Comments on Proposed Rule: Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations

Filter comments

Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase
Public Comment Larry E. Thompson, Managing Director and General Counsel, Depository Trust and Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 29, 2011 meeting with representatives of LCH.Clearnet and The Rich Feuer Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 16, 2011 telephone call with representatives of The Depository Trust Clearing Corporation
Public Comment 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs
Public Comment Alessandro Cocco, Managing Director, J.P.Morgan
Public Comment The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an April 20, 2011, meeting with representatives the International Swaps and Derivatives Association, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 5, 2011, telephone meeting with representatives of CME Group Inc.
Public Comment Scott Pintoff, General Counsel, GFI Group Inc.
Public Comment Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 16, 2011, telephonic meeting with Ed Rosen and Bob Colby on foreign bank issues
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a Telephonic meeting with representatives from ICE Trust LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 3, 2011, telephone meeting with representatives of Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc.
Public Comment Lanny Schwartz, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Societe Generale, and UBS AG
Public Comment Americans for Financial Reform
Public Comment Dennis M. Kelleher, President and CEO, Stephen W. Hall, Securities Specialist, Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc.
Public Comment Gerald McEntee, President, American Federation of State, County and Municipal Employees
Public Comment Kathleen Cronin, Managing Director, General Counsel and Corporate Secretary, CME Group, Inc.
Public Comment Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc.
Public Comment Roger Liddell, Chief Executive, LCH.Clearnet Group
Public Comment Tom Deutsch, Executive Director, American Securitization Forum
Public Comment William H. Navin, Executive Vice President and General Counsel, The Options Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 27, 2011, meeting of the OTC Derivatives Supervisors Group (ODSG) with major participants in the OTC derivatives market
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 31, 2011, meeting with representatives of Nomura
Public Comment Naphtali M. Hamlet, Investor, Seattle, Washington

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-44-10
Release Number
34-63557
How to submit comments