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Comments on Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
[Release No. 34-65545; File No. S7-41-11]
See also: Comments for Dodd Frank Act Title VI, Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds
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| Comments have been received from individuals and entities using the following Letter Type A: 608 |
| Comments have been received from individuals and entities using the following Letter Type B: 15,839 |
| Comments have been received from individuals and entities using the following Letter Type C: 16 |
| Comments have been received from individuals and entities using the following Letter Type D: 1,737 |
| Comments have been received from individuals and entities using the following Letter Type E: 46,883 |
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(Click here for meetings with SEC officials)
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| Dec. 9, 2013 | William Frederick Derbyshire |
| Dec. 4, 2013 | Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, The Real Estate Roundtable, The U.S. Chamber of Commerce |
| Dec. 3, 2013 | Robert Toomey, Managing Director and Associate General Counsel, SIFMA |
| Nov. 25, 2013 | David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Nov. 21, 2013 | Dennis Kelleher, President & CEO, Better Markets, Inc. |
| Nov. 21, 2013 | Dennis Kelleher, President & CEO; David Frenk, Director of Research; and Caitlin Kline, Derivatives Specialist; Better Markets, Inc., Washington, District of Columbia |
| Nov. 7, 2013 | David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Oct. 31, 2013 | Aaron Klein, Director, Financial Regulatory Reform Initiative, Bipartisan Policy Center |
| Oct. 30, 2013 | Aaron Klein, Director, Financial Regulatory Reform Initiative, Bipartisan Policy Center |
| Oct. 24, 2013 | Capital Markets Task Force, Bipartisan Policy Center |
| Oct. 24, 2013 | Suzanne Shatto |
| Sep. 25, 2013 | Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Jun. 5, 2013 | Ralph S. Saul |
| Jun. 4, 2013 | Americans for Financial Reform |
| Dec. 10, 2012 | David Hirschmann, President and CEO, Center for Capital Markets Competitiveness, and Myron Brilliant, Senior Vice President, International Affairs, U.S. Chamber of Commerce |
| Dec. 3, 2012 | Brandon Reddick |
| Nov. 17, 2012 | Robert E. Rutkowski |
| Nov. 16, 2012 | Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Nov. 16, 2012 | Americans for Financial Reform |
| Nov. 13, 2012 | John Gidman, President, Association of Institutional INVESTORS |
| Nov. 9, 2012 | Phillip Gillespie, State Street Global Advisors |
| Oct. 22, 2012 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
| Sep. 7, 2012 | John Gidman, President, Association of Institutional INVESTORS |
| Sep. 7, 2012 | Howard Marsh, Managing Director and Head of the Municipal Securities Division, Citigroup Global Markets Inc. |
| Aug. 31, 2012 | Brackett B. Denniston III, Senior Vice President and General Counsel, GE Company, and David G. Nason, Vice President, GE Company, Chief Regulatory Officer, GE Capital |
| Aug. 23, 2012 | Tom Deutsch, Executive Director, American Securitization Forum |
| Jul. 27, 2012 | Tom Deutsch, Executive Director, American Securitization Forum |
| Jul. 24, 2012 | Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Jul. 5, 2012 | R. Bram Smith, Executive Director, Loan Syndications and Trading Association, New York, New York |
| Jun. 19, 2012 | Dennis Kelleher, President and CEO and Marc Iarsulic, Chief Economist, Better Markets, Inc., Washington, District of Columbia |
| Jun. 12, 2012 | Michael Pettit |
| Jun. 10, 2012 | Gerard Allen Hinson |
| Jun. 8, 2012 | Stephen Brancaccio |
| May 24, 2012 | Jeanne Shaheen, United States Senator |
| May 21, 2012 | Richard A. Dorfman, Managing Director, Head of Securitization, and Christopher B. Killian, Managing Director, SIFMA |
| May 17, 2012 | Jeff A. Merkley and Carl Levin, Unites States Senate |
| May 14, 2012 | Ben Tamlyn, New York, New York |
| May 4, 2012 | Henry T. Bernstein |
| Apr. 30, 2012 | Rep. Earl Blumenauer, et al., U.S. House of Representatives |
| Apr. 30, 2012 | Denise L. Nappier, Treasurer of the State of Connecticut, Hartford, Connecticut |
| Apr. 26, 2012 | Sen. Jeffrey A. Merkley, et al., United States Senate |
| Apr. 27, 2012 | S. Kaplan |
| Apr. 23, 2012 | David Lawton, Acting Director of Markets, Financial Services Authority, London, United Kingdom |
| Apr. 19, 2012 | J. Scott Colesanti, Associatiate Professor of Legal Writing, and Melissa Cefalu, David Feldman, Alexander Sand, Le-el Sinai, and Judd Taback, Law Students, Hofstra University |
| Apr. 16, 2012 | Stephen S. Roach, Senior Fellow, Yale University |
| Apr. 13, 2012 | Sen. Sherrod Brown and Sen. Tom Harkin, U.S. Senators |
| Apr. 12, 2012 | Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association, Inc. |
| Apr. 9, 2012 | Ralph S. Saul |
| Mar. 28, 2012 | Mike Nicholas, Chief Executive Officer, Bond Dealers of America |
| Mar. 26, 2012 | Timothy Peters, Boise, Idaho |
| Mar. 23, 2012 | Susan S. Chang, Chairperson for and on behalf of The Bankers Association of the Republic of China |
