S. Chamber of Commerce, Washington, District of Columbia
Jan. 16, 2012 Darrell Duffie, Professor, Graduate School of Business, Stanford University
Jan. 13, 2012 Senator Kay R. Hagan, U.S. Senate
Jan. 13, 2012 Japanese Bankers Association
Jan. 12, 2012 Kathleen G. Luckard, Los Angeles, California
Jan. 12, 2012 Perry M. Traquina, President and Chief Executive Officer, Wellington Management Company, LLP
Jan. 10, 2012 Ronald M. Diner, President, Raymond James Tax Credit Funds, Inc.
Jan. 9, 2012 Hendrik R. Woods, Illinois
Dec. 29, 2011 Anonymous
Dec. 29, 2011 Kenneth E. Bentsen, Jr., EVP Public Policy and Advocacy, SIFMA
Dec. 28, 2011 Masamichi Kono, Vice Commissioner for International Affairs, Financial Services Agency, Government of Japan, and Kenzo Yamamoto, Executive Director, Bank of Japan
Dec. 28, 2011 Julie Dickson, Superintendent, Office of the Superintendent of Financial Institutions Canada
Dec. 26, 2011 Alfred J. Michelhaus, Accountant
Dec. 25, 2011 David Herrington, Syracuse, New York
Dec. 24, 2011 Herbert L. Wilson, Laredo, Texas
Dec. 23, 2011 Rep. Zoe Lofgren, U.S. House of Representatives
Dec. 23, 2011 Jeffrey Moskin, Culver City, California
Dec. 23, 2011 Charles Waldron, Los Angeles, California
Dec. 23, 2011 Curtis Bowling, Argillite, Kentucky
Dec. 23, 2011 American International Group, Inc.: APG Algemene Pensioen Groep N.V.; BlackRock, Inc.; California Public Employees’ Retirement System; Dodge & Cox; GE Asset Management; Income Research & Management; Legal and General Investment Management America; Loomis, Sayles & Company, L.P.; McDonnell Investment Management, LLC; MetLife, Inc.; Nationwide Mutual Insurance Company; The Vanguard Group, Inc.
Dec. 22, 2011 Paul Schott Stevens, President & CEO, Investment Company Institute, Washington, District of Columbia
Dec. 22, 2011 Anthony G. Flynn, Jr., and Koral Fusselman, Lexington, Virginia
Dec. 21, 2011 Orim Graves, CFA, Executive Director, National Association of Securities Professionals
Dec. 21, 2011 Terry Campbell, President & Chief Executive Officer, Canadian Bankers Association
Dec. 21, 2011 Ian Russell, FCSI, President and CEO, Investment Industry Association of Canada
Dec. 20, 2011 Members of Congress
Dec. 20, 2011 Rep. Michael M. Honda, U.S. House of Representatives
Dec. 20, 2011 Ralph S. Saul, West Conshohocken, Pennsylvania
Dec. 19, 2011 Rep. Michael L. Burgess, M.D., U.S. House of Representatives
Dec. 19, 2011 Randel Pilo, Verona, Wisconsin
Dec. 16, 2011 Suzanne H. Shatto, Seattle, Washington
Dec. 16, 2011 Rep. David Schweikert, U.S. House of Representatives
Dec. 16, 2011 John Gidman, The Association of Institutional Investors
Dec. 16, 2011 Tony Burke, Policy Director, Australian Bankers’ Association
Dec. 15, 2011 David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Dec. 13, 2011 Rep. Anna G. Eshoo, U.S. House of Representatives
Dec. 12, 2011 Michael M. Chamberlin, Executive Director, EMTA
Dec. 12, 2011 Alfred Brock
Dec. 9, 2011 Dennis M. Kelleher, President & CEO, Better Markets, Inc.
Dec. 7, 2011 Reps. Spencer Bachus, Jeb Hensarling, Shellby Moore Capito, and Scott Garrett, Committee on Financial Services, U.S. House of Representatives
Nov. 30, 2011 The American Bankers Association, the Financial Services Roundtable, the Financial Services Forum, the Institute of International Bankers and the Securities Industry and Financial Markets Association
Nov. 29, 2011 Capital One Financial Corporation, Fifth Third Bancorp and Regions Financial Corporation
Nov. 27, 2011 Obaid M. Syed, Undergraduate at Yale, New Haven, Connecticut
Nov. 22, 2011 Chris Barnard, Germany
Nov. 17, 2011 David Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Nov. 16, 2011 Peter S. Kraus, Chairman and CEO, AllianceBernstein L.P.
