Comments on Proposed Rule: Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities

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Date Received
Date Letter Type Commenter Name
Public Comment Annette L. Nazareth, Director Division of Market Regulation
Public Comment Joseph Polizzotto, General Counsel, and David A. DeMuro, Global Head of Compliance and Regulation, of Lehman Brothers Inc.
Public Comment Laurie S. Schaffer, Vice President and Associate General Counsel, of Charles Schwab Corporation
Public Comment The Charles Schwab Corporation
Public Comment Michael J. Alix and Mark W. Holloway, Co-Chairs of CSE Steering Committee
Public Comment Stephen S. Crawford, Executive Vice President and Chief Financial Officer, of Morgan Stanley
Public Comment Richard H. Walker, General Counsel, Deutsche Bank AG and Charles Von-Arentschildt, President, Deutsche Bank Securities Inc.
Public Comment John C. Morris, Chief Financial Officer, Citigroup Global Markets, Inc.
Public Comment Marjorie E. Gross, Managing Director and Associate General Counsel, J.P. Morgan Chase & Co.
Public Comment James E. Gilleran, Director, Office of Thrift Supervision
Public Comment Karl-Heinz Boos, Executive Managing Director and Bjorn Christian Stein, Director Banking Supervision/Deposit Insurance, Bundesverband Öffentlichher Banken Deutschlands (Association of German Public Sector Banks)
Public Comment David Viniar, Chief Financial Officer, Goldman, Sachs & Co.
Public Comment Jeffrey P. Neubert, President and CEO, New York Clearing House Association L.L.C.
Public Comment Carlos M. Morales, Senior Vice President and Associate General Counsel, Merrill Lynch & Co., Inc.
Public Comment Beth L. Climo, American Bankers Association Securities Association
Public Comment David L. Mengle, Head of Research, International Swaps and Derivatives Association
Public Comment Lawrence R. Uhlick, Executive Director and General Counsel, Institute of International Bankers
Public Comment Nikolaus Bömcke, European Banking Federation
Public Comment Leonard D. Bole, L.D.B. Consulting, Inc.
Public Comment Bruno Falvo, Director, Margin Credit, BMO Financial Group
Public Comment W. Hardy Callcott
Meeting with SEC Officials Memorandum from Matthew J. Eichner, Assistant Director, Division of Market Regulation regarding a meeting with Merrill Lynch and Company
Public Comment Marshall J. Levinson, Senior Vice President, of Bear Stearns Companies Inc.
Meeting with SEC Officials Memorandum from Bonnie Gauch regarding December 16, 2003 meeting with the SIA and broker-dealer representatives

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-21-03
Release Number
34-48690
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