| Mar. 21, 2012 | Tom Deutsch, Executive Director, American Securitization Forum |
| Mar. 20, 2012 | Sen. Carl Levin, U.S. Senate |
| Mar. 19, 2012 | Peter Pang, Chairman, Executive Board, Treasury Markets Association, Hong Kong |
| Mar. 16, 2012 | Rep. James A. Himes, U.S. House of Representatives |
| Mar. 16, 2012 | Robert P. Casey, Jr., United States Senator |
| Mar. 15, 2012 | Akshat Tewary, Esq., New York, New York |
| Mar. 12, 2012 | Louise Milone, Decatur, Georgia |
| Mar. 12, 2012 | Sarah Magee, Providence, Kentucky |
| Mar. 12, 2012 | Christopher Wilson, Torrance, California |
| Mar. 11, 2012 | John Albin, New York, New York |
| Mar. 10, 2012 | John Baka, San Francisco, California |
| Mar. 10, 2012 | Kathy Propst-Dasilva, Garden Grove, California |
| Mar. 10, 2012 | Lew Douglas, Oakland, California |
| Mar. 10, 2012 | Janine Nichols, Brooklyn, New York |
| Mar. 9, 2012 | Steve Israel, Member of Congress |
| Mar. 9, 2012 | Securities Industry and Financial Markets Association, American Bankers Association, The Financial Services Roundtable, and The Clearing House Association |
| Mar. 9, 2012 | David Goldschmidt, Princeton, New Jersey |
| Mar. 9, 2012 | Lucy Subhasiriwatana, New york, New York |
| Mar. 9, 2012 | Richard Malato, Chicago, Illinois |
| Mar. 9, 2012 | Michael Glynn, Durham, North Carolina |
| Mar. 8, 2012 | Enrico Petrucco, Schenectady, United States Minor Outlying Islands |
| Mar. 8, 2012 | Christopher Glasspool, Chelan, Washington |
| Mar. 7, 2012 | Keith Jones, South Amboy, New Jersey |
| Mar. 7, 2012 | Ryan Huggins, Merriam, Kansas |
| Mar. 7, 2012 | Sandra Ryan, Houston, Texas |
| Mar. 6, 2012 | Demetri Kofinas, Washington, District of Columbia |
| Mar. 5, 2012 | Brody Bothwell, Pelham, Alabama |
| Mar. 5, 2012 | Gordon Anderson, Houston, Texas |
| Mar. 3, 2012 | Patrick Regan, Munich, Germany |
| Feb. 28, 2012 | Manuel Sager, Ambassador, Embassy of Switzerland in the United States of America |
| Feb. 27, 2012 | Bob Goodlatte, Member of Congress |
| Feb. 28, 2012 | Juan Pablo Arango Arango, Superintendente Financiero de Colombia |
| Feb. 26, 2012 | Benedetta A. Kissel, Retired Attorney, Arlington, Virginia |
| Feb. 25, 2012 | George Determann, Louisville |
| Feb. 24, 2012 | Senator Michael F. Bennet, U.S. Senate |
| Feb. 23, 2012 | Andrew Reyburn, Michigan |
| Feb. 21, 2012 | Margrethe Vestager, Minister of Economic Affairs and the Interior, Denmark, and President, EU Council of Ministers |
| Feb. 21, 2012 | Abbott Laboratories, American Insurance Corporation, Anadarko Petroleum Corporation, Arch Coal, Inc., Association for Financial Professionals, Business Roundtable, Caterpillar Inc., Chesapeake Energy Corporation, Convergys, Darden Restaurants, Inc., Devon Energy Corporation, DuPont Co., Eaton Corporation, Financial Executives International, FMC, GE, Goodrich, HCA, Macy's Inc., Motorola Solutions, National Association of Corporate Treasurers, National Association of Manufacturers, Nissan Motor Acceptance Corporation, Qualcomm Incorporated, Safeway Inc., The Boeing Company, The Real Estate Roundtable, The U.S. Chamber of Commerce, UPS, Yocum Oil Company, Inc. |
| Feb. 20, 2012 | Thomas S. Hodge, Chief Operating Officer, Frazier Healthcare Ventures |
| Feb. 20, 2012 | Sally Wong, Chief Executive Officer, Hong Kong Investment Funds Association |
| Feb. 19, 2012 | Joan Budd |
| Feb. 17, 2012 | Gary C. Peters, Joseph Crowley, Jared Polis, Ron Kind, Cedric L. Richmond, James P. Moran, Adam Smith, Gwen Moore, Allyson Schwartz, Carolyn McCarthy, William L. Owens, Jason Almire, John Barrow, Russ Carnahan, John C. Carney, Jr., Ed Perlmutter, Loretta Sanchez, Gerald E. Connolly, Lois Capps, Adam B. Schiff, Kurt Schrader, Jay Inslee, Rick Larsen, Karen Bass, and Mike Quigley |
| Feb. 17, 2012 | Senator Barbara Boxer, U.S. Senate |
| Feb. 17, 2012 | Robert McCann, CEO; Mark S. Shelton, General Counsel; Darryll Hendricks
Head of Strategy, Investment Bank; UBS Americas Inc., Stamford, Connecticut |
| Feb. 17, 2012 | Members of Congress |
| Feb. 16, 2012 | Senators Thomas R. Carper, Pat Toomey, Mark Warner, Mike Crapo, Christopher Coons, and Scott Brown, United States Senate |
| Feb. 16, 2012 | E. Benjamin Nelson, United States Senator |
| Feb. 16, 2012 | John Gilbert |
| Feb. 16, 2012 | Jiri Krol, Director of Government and Regulatory AffairsThe Alternative Investment Management Association Limited |
| Feb. 16, 2012 | Ernest Seinfeld |
| Feb. 15, 2012 | Duncan Fairweather, Chair, Financial Industry Council of Australia |
| Feb. 15, 2012 | Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, and James C. Allen, CFA, Head, Capital Markets Policy, CFA Institute |
| Feb. 15, 2012 | Kimberly Unger, Executive Director, The Security Traders Association of New York, Inc., New York, New York |
| Feb. 15, 2012 | Pauline I. Yahr, Irvine, California |
| Feb. 15, 2012 | Duncan Fairweather, Chair, Finance Industry Council of Australia |
| Feb. 15, 2012 | Woodbine Associates, Stamford, Connecticut |
