Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act; Comments on Proposed Rule: End-User Exception to Mandatory Clearing of Security-Based Swaps

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-69491 Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia
Public Comment 34-69491 Dr. Lutz-Christian Funke, Senior Vice President and Treasurer, and Dr. Frank Czichowski, Senior Vice President, KfW Bankengruppe, Germany
Public Comment 34-69491 Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-64017, 34-63107, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Public Comment 34-63556 Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
Public Comment 34-63825, 34-62717, 33-9204, 34-64766, 34-63346, 34-63556, 34-63557 ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
Public Comment 34-63825, 34-64017, 34-62717, 34-63107, 34-63236, 34-63346, 34-63347, 34-63452, 34-63556, 34-63557 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Meeting with SEC Officials 34-63452, 34-63556 Memorandum from the Division of Trading and Markets regarding a March 23, 2011, meeting with representatives from the Credit Union National Association and Chevron Federal Credit Union
Meeting with SEC Officials 34-63452, 34-63556 Memorandum from the Division of Trading and Markets regarding a March 18, 2011 Meeting with Representatives of Chatham Financial
Meeting with SEC Officials 34-63346, 34-63347, 34-63452, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc.
Public Comment 34-63556 Diana Preston, Vice President and Senior Counsel Center for Securities, Trust & Investments, American Bankers Association
Public Comment 34-63556 Frank Iacono, Partner, Riverside Risk Advisors LLC
Public Comment 34-63556 Kenneth Bentsen, Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Public Comment 34-63556 Susan Gaffney, Government Finance Officers Association, Washington, District of Columbia
Public Comment 34-63452, 34-63556 Timothy P. Selby, Chair, Committee on Futures and Derivatives Regulation, New York City Bar Association
Meeting with SEC Officials 34-61358, 34-63825, 34-63346, 34-63556 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies
Public Comment 34-63556 Americans for Financial Reform
Public Comment 34-63556 Cravath, Swaine & Moore LLP
Public Comment 34-63556 Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist; Better Markets, Inc.
Public Comment 34-63556 Gerald McEntee, President, American Federation of State, County and Municipal Employees
Public Comment 34-63556 Michael S. Edwards, Senior Assistant General Counsel, Credit Union National Association
Public Comment 34-63556 Tom Deutsch, Executive Director, American Securitization Forum
Public Comment 34-63556 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Public Comment 34-63556 Ralph S. Saul
Meeting with SEC Officials 34-63107, 34-63452, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets regarding a January 20, 2011 meeting with representatives of Citadel LLC
Meeting with SEC Officials 34-63452, 34-63556 Memorandum from the Division of Trading and Markets regarding a January 12, 2011 meeting with representatives of the National Association of Regulatory Utility Commissioners
Public Comment 34-63556 Chris Barnard, Germany
Public Comment 34-63452, 34-63556, 34-63557 Representative Spencer Bachus, Ranking Member, House Committee on Financial Services and Representative Frank Lucas, Ranking Member, House Committee on Agriculture
Meeting with SEC Officials 34-64017, 34-63107, 34-63556, 34-63557 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group
Meeting with SEC Officials 34-64017, 34-63107, 34-63556 Memorandum from the Office of Commissioner Walter regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group

Last Reviewed or Updated: Jan. 7, 2026

File Number
S7-43-10
Release Number
34-69491
34-63556
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