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 Mark G. Heesen, President, National Venture Capital Association
Public Comment Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment Dan Fleming, Managing Director, River Cities Capital
Public Comment Hooman Shahlavi, Esq., Secretary and General CounselSofinnova Ventures
Public Comment Stephen E. Roth and Federick R. Bellamy, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Alan D. Polsky, Chair, Municipal Securities Rulemaking Board
Public Comment Gadi Mayman, Chief Executive Officer, Ontario Financing Authority
Public Comment Eric Wedbush, President, Wedbush, Inc., Los Angeles, California
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 30, 2012, meeting with representatives of Goldman Sachs
Public Comment Sheila Waddell
Public Comment Eric Benhamou
Public Comment Howard Marsh, Managing Director and Head of the Municipal Securities Division, Citigroup Global Markets Inc.
Public Comment Jeffrey D. DeBoer, President and Chief Executive Officer, The Real Estate Roundtable
Public Comment Rep. Carolyn McCarthy, et al., Members of Congress
Public Comment Robert D. Atkinson, President, Information Technology & Innovation Foundation
Public Comment Robert Waters
Public Comment Sen. Kirsten E. Gillibrand, U.S. Senate
Public Comment The Norinchukin Bank, Japan
Public Comment William A. OMalley, CFA Managing Principal, Income Research & Management
Public Comment Christopher L. Rizik, Renaissance Venture Capital Fund
Public Comment Julie A. Spiezio, Senior Vice President, Insurance Regulation & Deputy General Counsel, American Council of Life Insurers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 24, 2012, meeting with representatives of the U.S. Chamber of Commerce
Public Comment Cleary Gottlieb Steen & Hamilton LLP, Davis Polk & Wardwell LLP, and Sullivan & Cromwell LLP
Public Comment George Osborne
Public Comment Jackie Speier, Member of Congress
Public Comment Len Canty, Black Economic Council; Jorge Corralejo, Latino Business Chamber of Greater LA; Faith Bautista, National Asian American Coalition, and Robert Gnaizda, Counsel
Public Comment Amy E. Koch, Director of Fixed Income Trading, Standish Mellon Asset Management Company LLC
Public Comment 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
Public Comment Alice W. Handy, President and CEO, Investsure LLC
Public Comment Tom Quaadman, Vice President, U.S. Chamber of Commerce, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

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