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Anti-Manipulation Protections:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See also: Comments on Proposed Rule: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps
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(Click here for meetings with SEC officials)
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| Oct. 16, 2012 | W. Lawrence Gilmer, Belmont, North Carolina |
| Sep. 12, 2011 | Christopher A. Klem, Ropes & Gray LLP |
| Sep. 8, 2011 | ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association |
| May 31, 2011 | Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce |
| May 4, 2011 | Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Feb. 3, 2011 | Gerald Donini, Barclays Capital Inc. |
| Nov. 1, 2010 | James Hill, Managing Director, Morgan Stanley |
| Oct. 27, 2010 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Sep. 17, 2010 | Reginangelo |
| Sep. 7, 2010 | Tony Waterer |
| Aug. 29, 2010 | Aldo Giacchino, Santa Cruz, California |
| Aug. 27, 2010 | Lorraine F. Fleury, Pollock Pines, California |
| Aug. 23, 2010 | Suzanne Shatto |
| Aug. 5, 2010 | Coalition for Derivatives End-Users |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia |
| Jul. 27, 2010 | Lewis E. Hutchison, Knoxville, Tennessee
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley |
| May 19, 2011 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 11, 2011 | Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA) |
| May 5, 2011 | Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al. |
| May 4, 2011 | Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB) |
| Apr. 21, 2011 | Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
| Mar. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc. |
| Mar. 25, 2011 | Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs |
| Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA) |
| Mar. 3, 2011 | Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB) |
| Mar. 1, 2011 | Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc |
| Feb. 18, 2011 | CFTC Phase-in Implementation Discussion |
| Dec. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a December 8, 2010, meeting with representatives from and members of the Managed Funds Association |
| Oct. 28, 2010 | Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association |
| Oct. 28, 2010 | Memorandum from the Division of Trading and Markets re: Phone Conference with Representatives of the Depository Trust and Clearing Corporation |
| Sep. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of Javelin Capital Markets, LLC |
| Sep. 22, 2010 | Memorandum from the Division of Trading and Markets re: U.S. Chamber of Commerce, Center for Capital Markets Competitiveness event on "Over the Counter (OTC) Derivatives Reform: Preparing for a Changing Marketplace." |
| Sep. 20, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with certain industry representatives |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (p.m.) with representatives of Morgan Stanley |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley |
| Sep. 15, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| Sep. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a September 1, 2010 meeting with representatives from the Conference of State Bank Supervisors ("CSBS"), the National Association of Insurance Commissioners ("NAIC"), and the North American Securities Administrators Association ("NASAA")" |
| Aug. 30, 2010 | Memorandum from the Division of Trading and Markets regarding an August 27, 2010 meeting with representatives of Americans for Financial Reform, et al. |
| Aug. 26, 2010 | Memorandum from the Division of Trading and Markets regarding an August 26, 2010 meeting with representatives of the International Swaps and Derivatives Association (ISDA) |
| Aug. 25, 2010 | Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al. |
| Aug. 25, 2010 | Memorandum from the Office of International Affairs regarding an August 25, 2010 meeting with a representative of the Institute of International Finance |
| Aug. 24, 2010 | Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of the National Association of College and University Business Officers (NACUBO) |
| Aug. 24, 2010 | Memorandum from the Office of International Affairs regarding an August 16, 2010 meeting with representatives of the Government of Singapore Investment Corporation |
| Aug. 23, 2010 | Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of D.E. Shaw |
| Aug. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 9, 2010 meeting with representatives of Americans for Financial Reform, et al. |
| Aug. 3, 2010 | Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association |
http://www.sec.gov/comments/df-title-vii/anti-manipulation-protections/anti-manipulation-protections.shtml
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