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
Public Comment Suzanne Shatto
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 23, 2013, meeting with representatives of HSBC
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a September 30, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 19, 2013, meeting with representatives of PNC Financial Services Group, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 26, 2013, phone call with a representative of Better Markets
Public Comment Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Meeting with SEC Officials 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 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an September 16, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 12, 2013, meeting with representatives of the American Bankers Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 27, 2013, meeting with Greg Smith
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 11, 2013, meeting with representatives of BlackRock
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials 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 Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with a representative of the AFL-CIO
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 7, 2013, meeting with a representative of Goldman Sachs
Public Comment Ralph S. Saul
Public Comment Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 24, 2013, meeting with representatives of the Systemic Risk Council
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of TIAA-CREF
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 3, 2013, meeting with representatives of State Street Global Advisors
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 8, 2013, meeting with representatives of Barclays
Meeting with SEC Officials 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

Last Reviewed or Updated: Dec. 18, 2025

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