Comments on Proposed 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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Date Received
Date Letter Type Commenter Name
Public Comment Christine A. Bruenn, President, North American Securities Administrators Association
Public Comment Jose Arau, CFA, Principal Investment Officer, Corporate Governance Unit, CalPERS
Public Comment J. Virgil Mattingly, Jr., General Counsel, Board of Governors of the Federal Reserve System; 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
Public Comment Jeffrey Herbert, President and Chief Executive Officer, New York Clearing House Association L.L.C.
Public Comment Jeffrey S. Missman, Vice President, Compliance Director, Compliance Department, Commerce Bancshares, Inc.
Public Comment Joanne F. Shephard, Chairman, ICBA Regulation Review Committee, Independent Community Bankers of America
Public Comment Lawrence R. Uhlick, Executive Director and General Counsel, Institute of International Bankers
Public Comment Sarah A. Miller, American Bankers Association and the ABA Securities Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-41-02
Release Number
34-46745
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