| Feb. 14, 2012 | Abbott Laboratories, American Insurance Association, Anadarko Petroleum Corporation, Arch Coal, Inc., Association for Financial Professional, Business Roundtable, Caterpillar Inc, Chesapeake Energy Corporation, Convergys, Darden Restaurants, Inc., Devon Energy Corporation, Dominion Resources Inc., DuPont Co., Eaton Corporation, Financial Executives International, FMC, GE, Goodrich, HCA, Macy’s, Inc., Nissan Motor Acceptance Corporation, Qualcomm Incorporated, Safeway Inc., The Boeing Company, The Real Estate Roundtable |
| Feb. 14, 2012 | Teri L. List-Stoll, Chair, Committee on Corporate Treasury, Financial Executives International |
| Feb. 14, 2012 | Dave Donald |
| Feb. 14, 2012 | Remy |
| Feb. 14, 2012 | Jordan Mechanic, Washington, D.C. |
| Feb. 14, 2012 | Jonathan Dean |
| Feb. 14, 2012 | Ramon Fernandez, Director, Direction Généerale du Trésor; Christian Noyer, Chairman, Autorité contrôle prudentiel; Jean-Pierre Jouyet, Chairman, Autorité des marchés financiers |
| Feb. 14, 2012 | Howard Delano |
| Feb. 13, 2012 | Nixon Peabody LLP submitted on behalf of PNC Bank, National Association and Royal Bank of Canada |
| Feb. 13, 2012 | Michael A. Mazzuchi and Paul R. St. Lawrence, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Apollo Global Management LLC, Babson Capital Management LLC, Bank of America Merrill Lynch, CIFC, Citigroup Global Markets Inc., Crescent Capital Group, Deutsche Bank AG, Doral Bank, Golub Capital, GSO/Blackstone Debt Funds Management LLC, Halcyon Asset Management LLC, JPMorgan Chase & Co., Morgan Stanley, Prudential Fixed Income, WCAS Fraser Sulitvan Investment Management LLC, Wells Fargo & Company |
| Feb. 13, 2012 | Bob Corker, United States Senator |
| Feb. 13, 2012 | Carolann Jensen, Chief Administration Officer, Iowa Finance Authority |
| Feb. 13, 2012 | Brandon Becker, Executive Vice President and Chief Legal Officer, TIAA-CREF |
| Feb. 13, 2012 | David Aronoff, Jeff Bussgang, Michael Greeley, Chip Hazard, and Jon Karlen, General Partners, Flybridge Capital Partners |
| Feb. 13, 2012 | Thomas M. Graf, Executive Director, Massachusetts Educational Financing Authority |
| Feb. 13, 2012 | Dan Waters, Managing Director, ICI Global |
| Feb. 13, 2012 | Kenneth W. Anderson, Jr., Commissioner, Public Utility Commission of Texas |
| Feb. 13, 2012 | Christopher Holt, General Counsel, Clark Consulting |
| Feb. 13, 2012 | Kelvin Anderson, President, OptumHealth Bank |
| Feb. 13, 2012 | Paul Schott Stevens, President & CEO, Investment Company Institute |
| Feb. 13, 2012 | Barbara Novick, Vice Chairman, and Matthew J. Mallow, General Counsel, BlackRock, Inc. |
| Feb. 13, 2012 | Margaret Risk |
| Feb. 13, 2012 | Robert M. Williamson |
| Feb. 13, 2012 | Rhoda Schermer |
| Feb. 13, 2012 | G. L. Lawton |
| Feb. 13, 2012 | Doub Grinbergs |
| Feb. 13, 2012 | Anonymous |
| Feb. 13, 2012 | Eugenia Kuttler |
| Feb. 13, 2012 | Paul B. Bellamy |
| Feb. 13, 2012 | E. Schmidt |
| Feb. 13, 2012 | Tina Gregory |
| Feb. 13, 2012 | Jim Steitz |
| Feb. 13, 2012 | Americans for Financial Reform |
| Feb. 13, 2012 | Douglas Lowenstein, President, Private Equity Growth Capital Council |
| Feb. 13, 2012 | Janet Cowell, State Treasurer of North Carolina |
| Feb. 13, 2012 | Americans for Financial Reform |
| Feb. 13, 2012 | Patrick J. Foye, Executive Director, Port Authority of New York and New Jersey |
| Feb. 13, 2012 | Senators Jeff Merkley and Carl Levin, U.S. Senate |
| Feb. 13, 2012 | Joanne De Laurentiis, President and CEO, Investment Funds Institute of Canada |
| Feb. 13, 2012 | Paul Voisin, Chief Executive Officer, Natixis Asset Management |
| Feb. 13, 2012 | Angela Knight, Chief Executive, British Bankers' Association |
| Feb. 13, 2012 | Katten Muchin Rosenman LLP |
| Feb. 13, 2012 | Anat R. Admati, George G.C. Parker Professor of Finance and Economics, and and Paul Pfleiderer, C.O.G. Miller Distinguished Professor of Finance, Graduate School of Business, Stanford University, Stanford, California |
| Feb. 13, 2012 | Andre, NY |
| Feb. 13, 2012 | Brian Leach, Chief Risk Officer, Citigroup Inc. |
| Feb. 13, 2012 | Russell Wasson, Director of Tax, Finance and Accounting Policy, The National Rural Electric Cooperative Association |
| Feb. 13, 2012 | Richard H. Baker, President and CEO, Managed Funds Association |
| Feb. 13, 2012 | John F.W. Rogers, Chief of Staff, The Goldman Sachs Group, Inc. |
| Feb. 13, 2012 | John F.W. Rogers, Chief of Staff, The Goldman Sachs Group, Inc. |
| Feb. 13, 2012 | Trabue Bland, Vice President, Regulatory Affairs and Assistant General Counsel, IntercontinentalExchange, Inc. |
| Feb. 13, 2012 | Mary Dent, General Counsel, SVB Financial Group |
| Feb. 12, 2012 | Louis S. Citron, Chief Legal Officer, New Enterprise Associates, Inc. |
| Feb. 13, 2012 | Agustin Guillermo Carstens Carstens, Governor, Banco de Mexico |
| Feb. 13, 2012 | Simon Johnson |
| Feb. 13, 2012 | David Stepp, Venrock |
| Feb. 13, 2012 | Stephen B. Tracy and Tony Grappone, Novogradac & Company LLP on behalf of the Renewable Energy Tax Credit Working Group |
| Feb. 13, 2012 | Allen & Overy LLP |
| Feb. 13, 2012 | Dennis M. Kelleher, President and CEO, Better Markets Inc. |
| Feb. 13, 2012 | Andy Rappaport, August Capital |
| Feb. 13, 2012 | Payson F. Swaffield, CFA, Chief Income Investment Officer, Eaton Vance Management |
| Feb. 13, 2012 | IHS Inc. |
| Feb. 13, 2012 | Ken Taymor, Executive Director, Berkeley Center for Law, Business and the Economy, University of California, Berkeley |
