Comments on Proposed Rule: Customer Margin Rules Relating to Security Futures

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from Lisa N. Jones regarding June 28, 2002 SEC and CFTC staff meeting with the Securities Industry Association ("SIA") and Futures Industry Association ("FIA")
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with Securities Industry Association and the Futures Industry Association on May 10, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with the Options Clearing Corporation on May 3, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with New York Stock Exchange Inc. on April 26, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with Credit Suisse First Boston on February 19, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with Options Clearing Corporation on February 20, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with Rolfe & Nolan on February 21, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with SunGard on February 21, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re conversation with Nasdaq Liffe on February 15, 2002
Meeting with SEC Officials Memorandum by Lisa N. Jones re SEC and CFTC meeting with Securities Industry Association and the Futures Industry Association on February 7, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Chicago Board Options Exchange on February 5, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Chicago Board Options Exchange on January 10, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Chicago Board Options Exchange on January 23, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Goldman Sachs on January 3, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Morgan Stanley on January 18, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Morgan Stanley on January 25, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re conversation with Morgan Stanley on January 4, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re SEC and CFTC meeting with Securities Industry Association and the Futures Industry Association on January 23, 2002
Meeting with SEC Officials Memorandum by Hong-Anh Tran re SEC and CFTC meeting with Securities Industry Association and the Futures Industry Association on November 19, 2001
Meeting with SEC Officials Memorandum by Hong-Anh Tran re SEC meeting with Options Clearing Corporation on December 3, 2001
Meeting with SEC Officials Memorandum by Hong-Anh Tran re SEC meeting with Options Clearing Corporation on January 17, 2002
Public Comment John G. Gaine, President, The Managed Funds Association
Public Comment Bernard E. Klein, Hollywood, FL
Public Comment Susan Milligan, Options Clearing Corporation
Public Comment George Ruth, Chairman, Rules & Regulations Committee, Credit Division, Securities Industry Association
Public Comment William J. Brodsky, Chairman and Chief Executive Officer, Chicago, Board Options Exchange Incorporated
Public Comment James A. Gary, Executive Vice President, ABN AMRO Incorporated, Chicago, IL
Public Comment John M. Damgard, President, Futures Industry Association and Mark E. Lackritz, President, Securities Industry Association
Public Comment Kathleen M. Hamm, Director of Market Regulation, Senior Vice President- Regulation and Compliance, Nasdaq Liffe Markets, LLC, New York, NY
Public Comment Kenneth M. Rosenweig, Mayer, Brown & Platt, Chicago, IL

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-01
Release Number
34-44853
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