|
|
 |
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
[Release No. 34-93784; File No. S7-32-10]
|
|
|
| Dec. 16, 2021 | Aaron Abrams |
| Dec. 16, 2021 | Stefan Hazinakis, Radiation Therapist |
| Dec. 16, 2021 | Anonymous |
| Dec. 16, 2021 | Anonymous |
| Dec. 16, 2021 | Tom Vollerthun, Software Engineer |
| Dec. 16, 2021 | David E., Retail Investor |
| Dec. 16, 2021 | Anonymous |
| Dec. 16, 2021 | Justin Bennett |
| Dec. 16, 2021 | Anonymous |
| Dec. 16, 2021 | Homi Noidea |
| Dec. 16, 2021 | Kayden Fox, Engineer |
| Dec. 16, 2021 | John |
| Dec. 16, 2021 | ChurchMouse Consulting |
| Dec. 16, 2021 | Vance Meyring, Aerospace Machinist |
| Dec. 15, 2021 | Steve |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | George, General Manager |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Ronk, Retail Investor |
| Dec. 15, 2021 | Cory Woods |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Jaiden Baker |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Erik, Retail Investor |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Todd S. |
| Dec. 15, 2021 | Connor Michael Method |
| Dec. 15, 2021 | Martin W. |
| Dec. 15, 2021 | Evan |
| Dec. 15, 2021 | Joshua Zimmerman |
| Dec. 15, 2021 | Adam |
| Dec. 15, 2021 | Dustyn W. Erb |
| Dec. 15, 2021 | James Fox |
| Dec. 15, 2021 | Jeff |
| Dec. 15, 2021 | Amy Lewis |
| Dec. 15, 2021 | Stephan |
| Dec. 15, 2021 | Lindsay Meeks |
| Dec. 15, 2021 | Anonymous |
| Dec. 15, 2021 | Melissa Shaw, Commercial Solar Sales |
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
[Release No. 34-69491; File No. S7-32-10]
|
|
|
| Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| May 21, 2013 | Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association |
Meetings with SEC Officials
|
| Feb. 23, 2015 | Memorandum from the Division of Trading and Markets regarding a February 11, 2015, meeting with representatives of the Alternative Investment Management Association |
Comments on Proposed Rule: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps
[Release No. 34-63236; File No. S7-32-10]
See also: Comments on Dodd-Frank Act Title VII, Anti-Manipulation Protections
|
|
(Click here for meetings with SEC officials)
|
| Jul. 8, 2011 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Mar. 29, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Feb. 26, 2011 | Richard Painter |
| Jan. 27, 2011 | Suzanne H. Shatto, Investor, Snohomish, Washington |
| Jan. 18, 2011 | Beckwith B. Miller, CEO, Ethics Metrics LLC |
| Dec. 23, 2010 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Dec. 23, 2010 | Dennis M. Kelleher, President CEO, and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc., Washington, District of Columbia |
| Dec. 23, 2010 | Kenneth E. Bentsen, Jr., Securities Industry and Financial Markets Association and Robert G. Pickel, International Swaps and Derivatives Association, Inc. |
| Dec. 23, 2010 | Beckwith B. Miller, CEO, Ethics Metrics LLC |
| Dec. 23, 2010 | R. Bram Smith, Executive Director, The Loan Syndications & Trading Association |
| Dec. 16, 2010 | Laurel Leitner, Senior Analyst, Council of Institutional Investors |
| Dec. 14, 2010 | Anonymous |
| Dec. 14, 2010 | F. S. |
| Dec. 13, 2010 | Clifford Lee, Dallas, Texas |
| Nov. 21, 2010 | Chris Barnard, Germany |
| Nov. 10, 2010 | Bryan Maloney, Texas |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Mar. 13, 2012 | Memorandum from the Division of Trading and Markets regarding a January 12, 2012 meeting with representatives of the Loan Syndications and Trading Association |
| Aug. 31, 2011 | Memorandum from the Division of Trading and Markets regarding an August 31, 2011, meeting with representatives of Wilmer Hale |
| Apr. 1, 2011 | Memorandum from the Division of Trading and Markets regarding an April 1, 2011, conference call with representatives of the Managed Funds Association |
| Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011, conference call with representatives of the Securities Industry and Financial Markets Association and International Swap and Derivatives Association, Inc. |
| Mar. 2, 2011 | Memorandum from the Division of Trading and Markets regarding a March 2, 2011, conference call with representatives of the Managed Funds Association |
| Dec. 16, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of the Managed Funds Association |
| Dec. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the Managed Funds Association (MFA) |
http://www.sec.gov/comments/s7-32-10/s73210.shtml
|