| Feb. 13, 2012 | Garth B. Rieman, Director of Housing Advocacy and Strategic Initiatives, National Council of State Housing Agencies |
| Feb. 13, 2012 | David Love, Director, Policy and International Affairs, Australian Financial Markets Association |
| Feb. 13, 2012 | James L. McIntire, Washington State Treasurer |
| Feb. 13, 2012 | Novogradac & Company LLP, on behalf of the Low Income Housing Tax Credit Working Group |
| Feb. 13, 2012 | Andrea Psoras |
| Feb. 13, 2012 | Mark A. Standish, Co-Group Head, Capital Markets, Royal Bank of Canada |
| Feb. 13, 2012 | Tony Burke, Policy Director, Australian Bankers' Association Inc. |
| Feb. 13, 2012 | Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Investments |
| Feb. 13, 2012 | Russell Goldsmith, Chairman, Midsize Bank Coalition of America |
| Feb. 13, 2012 | Michael J. Novogradac and Brad Elphick, Novogradac & Company LLP |
| Feb. 13, 2012 | Martin L. Flanagan, President and Chief Executive Officer, Invesco Ltd. |
| Feb. 13, 2012 | Carlos Serrano, Vice President for Regulatory Policy, Comision Nacional Bancaria y de Valores (National Banking and Securities Commission - Mexico) |
| Feb. 13, 2012 | Stephen M. Renna, Chief Executive Officer, Commercial Real Estate Finance Council |
| Feb. 13, 2012 | Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable |
| Feb. 13, 2012 | Patrick J. McCoy, Director - Finance, The Metropolitan Transportation Authority of the State of New York |
| Feb. 13, 2012 | Terry Campbell, President & Chief Executive Officer, Association Des Banquiers Canadiens (Canadian Bankers Association) |
| Feb. 13, 2012 | Craig S. Donohue, Chief Executive Officer, CME Group |
| Feb. 13, 2012 | Colm Kelleher, Co-President, Institutional Securities Group, and Jim Rosenthal, Chief Operating Officer, Morgan Stanley |
| Feb. 13, 2012 | Robert Johnson, Executive Director, Senior Fellow and Director of Global Finance, Roosevelt Institute, and Joseph Stiglitz |
| Feb. 13, 2012 | Matthew Richardson, NYU Stern School of Business |
| Feb. 13, 2012 | Robert L. Megna, New York State Division of the Budget |
| Feb. 13, 2012 | Andrew F. Barth, Chairman, Capital Guardian Trust Company and Paul G. Haaga, Jr., Chairman, Capital Research and Management Company, The Capital Group Companies, Inc. |
| Feb. 13, 2012 | Robert M. Kimmitt and Russell J. Bruemmer, WilmerHale |
| Feb. 13, 2012 | Allen & Overy LLP, on behalf of Bank of Montréal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, National Bank of Canada, The Royal Bank of Canada, and The Toronto-Dominion Bank |
| Feb. 13, 2012 | Allen & Overy LLP, on behalf of Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, Deutsche Bank AG, HSBC Global Asset Management, Royal Bank of Canada, Société Générale, Standard Chartered Bank, and The Toronto-Dominion Bank |
| Feb. 13, 2012 | Michael A. Mazzuchi and Paul R. St. Lawrence, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Apollo Global Management, LLC, Babson Capital Management LLC, Bank of America, Merrill Lynch, CIFC, Citigroup Global Markets, Inc., Crescent Capital Group, Deutsche Bank AG, Doral Bank, Golub Capital, GSO / Blackstone Debt Funds Management LLC, Halcyon Asset Management LLC, JPMorgan Chase & Co., Morgan Stanley, WCAS Fraser Sullivan Investment Management, LLC, and Wells Fargo & Company |
| Feb. 13, 2012 | David Oestreicher, Vice President and Chief Legal Counsel, T. Rowe Price Associates, Inc.; Christine M. Morgan, Vice President and Managing Legal Counsel, T. Rowe Price Associates, Inc.; Jonathan D. Siegel, Vice President and Senior Legal Counsel, T. Rowe Price Associates, Inc. |
| Feb. 13, 2012 | Katten Muchin Rosenman LLP |
| Feb. 13, 2012 | Chris Ballinger Group Vice President & Chief Financial Officer, Toyota Motor Credit Corporation |
| Feb. 13, 2012 | Peter G. Mugo, Massachusetts Mutual Life Insurance Company |
| Feb. 13, 2012 | Country Financial, Mutual of Omaha, Nationwide Mutual Insurance Company, Principal Financial Group, The Prudential Insurance Company of America, State Farm Mutual Automobile Insurance Company, TIAA-CREF, Westfield Group |
| Feb. 13, 2012 | Michael Sacks Chief Executive Officer, Grovesnor Capital Management, LP |
| Feb. 13, 2012 | Michael E. Cahill, General Counsel, The TCW Group, Inc.; and Sean Plater, Associate General Counsel, The TCW Group, Inc. |
| Feb. 13, 2012 | Frank Pignanelli, Executive Director, National Association of industrial Bankers; Bill Himpler, Executive Vice President, the American Financial Services Association; Bill Uffelman, President & Chief Executive Officer, the Nevada Bankers Association; and Howard Headlee, President, the Utah Bankers Association |
| Feb. 13, 2012 | Gus Sauter Chief Investment Officer, Vanguard; and Bob Auwaerter, Head of Fixed Income, Vanguard |
| Feb. 13, 2012 | Allen & Overy LLP |
| Feb. 13, 2012 | Phillip Gillespie, State Street Global Advisors |
| Feb. 13, 2012 | Edward P. O'Keefe, Executive Vice President, General Counsel, Bank of America |
| Feb. 13, 2012 | David Arkush, Director, Public Citizen's Congress Watch; and Bartlett Naylor
Financial Policy Advocate, Public Citizen's Congress Watch |
