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

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 608
B: 15,839
C: 16
D: 1,737
E: 46,883

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2014, phone call with Counsel for Senator Merkley
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2014, phone call with Simon Johnson
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a January 8, 2014, meeting with Counsel for Senator Merkley
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a January 7, 2014, phone call with a representative of Better Markets
Public Comment William Frederick Derbyshire
Public Comment Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, The Real Estate Roundtable, The U.S. Chamber of Commerce
Public Comment Robert Toomey, Managing Director and Associate General Counsel, SIFMA
Public Comment David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment Dennis Kelleher, President & CEO, Better Markets, Inc.
Public Comment Dennis Kelleher, President & CEO; David Frenk, Director of Research; and Caitlin Kline, Derivatives Specialist; Better Markets, Inc., Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 20, 2013, conference call with representatives of The National Asian American Coalition
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 19, 2013, meeting with a representative of Pew Charitable Trusts
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 18, 2013, meeting with representatives of The Center for Capital Markets Competitiveness
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 14, 2013, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 14, 2013, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 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
Public Comment David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 7, 2013, meeting with representatives of Goldman Sachs
Meeting with SEC Officials 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)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 5, 2013, meeting with representatives of HSBC
Meeting with SEC Officials 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 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers
Public Comment Aaron Klein, Director, Financial Regulatory Reform Initiative, Bipartisan Policy Center
Public Comment Aaron Klein, Director, Financial Regulatory Reform Initiative, Bipartisan Policy Center
Public Comment Capital Markets Task Force, Bipartisan Policy Center

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-41-11
Release Number
34-65545
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