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Comments on Prohibition against Conflicts of Interest in Certain Securitizations
[Release No. 34-65355; File No. S7-38-11]
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(Click here for meetings with SEC officials)
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| Sep. 1, 2021 | Don Simon, Chief Operating Officer, Pentalpha Surveillance LLC |
| Dec. 21, 2015 | Wells M. Engledow, Vice President and Deputy General Counsel, Fannie Mae and Melinda Reingold, Vice President and Deputy General Counsel, Mortgage Securities, Freddie Mac |
| Jul. 28, 2014 | Sen. Jeffrey A. Merkley, et al., U.S. Senate |
| Sep. 7, 2012 | Som-lok Leung, Executive Director, The International Association of Credit Portfolio Managers |
| Jun. 28, 2012 | Som-lok Leung, Executive Director, The International Association of Credit Portfolio Managers |
| Jun. 28, 2012 | Gary Wee, Chief Investment Officer, Orchard Global Asset Management, Singapore |
| Jun. 20, 2012 | Ruulke Bagijn, CIO, Private Markets, PGGM Investments |
| May 21, 2012 | BlueCrest Capital Management (UK) LLP |
| Mar. 15, 2012 | Akshat Tewary, Esq., New York, New York |
| Feb. 13, 2012 | John R. Gidman, Association of Institutional Investors |
| Feb. 13, 2012 | Chris Ballinger, Group Vice President and Chief Financial Officer, Toyota Motor Credit Corporation |
| Feb. 13, 2012 | Tom Deutsch, Executive Director, American Securitization Forum |
| Feb. 13, 2012 | Americans for Financial Reform |
| Feb. 13, 2012 | Dennis M. Kelleher, President & CEO, Better Markets Inc. |
| Feb. 13, 2012 | Stephen M. Renna, Chief Executive Officer, Commercial Real Estate (CRE) Finance Council |
| Feb. 13, 2012 | Frank Polverino, Cadwalader, Wickersham & Taft LLP |
| Feb. 13, 2012 | Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable |
| Feb. 13, 2012 | Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee; Martin Fingerhut, Chair, Securitization and Structured Finance Committee |
| Feb. 13, 2012 | David Arkush, Director, Public Citizen's Congress Watch; Eric Fish, Fellow, Public Citizen's Litigation Group |
| Feb. 13, 2012 | Richard Hopkin, Managing Director, Association for Financial Markets in Europe (AFME); Nicholas de Boursac, Chief Executive Officer, Asia Securities Industry & Financial Markets Association (ASIFMA); Ruari Ewing, Director, Primary Markets, International Capital Market Association (ICMA) |
| Feb. 13, 2012 | Karrie McMillan, General Counsel, Investment Company Institute (ICI) |
| Feb. 13, 2012 | Richard A. Dorfman, Managing Director, Head of Securitization, The Securities Industry and Financial Markets Association (SIFMA); Christopher B. Killian, Managing Director, SIFMA |
| Feb. 10, 2012 | Stacy D. Lavin, General Counsel on behalf of Northwest Farm Credit Services, FLCA |
| Feb. 10, 2012 | James J. Hill, Managing Director, Morgan Stanley |
| Feb. 9, 2012 | R. Bram Smith, Executive Director, The Loan Syndications & Trading Association (LSTA) |
| Feb. 9, 2012 | Anonymous |
| Feb. 9, 2012 | Salvatore P. Palazzolo, Deutsche Bank |
| Feb. 8, 2012 | Mary Jane Sutliff |
| Feb. 6, 2012 | Som-lok Leung, Executive Director, International Association of Credit Portfolio Managers |
| Feb. 3, 2012 | Stef Zielezienski, Senior VP and General Counsel, American Insurance Association, and Tracey W. Laws, Senior Vice President & General Counsel, Reinsurance Association of America |
| Jan. 17, 2012 | Stephen H. McElhennon, Vice President and Deputy General Counsel, Legal Department, Federal National Mortgage Association ("Fannie Mae") |
| Jan. 12, 2012 | Senators Jeff Merkley and Carl Levin, U.S. Senate |
| Jan. 12, 2012 | Kathleen G. Luckard, Los Angeles, California |
| Jan. 9, 2012 | Hendrik R. Woods, Illinois |
| Dec. 29, 2011 | Anonymous |
| Dec. 28, 2011 | Mark Page, Director of Management and Budget, The City of New York, New York, New York |
| Dec. 23, 2011 | James L. Nemec, Wausau, Wisconsin |
| Dec. 2, 2011 | Akshat Tewary, Esq., New York, New York |
| Nov. 30, 2011 | Frank J. Ricketson, Tow, Texas |
| Oct. 14, 2011 | Olivier L. F. Asser, Lugano Capital Group |
| Oct. 11, 2011 | Leah Rottke, El Cajon, California |
| Oct. 8, 2011 | Suzanne H. Shatto, Seattle, Washington |
| Sep. 30, 2011 | Chris Barnard, Germany |
| Sep. 28, 2011 | Jeff Bohning, Hurst, Texas |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 19, 2016 | Memorandum from the Division of Trading and Markets regarding a December 19, 2016, meeting with representatives of Bass Berry and Sims, Loomis, Sayles and Company, and PentAlpha |
| Mar. 24, 2015 | Memorandum from the Division of Trading and Markets regarding a March 24, 2015 meeting with representatives from the FHFA, Frannie Mae, and Freddie Mac |
| Nov. 7, 2013 | Memorandum from the Division of Trading and Markets regarding a November 7, 2013 meeting with a representative of PGGM |
| Aug. 14, 2012 | Memorandum from the Division of Trading and Markets regarding an August 14, 2012 call with members of the International Association of Credit Portfolio Managers (IACPM), Citigroup, Deutsche Bank and Sullivan & Cromwell |
| May 30, 2012 | Memorandum from the Division of Trading and Markets regarding a May 30, 2012 conference call with representatives of the Federal Housing Finance Agency |
| May 14, 2012 | Memorandum from the Division of Trading and Markets regarding a May 14, 2012 meeting with representatives from the Department of the Treasury and the Federal Housing Finance Agency |
| Apr. 25, 2012 | Memorandum from the Division of Trading and Markets regarding an April 25, 2012 meeting with members of the International Association of Credit Portfolio Managers (IACPM), Citigroup, Deutsche Bank and Sullivan & Cromwell |
| Apr. 17, 2012 | Memorandum from the Division of Trading and Markets regarding an April 17, 2012 meeting with members of SIFMA, Skadden, Bank of America, JP Morgan, Citi and Morgan Stanley |
| Dec. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of Morgan Stanley & Co., LLC and Cleary, Gottlieb, Steen & Hamilton |
http://www.sec.gov/comments/s7-38-11/s73811.shtml
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