Nov. 13, 2011 Kirstin Dvorchak, Denver, Colorado
Nov. 8, 2011 David McClean, Rutgers University
Nov. 2, 2011 Len Canty, Chairman, Black Economic Council; Jorge Corralejo, Chairman, Latino Business Chamber of Greater LA; and Faith Bautista, President and CEO, National Asian American Coalition
Oct. 29, 2011 Suzanne H. Shatto, Seattle, Washington
Oct. 28, 2011 Samuel D. Kimbrell, Hendersonville, North Carolina
Oct. 24, 2011 Jason Bright, Law Student, University of Missouri, Columbia, Missouri
Oct. 19, 2011 Ralph S. Saul
Oct. 17, 2011 Len Canty, Chairman, Black Economic Council; Jorge Corralejo, Chairman, Latino Business Chamber of Greater LA; and Faith Bautista, President and CEO, National Asian American Coalition
Oct. 17, 2011 David Brooke
Oct. 12, 2011 Noel Weichbrodt, Saint Louis, Missouri
Oct. 12, 2011 Frank A. LoSchiavo, Jr., Atascadero, California
Oct. 12, 2011 Chris Zontine, San Jose, California
Oct. 11, 2011 Alice Bartoo, San Tan Valley, Arizona
Oct. 10, 2011 Mike P. McKeever
Oct. 8, 2011 Mike P. McKeever

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jan. 9, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2014, phone call with Counsel for Senator Merkley
Jan. 9, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2014, phone call with Simon Johnson
Jan. 8, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a January 8, 2014, meeting with Counsel for Senator Merkley
Jan. 7, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a January 7, 2014, phone call with a representative of Better Markets
Nov. 20, 2013 Memorandum from the Office of the Chair regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Nov. 20, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 20, 2013, conference call with representatives of The National Asian American Coalition
Nov. 20, 2013 Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC
Nov. 20, 2013 Memorandum from the Office of the Chair regarding a November 19, 2013, meeting with a representative of Pew Charitable Trusts
Nov. 18, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 18, 2013, meeting with representatives of The Center for Capital Markets Competitiveness
Nov. 18, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Nov. 14, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 14, 2013, meeting with representatives of Goldman Sachs
Nov. 14, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a November 13, 2013, meeting with representatives of the Loan Syndications & Trading Association and WilmerHale
Nov. 14, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 14, 2013, meeting with representatives of Goldman Sachs
Nov. 8, 2013 Memorandum from the Office of the Chair regarding October 24, 2013, and November 8, 2013, phone calls with staff from the Office of U.S. Senator Jeff Merkley
Nov. 7, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Nov. 7, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Nov. 6, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 6, 2013, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Nov. 5, 2013 Memorandum from the Division of Investment Management regarding a November 5, 2013, meeting with representatives of HSBC
Nov. 4, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers
Nov. 1, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers
Oct. 23, 2013 Memorandum from the Division of Trading and Markets regarding an October 23, 2013, meeting with representatives of HSBC
Oct. 2, 2013 Memorandum from the Office of Commissioner Kara Stein regarding an October 2, 2013, meeting with Andrew Green from the Office of U.S. Senator Jeff Merkley
Oct. 1, 2013 Memorandum from the Division of Trading and Markets regarding an October 1, 2013, meeting with representatives of HSBC
Oct. 1, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC
Sep. 30, 2013 Memorandum from the Office of the Chair regarding a September 30, 2013, meeting with representatives of Better Markets
Sep. 26, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 19, 2013, meeting with representatives of PNC Financial Services Group, Inc.
