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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

[Release No. 34-63557; File No. S7-44-10]


Submitted Comments

(Click here for meetings with SEC officials)
Oct. 3, 2011 Larry E. Thompson, Managing Director and General Counsel, Depository Trust and Clearing Corporation
Sep. 8, 2011 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
Jun. 3, 2011 Alessandro Cocco, Managing Director, J.P.Morgan
May 6, 2011 The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation
Apr. 4, 2011 Scott Pintoff, General Counsel, GFI Group Inc.
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 17, 2011 Barclays Bank PLC, BNP Paribas S.A., Credit Suisse AG, Deutsche Bank AG, HSBC, Nomura Securities International, Inc., Rabobank Nederland, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Société Générale, The Toronto-Dominion Bank and UBS AG
Feb. 14, 2011 Dennis M. Kelleher, President and CEO, Stephen W. Hall, Securities Specialist, Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc.
Feb. 14, 2011 Americans for Financial Reform
Feb. 14, 2011 Tom Deutsch, Executive Director, American Securitization Forum
Feb. 14, 2011 Gerald McEntee, President, American Federation of State, County and Municipal Employees
Feb. 14, 2011 Kathleen Cronin, Managing Director, General Counsel and Corporate Secretary, CME Group, Inc.
Feb. 14, 2011 Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc.
Feb. 14, 2011 Roger Liddell, Chief Executive, LCH.Clearnet Group
Feb. 14, 2011 William H. Navin, Executive Vice President and General Counsel, The Options Clearing Corporation
Jan. 22, 2011 Naphtali M. Hamlet, Investor, Seattle, Washington
Jan. 21, 2011 Suzanne H. Shatto, Investor, Snohomish, Washington
Jan. 11, 2011 Davis Polk & Wardwell LLP, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Société Générale and UBS AG
Dec. 16, 2010 Representative Spencer Bachus, Ranking Member, House Committee on Financial Services and Representative Frank Lucas, Ranking Member, House Committee on Agriculture

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Feb. 6, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C.
Feb. 2, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA
Nov. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase
Sep. 29, 2011 Memorandum from the Division of Trading and Markets regarding a September 29, 2011 meeting with representatives of LCH.Clearnet and The Rich Feuer Group
Sep. 16, 2011 Memorandum from the Division of Trading and Markets regarding a September 16, 2011 telephone call with representatives of The Depository Trust Clearing Corporation
Jun. 23, 2011 Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs
May 10, 2010 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group
Apr. 20, 2011 Memorandum from the Office of Commissioner Aguilar regarding an April 20, 2011, meeting with representatives the International Swaps and Derivatives Association, Inc.
Apr. 5, 2011 Memorandum from the Division of Trading and Markets regarding an April 5, 2011, telephone meeting with representatives of CME Group Inc.
Mar. 29, 2010 Memorandum from the Division of Trading and Markets regarding a March 29, 2011 meeting with representatives of MarkitSERV, Markit, The Depository Trust Clearing Corporation and Winston & Strawn
Mar. 21, 2010 Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC
Mar. 16, 2011 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
Mar. 10, 2011 Memorandum from the Division of Trading and Markets regarding a Telephonic meeting with representatives from ICE Trust LLC
Mar. 3, 2011 Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of Better Markets, Inc.
Feb. 24, 2011 Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc.
Feb. 10, 2011 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
Feb. 1, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 31, 2011, meeting with representatives of Nomura
Jan. 20, 2010 Memorandum from the Division of Trading and Markets regarding a January 20, 2011 meeting with representatives of Citadel LLC
Jan. 14, 2011 Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with foreign bank representatives
Dec. 16, 2010 Memorandum from the Division of Trading and Markets regarding a December 16, 2010, telephone meeting with representatives of Citadel Investments and Kenneth Monahan

 

http://www.sec.gov/comments/s7-44-10/s74410.shtml

Modified: 10/16/2014