Comments on Interim Final Rule: Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

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Comment
A: 15

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Date Received
Date Letter Type Commenter Name
Public Comment Elizabeth Shea Fries, P.C., Goodwin Procter LLP, on behalf of RMA -The Risk Management Association
Public Comment A. Pierce Stone, Chairman, Independent Community Bankers of America
Public Comment ABA Securities Association, American Bankers Association, America's Community Bankers, Bank Securities Association, The Financial Services Roundtable, Independent Community Bankers of America, The New York Clearing House Association L.L.C.
Public Comment Charlotte M. Bahin, Director of Regulatory Affairs, Senior Regulatory Counsel, America's Community Bankers
Public Comment Christiane G. Hyland, ACCU Executive Director, The Association of Corporate Credit Union
Public Comment James Delamater, President and CEO, Northeast Bank
Public Comment John F. Kozlowski, General Counsel, Ohio Credit Union System
Public Comment Robert M. Kurucza, General Counsel, Bank Securities Association, Partner, Morrison & Foerster LLP
Public Comment Scott T. Vandeventer, Executive Vice President and Chief Operating Officer, Evangelical Christian Credit Union
Public Comment Douglas F. Duerr, President and Chief Executive Officer, National Association of State Credit Union Supervisors
Public Comment J. Virgil Mattingly, General Counsel, Board of Governorsof the Federal Reserve; William F. Kroener, III, General Counsel, Federal Deposit Insurance Corporation; Julie L. Williams, First Senior Deputy Comptroller and Chief Counsel, Office of the Comptroller of the Currency; Board of Governors of the Federal Reserve Ssytem, Federal Deposit Insurance Corporation and Office of the Comptroller of the Currency
Public Comment Mary Mitchell Dunn, CUNA Senior Vice President and Associate General Counsel, Credit Union National Association
Public Comment Guy A. Messick, Lastowka & Messick, P.C.
Public Comment Fred R. Becker, Jr., President and CEO, National Association of Federal Credit Unions
Public Comment Dennis Dollar, Chairman, National Credit Union Administration
Public Comment Anthony J. Carfang, Partner, Treasury Strategies, Inc., Chicago, IL 60606
Public Comment Dean Hazelton, Chief Financial Officer, World Vision, Inc.
Public Comment Louise and Richard Browning, Philo, CA
Public Comment Kathryn A. Simpson, San Diego
Meeting with SEC Officials Memorandum of Mary S. Head, Counsel to Commissioner Cynthia A. Glasserman, regarding meeting held on February 13, 2002 with Bank of American and Banc of America Investment Securities Inc.
Meeting with SEC Officials Memorandum of Mary S. Head, Counsel to Commissioner Cynthia A. Glasserman, regarding meeting held on February 14, 2002 with the American Bankers Association and the American Bankers Association Securities Association
Public Comment Patricia Wood, President, Chittenden Securities Inc., Burlington, VT
Public Comment Walter C. Ayers, Executive Vice President, Virginia Bankers Association
Public Comment Scott Heinzman, Livonia, MI
Public Comment Joshua Tulecke Paulson, Yellow Springs, OH
Public Comment Nancy Millar, President, National Organization for Women-NYC
Public Comment Jeffrey P. Neubert, President and Chief Executive Officer, New York Clearing House Association LLC
Public Comment James D. Sourant, Senior Trust Officer, First National Bank of Anchorage
Public Comment 21 individuals of the Banking Law Committee of the Business Law Section of the American Bar Association
Public Comment A. Michelle Roberts, Executive Director, Trust Financial Services Division of the Texas Bankers Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-01
Release Number
34-44291
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