| Feb. 13, 2012 | Steven Alan Bennett, Executive Vice President, General Counsel & Corporate Secretary, United Services Automobile Association |
| Feb. 13, 2012 | Allen & Overy LLP |
| Feb. 13, 2012 | Michael S. Whitman, Principal and Founder, Stuyvesant Trading Group, LLC , New York, New York |
| Feb. 13, 2012 | The PNC Financial Services Group, Inc., U.S. Bancorp, Capital One Financial Corporation, SunTrust Banks, Inc., Branch Banking and Trust Company, Fifth Third Bancorp, Regions Financial Corporation, KeyCorp |
| Feb. 13, 2012 | Tom Deutsch, Executive Director, American Securitization Forum |
| Feb. 13, 2012 | American Public Power Association, Council of Infrastructure Financing Authorities, Government Finance Officers Association, Education Finance Council, International City/County Management Association, International Municipal Lawyers Association, Large Public Power Council, National Association of Counties, National Association of Health and Educational Facilities Finance Authorities, National Association of Local Housing Finance Agencies, National Association of State Auditors, Comptrollers and Treasurers, National Association of State Treasurers, National Conference of State Legislatures, National Council of State Housing Agencies, National League of Cities
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| Feb. 13, 2012 | James M. Strother, Senior Executive Vice President and General Counsel, Wells Fargo |
| Feb. 13, 2012 | James M. Strother, Senior Executive Vice President and General Counsel, Wells Fargo |
| Feb. 13, 2012 | Wayne A. Abernathy, Executive Vice President of Financial Institutions Policy and Regulatory Affairs, American Bankers Association |
| Feb. 13, 2012 | Kristin H.R. Franceschi, President, National Association of Bond Lawyers |
| Feb. 13, 2012 | Ernest C. Goodrich Jr., Managing director - Legal Department, Deutsche Bank AG; and Salvatore P. Palazzolo, Managing Director - Legal Department, Deutsche Bank AG |
| Feb. 13, 2012 | Ernest C. Goodrich Jr., Managing director - Legal Department, Deutsche Bank AG; and Salvatore P. Palazzolo, Managing Director - Legal Department, Deutsche Bank AG |
| Feb. 13, 2012 | Julie H. Hertzog, Executive Director, The Affordable Housing Investors Council |
| Feb. 13, 2012 | Hal S. Scott, Director, Committee on Capital Markets Regulation |
| Feb. 13, 2012 | Frank Keating, President & CEO, American Bankers Association |
| Feb. 13, 2012 | Sarah A. Miller, Chief Executive Officer, Institute of International Bankers and Guido Ravoet, Secretary General, European Banking Federation |
| Feb. 13, 2012 | Tom Deutsch, Executive Director, American Securitization Forum |
| Feb. 13, 2012 | Fixed Income Forum and Credit Roundtable, New York, New York |
| Feb. 13, 2012 | Ryan K. Brist, Head of U.S. High Grade Credit, and Stephen A. Walsh, Chief Investment Officer, Western Asset Management Company |
| Feb. 13, 2012 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Feb. 13, 2012 | Monique S. Botkin, Assistant General Counsel, Investment Adviser Association |
| Feb. 13, 2012 | Nobuyuki Hirano, Deputy President, Mitsubishi UFJ Financial Group, Inc. |
| Feb. 13, 2012 | Angelo R. Aldana, General Manager, Mizuho Corporate Bank, Ltd. |
| Feb. 13, 2012 | Jerry del Missier, Co-Chief Executive, Barclays Capital |
| Feb. 13, 2012 | Christopher R. Kunkle, Director Securities Lending, Securities Lending Division of the Risk Management Association; and Michael P. McAuley, Chairman RMA Executive Committee, Securities Lending Division of the Risk Management Association |
| Feb. 13, 2012 | Robert L. Reynolds, President and Chief Executive Officer, Putnam Investments |
| Feb. 13, 2012 | Barry L. Zubrow, Executive Vice President, JPMorgan Chase & and Co. | | Feb. 13, 2012 | Jim Vogel, Executive Vice President, FTN Financial Capital Markets |
| Feb. 13, 2012 | R. Bram Smith, Executive Director, Loan Syndications and Trading Association |
| Feb. 13, 2012 | David F. Freeman, Jr., Arnold & Porter |
| Feb. 13, 2012 | Christine R. McGillis, President, SunTrust Banks, Inc.; and David T. Bloom, Senior Vice President and Deputy General Counsel, SunTrust Banks, Inc. |
| Feb. 13, 2012 | Joseph L. Seidel, Managing Director, Credit Suisse Securities (USA) LLC |
| Feb. 13, 2012 | Michael W. Williams, Managing Director, Credit Suisse Securities (USA) LLC |
| Feb. 13, 2012 | Daniel McCardell, Senior Vice President and Head of Regulatory Affairs, The Clearing House Association L.L.C. |
| Feb. 13, 2012 | William J. Sweet, Skadden, Arps, Slate, Meagher & Flom LLP |
| Feb. 13, 2012 | Alex Radetsky, Vice President and Assistant General Counsel, The Clearing House Association L.L.C.; and Cecelia A. Calaby, Senior Vice President and Executive Director, ABA Securities Association |
| Feb. 13, 2012 | Mike Nicholas, Chief Executive Officer, Bond Dealers of America |
| Feb. 13, 2012 | Brett Palmer, Small Business Investor Alliance |
| Feb. 13, 2012 | Cecelia Calaby, Executive Director and General Counsel, ABA Securities Association |
| Feb. 13, 2012 | David Nason, General Electric Company |
| Feb. 13, 2012 | Scott Weikart, Palo Alto, CA |