Sep. 26, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 26, 2013, phone call with a representative of Better Markets
Sep. 18, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Sep. 16, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an September 16, 2013, meeting with representatives of SIFMA
Sep. 16, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of SIFMA
Sep. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Sep. 12, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 12, 2013, meeting with representatives of the American Bankers Association
Aug. 27, 2013 Memorandum from the Division of Trading and Markets regarding an August 27, 2013, meeting with Greg Smith
Jul. 30, 2013 Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee
Jul. 18, 2013 Memorandum from the Office of the Chair regarding a July 11, 2013, meeting with representatives of BlackRock
Jun. 27, 2013 Memorandum from the Division of Investment Management regarding a June 12, 2013, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) and Davis Polk & Wardwell LLP
Jun. 18, 2013 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
Jun. 18, 2013 Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA
Jun. 14, 2013 Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with a representative of the AFL-CIO
Jun. 14, 2013 Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with representatives of Better Markets
Jun. 11, 2013 Memorandum from the Office of the Chair regarding a June 7, 2013, meeting with a representative of Goldman Sachs
May 28, 2013 Memorandum from the Office of the Chairman regarding a May 24, 2013, meeting with representatives of the Systemic Risk Council
May 21, 2013 Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of TIAA-CREF
May 3, 2013 Memorandum from the Division of Trading and Markets regarding a May 3, 2013, meeting with representatives of State Street Global Advisors
Apr. 8, 2013 Memorandum from the Division of Trading and Markets regarding an April 8, 2013, meeting with representatives of Barclays
Mar. 14, 2013 Memorandum from the Division of Trading and Markets regarding a March 14, 2013, meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA") and SIFMA Member Firms
Feb. 26, 2013 Memorandum from the Office of Commissioner Paredes regarding a February 26, 2013, meeting with representatives of Morgan Stanley
Feb. 26, 2013 Memorandum from the Division of Trading and Markets regarding a February 26, 2013, meeting with representatives of Morgan Stanley
Feb. 12, 2013 Memorandum from the Division of Trading and Markets regarding a February 12, 2013, meeting with representatives of the Bond Dealers of America
Jan. 23, 2013 Memorandum from the Division of Trading and Markets regarding a January 23, 2013, meeting with representatives of Goldman Sachs
Jan. 10, 2013 Memorandum from the Division of Investment Management regarding a January 10, 2013, meeting with representatives of the Alternative Investment Management Association
Dec. 19, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a December 17, 2012, meeting with representatives of Americans for Financial Reform, Consumer Federation of America and other organizations
Dec. 5, 2012 Memorandum from the Division of Investment Management regarding a December 5, 2012, meeting with representatives of BlackRock
Nov. 13, 2012 Memorandum from the Office of Commissioner Paredes regarding a November 13, 2012, meeting with representatives of Capstone LLC, et al.
Aug. 21, 2012 Memorandum from the Division of Investment Management regarding an August 21, 2012, meeting with representatives of SVB Financial Group
Jul. 11, 2012 Memorandum from the Division of Trading and Markets regarding a July 11, 2012, meeting with representatives of the Bond Dealers of America
Jun. 4, 2012 Memorandum from the Division of Trading and Markets regarding a June 4, 2012, meeting with representatives of Better Markets
Jun. 1, 2012 Memorandum from the Division of Trading and Markets regarding a June 1, 2012, meeting with representatives of the Investment Company Institute
May 23, 2012 Memorandum from the Division of Trading and Markets regarding a May 23, 2012, meeting with representatives of Credit Suisse
May 23, 2012 Memorandum from the Division of Trading and Markets regarding a May 23, 2012, meeting with representatives of the National Bank Financial
May 23, 2012 Memorandum from the Division of Investment Management regarding a May 23, 2012, meeting with representatives of GE Capital Corp.
