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 Sally Wong, Chief Executive Officer, Hong Kong Investment Funds Association
Public Comment Thomas S. Hodge, Chief Operating Officer, Frazier Healthcare Ventures
Public Comment Joan Budd
Public Comment 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
Public Comment Members of Congress
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 15, 2012, meeting with Paul A. Volcker
Public Comment Robert McCann, CEO; Mark S. Shelton, General Counsel; Darryll Hendricks Head of Strategy, Investment Bank; UBS Americas Inc., Stamford, Connecticut
Public Comment Senator Barbara Boxer, U.S. Senate
Public Comment E. Benjamin Nelson, United States Senator
Public Comment Ernest Seinfeld
Public Comment Jiri Krol, Director of Government and Regulatory AffairsThe Alternative Investment Management Association Limited
Public Comment John Gilbert
Public Comment Senators Thomas R. Carper, Pat Toomey, Mark Warner, Mike Crapo, Christopher Coons, and Scott Brown, United States Senate
Public Comment Duncan Fairweather, Chair, Finance Industry Council of Australia
Public Comment Duncan Fairweather, Chair, Financial Industry Council of Australia
Public Comment Kimberly Unger, Executive Director, The Security Traders Association of New York, Inc., New York, New York
Public Comment Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and James C. Allen, CFA, Head, Capital Markets Policy, CFA Institute
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 15, 2012, meeting with Professor Darrell Duffie
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a February 15, 2012, meeting with representatives of the Alternative Investment Management Association
Public Comment Pauline I. Yahr, Irvine, California
Public Comment Woodbine Associates, Stamford, Connecticut
Public Comment 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, Macys, Inc., Nissan Motor Acceptance Corporation, Qualcomm Incorporated, Safeway Inc., The Boeing Company, The Real Estate Roundtable
Public Comment Dave Donald
Public Comment Howard Delano
Public Comment Jonathan Dean
Public Comment Jordan Mechanic, Washington, D.C.
Public Comment Ramon Fernandez, Director, Direction Généerale du Trésor; Christian Noyer, Chairman, Autorité contrôle prudentiel; Jean-Pierre Jouyet, Chairman, Autorité des marchés financiers
Public Comment Remy
Public Comment Teri L. List-Stoll, Chair, Committee on Corporate Treasury, Financial Executives International
Public Comment Agustin Guillermo Carstens Carstens, Governor, Banco de Mexico

Last Reviewed or Updated: Dec. 18, 2025

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