| Feb. 13, 2012 | Lynn A. Stout, Marc and Beth Goldberg Distinguished Visiting Professor of law, Cornell Law School, Paul Hastings Distinguished Professor of Corporate and Securities Law, UCLA School of Law |
| Feb. 13, 2012 | Robert Pickel, Chief Executive Officer, International Swaps and Derivatives Association, Inc. |
| Feb. 13, 2012 | Stefan M. Gavell, Executive Vice President and Head of Regulatory and Industry Affairs, State Street Corporation |
| Feb. 13, 2012 | Bank of New York Mellon Corporation, Northern Trust Corporation, and State Street Corporation |
| Feb. 13, 2012 | Paul V. Noble, The Bank of Montreal; Jordy Chilcott, The Bank of Nova Scotia; Steve Geist, Canadian Imperial Bank of Commerce; Richard Koo, National Bank of Canada; Thomas A. Smee, Royal Bank of Canada; and Brian Murdock, The Toronto-Dominion Bank |
| Feb. 13, 2012 | E.William Parsley, Executive Vice President, Chief Investment Officer and Treasurer, PNC Financial Services Group, Inc. |
| Feb. 13, 2012 | Karsten Langer, Chairman, European Private Equity and Venture Capital Association |
| Feb. 13, 2012 | Dan Flynn, Jay Kaufman, Greg Wren, and Fukunaga, National Conference of State Legislatures |
| Feb. 13, 2012 | Marshall Blume and Kenneth E. Scott, Shadow Financial Regulatory Committee |
| Feb. 13, 2012 | Richard Hopkin, Managing Director, Association for Financial Markets in Europe; Nicholas de Boursac, Chief Executive Officer, Asia Securities Industry & Financial Markets Association; and Ruari Ewing, Director, Primary Markets, International Capital Market Association |
| Feb. 13, 2012 | James E. Roselle, Associate General Counsel, Northern Trust |
| Feb. 13, 2012 | Oliver Wyman | Financial Services |
| Feb. 13, 2012 | John Leith-Tetrault, National Trust for Historic Preservation & Historic Tax Credit Coalition |
| Feb. 13, 2012 | Stuart Alderoty, Senior Executive Vice President and General Counsel, HSBC Bank USA |
| Feb. 13, 2012 | Philippa Hall, Head of Regulatory Strategy, F&amnp;C Management Ltd. |
| Feb. 13, 2012 | Kun Ho Hwang, Chairman, International Council of Securities Associations (ICSA) and Duncan Fairweather, Chairman, ICSA Standing Committee on Regulatory Affairs |
| Feb. 13, 2012 | Jonathan Gray, Regulatory Developments Director, Lloyds Banking Group |
| Feb. 13, 2012 | Paul Beresford, Chief Actuary, HSBC Life (international) Limited |
| Feb. 13, 2012 | Occupy the SEC |
| Feb. 13, 2012 | Chris Fielding, Executive Director, UK Regulated Covered Bond Council |
| Feb. 13, 2012 | Bill Magness, Vice-President & General Counsel, Electric Reliability Council of Texas, Inc. |
| Feb. 13, 2012 | Mark Page, Office of Management and Budget, The City of New York |
| Feb. 13, 2012 | Hans Joachim Reinke and Dr. Andreas Zubrod, Union Asset Management Holding AG |
| Feb. 13, 2012 | Lawrence K. Orr, General Partner, Trinity Ventures |
| Feb. 13, 2012 | Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank |
| Feb. 13, 2012 | John S. Reed |
| Feb. 13, 2012 | Alice Arant-Cousins, Phoenix, Arizona |
| Feb. 13, 2012 | Pierre Bollon, Association Française de la Gestion financière |
| Feb. 13, 2012 | Marcel Rencin, Chairman, Association Francçaise des Professionnels des Titres |
| Feb. 13, 2012 | Laura Schisgall, Managing Director & Senior Counsel, and Jason Hoberman, Director & Counsel, Société Générale |
| Feb. 13, 2012 | Pierre de Lauzun, French Banking Federation |
| Feb. 13, 2012 | Peter De Proft, Director General, European Fund and Asset Management Association |
| Feb. 13, 2012 | François DeloozBNP PARIBAS Investment Partners |
| Feb. 13, 2012 | Thomas Richter and Dr. Magdalena Kuper, BVI Bundesverband Investment and Asset Management, Germany |
| Feb. 13, 2012 | James M. Flaherty, Minister of Finance, Canada |
| Feb. 13, 2012 | Mark Carney, Governor, Bank of Canada |
| Feb. 13, 2012 | Guido Ravoet, Chief Executive, European Banking Federation |
| Feb. 13, 2012 | Securities Industry and Financial Markets Association, American Bankers Association, Financial Services Roundtable, The Clearing House Association |
| Feb. 13, 2012 | David Hirschmann, U.S.Chamber of Commerce, Washington, District of Columbia |
| Feb. 13, 2012 | Securities Industry and Financial Markets Association, American Bankers Association, Financial Services Roundtable, The Clearing House Association |
| Feb. 13, 2012 | Timothy W. Cameron, Esq. Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Feb. 13, 2012 | International Regulatory Strategy Group |
| Feb. 13, 2012 | Richard A. Dorfman, Managing Director, Head of Securitization, and Christopher B. Killian, Managing Director, Securities Industry and Financial Markets Association |
| Feb. 13, 2012 | Peter De Proft, Director General, Investment Management Association, United Kingdom |
| Feb. 13, 2012 | David L. Cohen, Managing Director, Associate General Counsel, Municipal Securities Division, Securities Industry and Financial Markets Association, New York, New York |
| Feb. 13, 2012 | Barbara Ridpath, Chief Executive, and John Andrews, Research Analyst, International Centre for Financial Regulation |
| Feb. 13, 2012 | Camille Thommes, Director General, and Marc Saluzz, President, Association of the Luxembourg Fund Industry |
| Feb. 13, 2012 | Paul A. Volcker |