May 17, 2012 Memorandum from the Division of Trading and Markets regarding a May 17, 2012, meeting with representatives of Australian Banks
May 15, 2012 Memorandum from the Office of Commissioner Aguilar regarding a May 9, 2012, meeting with representatives of the Bond Dealers of America
May 7, 2012 Memorandum from the Office of Commissioner Troy A. Paredes regarding a May 1, 2012, meeting with representatives of the British Bankers' Association
May 4, 2012 Memorandum from the Division of Trading and Markets regarding a May 4, 2012, meeting with representatives of Americans for Financial Reform, Public Citizen, and the International Brotherhood of Teamsters
May 4, 2012 Memorandum from the Office of the Chairman regarding an April 26, 2012, meeting with representatives of the National Association of Insurance Commissioners
Apr. 25, 2012 Memorandum from the Division of Trading and Markets regarding an April 25, 2012, meeting with EU Economic Counselors
Apr. 24, 2012 Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with Professor Matthew Richardson
Apr. 23, 2012 Memorandum from the Division of Trading and Markets regarding an April 23, 2012, meeting with representatives of the Massachusetts Educational Financing Authority
Apr. 19, 2012 Memorandum from the Office of the Chairman regarding an April 19, 2012, meeting with representatives of Credit Suisse Group AG
Apr. 10, 2012 Memorandum from the Division of Trading and Markets regarding a meeting with members of SIMFA, Citigroup, RBS Global Banking and Markets, Bank of America, Deutsche Bank and Sidley Austin
Apr. 6, 2012 Memorandum from the Division of Trading and Markets regarding an April 6, 2012, meeting with representatives of Americans for Financial Reform
Apr. 4, 2012 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
Mar. 28, 2012 Memorandum from the Division of Trading and Markets regarding a March 28, 2012, meeting with representatives of SIFMA
Mar. 27, 2012 Memorandum from the Office of Commissioner Aguilar regarding a March 27, 2012, meeting with representatives of Morgan Stanley
Mar. 21, 2012 Memorandum from the Division of Investment Management regarding a March 21, 2012, meeting with a representative of U.S. Insurer
Mar. 20, 2012 Memorandum from the Division of Investment Management regarding a February 10, 2012, meeting with a representative of the Roosevelt Institute
Mar. 20, 2012 Memorandum from the Division of Trading and Markets regarding a March 20, 2012, meeting with representatives of Occupy the SEC
Mar. 19, 2012 Memorandum from the Office of the Chairman regarding a March 14, 2012, meeting with representatives of the European Fund and Asset Management Association (EFAMA)
Mar. 13, 2012 Memorandum from the Division of Investment Management regarding a March 13, 2012, meeting with representatives of The Loan Syndications & Trading Association
Mar. 13, 2012 Memorandum from the Office of Commissioner Walter regarding a February 29, 2012, meeting with representatives of Morgan Stanley
Mar. 12, 2012 Memorandum from the Office of the Chairman regarding a March 12, 2012, meeting with representatives of HSBC Global Banking and Markets
Mar. 7, 2012 Memorandum from the Division of Trading and Markets regarding a March 7, 2012, meeting with representatives of Goldman Sachs
Mar. 6, 2012 Memorandum from the Division of Trading and Markets regarding a March 6, 2012, meeting with representatives of TIAA-CREF
Mar. 6, 2012 Memorandum from the Division of Trading and Markets regarding a March 6, 2012, meeting with representatives of London Financial Services Authority
Mar. 1, 2012 Memorandum from the Office of the Chairman regarding a March 1, 2012, meeting with representatives of SIFMA
Feb. 29, 2012 Memorandum from the Trading and Markets regarding a February 29, 2012, conference call with representatives of the Canadian Securities Administrators
Feb. 28, 2012 Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with Professor Simon Johnson
Feb. 23, 2012 Memorandum from the Division of Trading and Markets regarding a February 23, 2012, meeting with representatives of the Committee on Investment of Employee Benefit Assets (CIEBA)
Feb. 22, 2012 Memorandum from the Office of the Chairman regarding a February 16, 2012, meeting with representatives of the Financial Services Roundtable
Feb. 22, 2012 Memorandum from the Office of the Chairman regarding a February 16, 2012, meeting with BlackRock
Feb. 17, 2012 Memorandum from the Office of the Chairman regarding a February 15, 2012, meeting with Paul A. Volcker
Feb. 15, 2012 Memorandum from the Division of Trading and Markets regarding a February 15, 2012, meeting with Professor Darrell Duffie
Feb. 15, 2012 Memorandum from the Office of Commissioner Aguilar regarding a February 15, 2012, meeting with representatives of the Alternative Investment Management Association
Feb. 10, 2012 Memorandum from the Division of Trading and Markets regarding a February 10, 2012, meeting with representatives of the Credit Roundtable and Fixed Income Forum
Feb. 10, 2012 Memorandum from the Division of Investment Management regarding a February 10, 2012, meeting with representatives of the U.S. Senate Committee on Banking, Housing and Urban Affairs
Feb. 8, 2012 Memorandum from the Division of Trading and Markets regarding a February 8, 2012, meeting with representatives of Bank of Oliver Wyman
Feb. 8, 2012 Memorandum from the Office of Commissioner Aguila regarding a February 8, 2012, meeting with representatives of Bank of America and Merrill Lynch
Feb. 8, 2012 Memorandum from the Division of Investment Management regarding a February 8, 2012, meeting with representatives of Grosvenor Capital Management, L.P.
