Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance

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Date Received
Date Letter Type Commenter Name
Public Comment Christopher A. Iacovella, President and Chief Executive Officer, American Securities Association
Public Comment Jennifer W. Han, Chief Legal Officer & Head of Global Regulatory Affairs, Managed Funds Association
Public Comment Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Public Comment Hon. J. Christopher Giancarlo, former Chair, CFTC; Hon. Sharon Brown-Hruska, former Acting Chair/Commissioner, CFTC; Hon. Steven Wallman, former Commissioner, SEC; Hon. Brian Quintenz former Commissioner, CFTC; Chester Spatt, former Chief Economist, SEC
Public Comment Andreessen Horowitz (a16z)
Public Comment DJ Adams, CEO, Thesis Market, Inc.
Public Comment Jody A. Cummings, General Counsel, Mashantucket Pequot Tribal Nation
Public Comment Adam Hosmer-Henner, Nevada Resort Association
Additional Files:
Public Comment Adrian Griffiths, Head of Market Structure, MEMX LLC
Public Comment Andrew R. Beatty, Head of Policy and Senior Regulatory Counsel, Gemini Space Station, Inc.
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Public Comment Bill Harrington, Senior Fellow, Croatan Institute
Public Comment Catalina Chacon, Vice Chairwoman and Rosemary Morillo, Treasurer, Tribal Alliance of Sovereign Indian Nations
Public Comment Che Downs, General Manager, Thunderbird Enterprises, Inc.
Public Comment Cody Carbone, Chief Executive Officer, Zunera Mazhar, Head of Policy and Government Affairs and Annemarie Tierney, Senior Strategic Adviser, The Digital Chamber
Public Comment Daniel Lasko, General Counsel, dYdX Trading Inc. dba dYdX Labs
Public Comment Derek Kleinbauer, President, Bloomberg SEF LLC
Public Comment Ember Richardson Arlynx (facilitator)
Public Comment Eric Seinsheimer, Director, Legal (Americas) & US CCO, Eurex Deutschland
Public Comment Graham Deese, Chief Regulatory Officer, ForecastEx LLC
Public Comment James Siva, Chairman, California Nations Indian Gaming Association
Public Comment JB Mackenzie, President, Robinhood Derivatives, LLC
Public Comment Jennifer Carroll, General Counsel, Ironlight Group, Inc.
Public Comment Joanna Mallers, Secretary, PTG
Public Comment John A. Zecca, Executive Vice President, Global Chief Legal, Risk & Regulatory Officer, Nasdaq, Inc.
Public Comment Jonathan Jachym, Global Head of Policy and Market Structure, Payward, Inc.
Public Comment Jonathan Marcus, Senior Managing Director and General Counsel, CME Group Inc.
Public Comment Kara Dutta, VP, Head of Legal, US Futures Exchanges & Clearing, Intercontinental Exchange Inc.
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Public Comment Kyle Brandon, Managing Director, Head of Derivatives Policy, SIFMA, William C. Thum, Managing Director and Associate General Counsel, SIFMA AMG, and Christopher Young, Head of U.S. Public Policy, ISDA
File Number
S7-2026-21
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