| Feb. 13, 2012 | Janine Guillot, Chief Operating Investment Officer, California Public Employees' Retirement System (CaiPERS) |
| Feb. 13, 2012 | Magnus Carlsson and Mats Beckman, Merchant Banking Division, Skandinaviska Enskilda Banken AB |
| Feb. 13, 2012 | National Association of Mutual Insurance Companies |
| Feb. 13, 2012 | Daniel Lowenstein and Kathy Hamilton, Denver, Colorado |
| Feb. 13, 2012 | Susan Buchan, Merced, California |
| Feb. 13, 2012 | Martha Ramsey, Brattleboro, Vermont |
| Feb. 12, 2012 | Joan Rutherford |
| Feb. 12, 2012 | Catherine Mason |
| Feb. 12, 2012 | Catherine Mason |
| Feb. 11, 2012 | Marie Leven |
| Feb. 11, 2012 | Karen Thaw |
| Feb. 11, 2012 | Ralph Harrison |
| Feb. 11, 2012 | Armida Brashears |
| Feb. 11, 2012 | Rep. Susan Almy, GR 11, New Hampshire |
| Feb. 10, 2012 | William F. Truscott, Chairman, Columbia Management Investment Advisers, LLC |
| Feb. 10, 2012 | Susan Whetstone, Interim President-Executive Director, Connecticut Housing Finance Authority |
| Feb. 10, 2012 | Richard Leining |
| Feb. 10, 2012 | Robina Quale-Leach |
| Feb. 10, 2012 | Karisa Bohon |
| Feb. 10, 2012 | Arline DeMaio |
| Feb. 10, 2012 | Lee Smith |
| Feb. 10, 2012 | Sherry Reames |
| Feb. 10, 2012 | David Georgi |
| Feb. 10, 2012 | Susan Verdicchio |
| Feb. 10, 2012 | Michele Smith |
| Feb. 10, 2012 | Bryan Morris |
| Feb. 10, 2012 | Edward Bright |
| Feb. 10, 2012 | Raun Norquist |
| Feb. 10, 2012 | Ken Converse |
| Feb. 10, 2012 | Janet Nelson |
| Feb. 10, 2012 | Fran Fortino |
| Feb. 10, 2012 | Lynn Manzione |
| Feb. 10, 2012 | Sarah Reid |
| Feb. 10, 2012 | James Stevenson |
| Feb. 10, 2012 | Jeffrey Wallace |
| Feb. 10, 2012 | Judith Zitko |
| Feb. 10, 2012 | Dawn Stamlp |
| Feb. 10, 2012 | Todd Johnston |
| Feb. 10, 2012 | Mary A. Carroll |
| Feb. 10, 2012 | Mike Rudnick |
| Feb. 10, 2012 | Kevin Falcon, Minister and Deputy Premier, Province of British Columbia, Canada |
| Feb. 10, 2012 | Zachary Boyers, U.S. Bancorp Community Development Corporation |
| Feb. 10, 2012 | Committee on Investment of Employee Benefit Assets |
| Feb. 10, 2012 | Cadmus Hicks, Managing Director, Nuveen Asset Management |
| Feb. 10, 2012 | Kevin M. McCarty, President, and Therese M. Vaughn, Ph.D., Chief Executive Officer, National Association of Insurance Commissioners |
| Feb. 10, 2012 | James M. Olsen, VP, Accounting and Investment Policy, Property Casualty Insurers Association of America |
| Feb. 10, 2012 | Ashurst LLP, on behalf of JPMorgan Chase & Co., Wells Fargo Bank, N.A., Deutsche Bank AG, New York Branch, RBC Capital Markets, LLC, and Societe Generale, New York Branch |
| Feb. 10, 2012 | Charles H. Dallara, Managing Director, Institute of International Finance |
| Feb. 10, 2012 | Douglas A. Sheline, Senior Vice President and Assistant Treasurer, M&T Bank |
| Feb. 10, 2012 | Rose M. Oswald, Poels President/CEO, Wisconsin Bankers Association |
| Feb. 10, 2012 | Michael Kemmer, General Manager, Member of the Board of Directors, Association of German Banks and Hans-Joachim Massenberg, Member of the Management Board, Association of German Banks |
| Feb. 10, 2012 | Charlie Bracken, Executive Vice President, Co-Chief Financial Officer, Liberty Global, Inc. |
| Feb. 10, 2012 | Mimi Hodsoll |
| Feb. 10, 2012 | Nathaniel Boonin, Newark, Delaware |
| Feb. 10, 2012 | Robert Krouskoff, White Plains, New York |
| Feb. 10, 2012 | Frances Vreman |
| Feb. 10, 2012 | Rita Ray |
| Feb. 10, 2012 | Lisa Kazmier |
| Feb. 10, 2012 | Michael Wenger |
| Feb. 9, 2012 | Mark R. Thresher, Executive Vice President, Chief Financial Officer, Nationwide Insurance |
| Feb. 9, 2012 | Debbie Notkin |
| Feb. 9, 2012 | James Ofsink |
| Feb. 9, 2012 | Alexander Clayton |
| Feb. 9, 2012 | Dyanne Dirosario |
| Feb. 9, 2012 | Karen Bauer |
| Feb. 9, 2012 | Kenneth Rose |
| Feb. 9, 2012 | Andrew Pilling |
| Feb. 9, 2012 | John Witmer |
| Feb. 9, 2012 | Tom And Rosalie Cripps |
| Feb. 9, 2012 | Susan Pashkoff |
| Feb. 9, 2012 | Ronald Gedrim |
| Feb. 9, 2012 | Teresa Priem |
| Feb. 9, 2012 | Phillip Baker |
| Feb. 9, 2012 | Allan Richardson |
| Feb. 9, 2012 | Rosemary Wyche |
| Feb. 9, 2012 | Janet Bullock |
| Feb. 9, 2012 | Barry Rein |
| Feb. 9, 2012 | Mary Starzyk |
| Feb. 9, 2012 | David Annis |
| Feb. 9, 2012 | Lawrence York |
| Feb. 9, 2012 | Karen Hensley, Reston, Washington |
| Feb. 9, 2012 | Janet McGinness, Senior Vice President and Corporate Secretary, NYSE Euronext |
| Feb. 9, 2012 | Brandon Becker, Executive Vice President and Chief Legal Officer, TIAA-CREF |
| Feb. 9, 2012 | Jack Mcgregor |
| Feb. 9, 2012 | Kenneth Glidden |
| Feb. 9, 2012 | Casey Maddren |
| Feb. 9, 2012 | Paul Perkal |
| Feb. 9, 2012 | Tim White |
| Feb. 9, 2012 | Michael Iltis |
| Feb. 9, 2012 | Judith Braun |
| Feb. 9, 2012 | Sandra Stevens |
| Feb. 9, 2012 | Franklin Neubauer |
| Feb. 9, 2012 | Doug Gilbert |
| Feb. 9, 2012 | Stephen J. Pew |
| Feb. 9, 2012 | J. L. Cone |
| Feb. 9, 2012 | Wendy Emlinger |
| Feb. 9, 2012 | Randy Childers |
| Feb. 9, 2012 | Joseph Satriano |
| Feb. 9, 2012 | Terrence Karney |
| Feb. 9, 2012 | David B. Chandler |
| Feb. 9, 2012 | Marc De Puy |
| Feb. 9, 2012 | Glenn Krakower |
| Feb. 9, 2012 | Tim Peterson |
| Feb. 9, 2012 | Steve Dickman |
| Feb. 9, 2012 | Cadwalader, Wickersham & Taft LLP |