Feb. 7, 2012 Memorandum from the Office of the Chairman regarding a February 7, 2012, meeting with representatives of Morgan Stanley
Feb. 6, 2012 Memorandum from the Division of Trading and Markets regarding a February 6, 2012, meeting with representatives from Canadian Banks and the Canadian Bankers’ Association
Feb. 6, 2012 Memorandum from the Office of the Chairman regarding a February 3, 2012, meeting with representatives of the Investment Company Institute
Jan. 30, 2012 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 30, 2012, meeting with representatives of Goldman Sachs
Jan. 24, 2012 Memorandum from the Division of Trading and Markets regarding a January 24, 2012, meeting with representatives of the U.S. Chamber of Commerce
Jan. 12, 2012 Memorandum from the Division of Investment Management regarding a January 12, 2012, conference call with representatives of Occupy the SEC
Jan. 11, 2012 Memorandum from the Division of Investment Management regarding a January 11, 2012, conference call with representatives of Sutherland
Jan. 5, 2012 Memorandum from the Division of Investment Management regarding a January 5, 2012, meeting with representatives of the Institute of International Bankers and Cleary Gottlieb Steen & Hamilton LLP
Jan. 4, 2012 Memorandum from the Division of Investment Management regarding a January 4, 2012, meeting with representatives of the Institute of International Bankers and Cleary Gottlieb Steen & Hamilton LLP
Dec. 22, 2011 Memorandum from the Division of Trading and Markets regarding a December 22, 2011, conference call with representatives of Goldman Sachs
Dec. 22, 2011 Memorandum from the Division of Investment Management regarding a December 22, 2011, conference call with representatives of Davis Polk
Dec. 22, 2011 Memorandum from the Division of Investment Management regarding a December 19, 2011, conference call with representatives of Sutherland
Dec. 21, 2011 Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with representatives of Credit Suisse
Dec. 20, 2011 Memorandum from the Division of Trading and Markets regarding a December 20, 2011, meeting with representatives of SIFMA and David Polk
Dec. 20, 2011 Memorandum from the Division of Investment Management regarding a December 20, 2011, meeting with representatives of BNY/Mellon, Northern Trust, State Street
Dec. 19, 2011 Memorandum from the Division of Investment Management regarding a December 19, 2011, meeting with representatives of Barclays Capital
Dec. 15, 2011 Memorandum from the Division of Trading and Markets regarding a December 15, 2011, meeting with representatives of Goldman Sachs
Dec. 14, 2011 Memorandum from the Division of Corporation Finance regarding a December 13, 2011, conference call with representatives from Goldman Sachs
Dec. 12, 2011 Memorandum from the Division of Trading and Markets regarding a December 12, 2011, meeting with representatives of Bank of America
Nov. 30, 2011 Memorandum from the Division of Investment Management regarding a November 30, 2011, meeting with representatives of Bank of America, Citigroup, Goldman Sachs, JP Morgan Chase, Morgan Stanley, and General Electric
Nov. 17, 2011 Memorandum from the Division of Trading and Markets regarding a November 17, 2011, meeting with representatives of Barclays
Nov. 9, 2011 Memorandum from the Division of Trading and Markets regarding a November 9, 2011, meeting with representatives from Goldman Sachs, JP Morgan, and Morgan Stanley
Nov. 3, 2011 Memorandum from the Division of Investment Management regarding a November 3, 2011, meeting with representatives of SVB Financial Group and Debevoise & Plimpton LLP

 

http://www.sec.gov/comments/s7-41-11/s74111.shtml

Modified: 10/16/2014