| Feb. 9, 2012 | Luc Monty, Deputy Minister of Finance, Quebec, Canada |
| Feb. 9, 2012 | Sarah Reed, General Counsel, On Behalf of Charles River Ventures, LLC |
| Feb. 9, 2012 | Scott A. Cammam, Cadwalader, Wickersham & Taft LLP |
| Feb. 9, 2012 | Samrat Pathania |
| Feb. 8, 2012 | Michel Barnier, Member, European Commission |
| Feb. 8, 2012 | William R. Hambrecht, Chairman and CEO, WR Hambrecht + Co |
| Feb. 8, 2012 | Adair Turner, Chairman, Financial Services Authority |
| Feb. 8, 2012 | Michael A. Carusi, Managing Director, Advanced Technology Ventures |
| Feb. 8, 2012 | Andrew Kahn and Donald Campbell |
| Feb. 8, 2012 | Andrew Thornborrow, Operating Partner, BlueRun Ventures |
| Feb. 8, 2012 | Mary Jane Sutliff |
| Feb. 8, 2012 | Kate Mitchell, Managing Director, Scale Venture Partners and Sharon Wienbar, Managing Director, Scale Venture Partners |
| Feb. 8, 2012 | Karen Michaelis |
| Feb. 8, 2012 | Ben Leet |
| Feb. 8, 2012 | Steve Westly, Managing Partner The Westly Group |
| Feb. 8, 2012 | David J. Stertzer, Chief Executive Officer, Association for Advanced Life Underwriting |
| Feb. 8, 2012 | Zane E. Brown, Partner & Fixed Income Strategist, Lord, Abbett & Co. LLC |
| Feb. 8, 2012 | Lee Brown, Lee S. Brown Fine Arts |
| Feb. 8, 2012 | Sarah McKee |
| Feb. 8, 2012 | David R. Wilkes |
| Feb. 8, 2012 | Dan W. Schneider, Baker & McKenzie LLP, Counsel to the Association |
| Feb. 8, 2012 | Mary Levendos |
| Feb. 8, 2012 | Liz Amsden |
| Feb. 8, 2012 | Mike Cramton |
| Feb. 8, 2012 | Jonathan L.Rosenthal, Senior Managing Director, Metropolitan Life Insurance Company |
| Feb. 8, 2012 | Chuah Mei Lin, Executive Director, The Association of Banks in Malaysia |
| Feb. 7, 2012 | Kurt J. Laning, FSA, President, Clark Consulting
|
| Feb. 7, 2012 | Scott A. Cammarn, Special Counsel, Cadwalader, Wickersham & Taft LLP |
| Feb. 6, 2012 | David Fischer, Manager, Gal Hill Capital |
| Feb. 6, 2012 | Joshua L. Green, General Partner, Mohr Davidow |
| Feb. 6, 2012 | Joe B. Jones, Financial Representative, The Jayhawk Financial Group, Lawrence, Kansas |
| Feb. 6, 2012 | Chuck Bracht, Executive Vice President, BBVA Compass Consulting and Benefits, Inc. |
| Feb. 6, 2012 | George Michaels, CEO, G2 FinTech |
| Feb. 3, 2012 | Bruce A. Ortwine, General Counsel, Americas, The Sumitomo Trust & Banking Co., Ltd. |
| Feb. 3, 2012 | Eric Young, Partner, Canaan Partners |
| Feb. 3, 2012 | Brent Ahrens, General Partner, Canaan Partners |
| Feb. 3, 2012 | Deepak Kamra, General Partner, Canaan Partners |
| Feb. 3, 2012 | Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable |
| Feb. 3, 2012 | Mark G. Heesen, President, National Venture Capital Association |
| Feb. 2, 2012 | Dan Fleming, Managing Director, River Cities Capital |
| Feb. 2, 2012 | Hooman Shahlavi, Esq., Secretary and General CounselSofinnova Ventures |
| Feb. 2, 2012 | Stephen E. Roth and Federick R. Bellamy, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Jan. 31, 2012 | Gadi Mayman, Chief Executive Officer, Ontario Financing Authority |
| Jan. 31, 2012 | Alan D. Polsky, Chair, Municipal Securities Rulemaking Board |
| Jan. 30, 2012 | Eric Wedbush, President, Wedbush, Inc., Los Angeles, California |
| Jan. 28, 2012 | Sheila Waddell |
| Jan. 27, 2012 | Rep. Carolyn McCarthy, et al., Members of Congress |
| Jan. 27, 2012 | Eric Benhamou |
| Jan. 27, 2012 | Howard Marsh, Managing Director and Head of the
Municipal Securities Division, Citigroup Global Markets Inc. |
| Jan. 27, 2012 | Jeffrey D. DeBoer, President and Chief Executive Officer, The Real Estate Roundtable |
| Jan. 26, 2012 | Robert Waters |
| Jan. 26, 2012 | Robert D. Atkinson, President, Information Technology & Innovation Foundation |
| Jan. 25, 2012 | Sen. Kirsten E. Gillibrand, U.S. Senate |
| Jan. 25, 2012 | William A. O’Malley, CFA Managing Principal, Income Research & Management |
| Jan. 25, 2012 | The Norinchukin Bank, Japan |
| Jan. 24, 2012 | Julie A. Spiezio, Senior Vice President, Insurance Regulation & Deputy General Counsel, American Council of Life Insurers |
| Jan. 24, 2012 | Christopher L. Rizik, Renaissance Venture Capital Fund |
| Jan. 23, 2012 | Jackie Speier, Member of Congress |
| Jan. 23, 2012 | George Osborne |
| Jan. 23, 2012 | Cleary Gottlieb Steen & Hamilton LLP, Davis Polk & Wardwell LLP, and Sullivan & Cromwell LLP |
| Jan. 20, 2012 | Len Canty, Black Economic Council; Jorge Corralejo, Latino Business Chamber of Greater LA; Faith Bautista, National Asian American Coalition, and Robert Gnaizda, Counsel |
| Jan. 19, 2012 | Amy E. Koch, Director of Fixed Income Trading, Standish Mellon Asset Management Company LLC |
| Jan. 19, 2012 | Paul v. Noble, Deputy General Counsel, Private Client Group, Bank of Montreal; Jordy Chilcott, Head Canadian Mutual Funds, The Bank of Nova Scotia;
Steve Geist, President, CIBC Asset Management, Canadian Imperial Bank of Commerce;
Thomas A. Smee, Senior Vice President & Deputy General Counsel, RBC Law Group, Royal Bank of Canada and Brian Muedock, Executive Vice President, The Toronto-Dominion Bank |
| Jan. 17, 2012 | Alice W. Handy, President and CEO, Investsure LLC |
| Jan. 17, 2012 | Tom Quaadman, Vice President, U.S. Chamber of Commerce, Washington, District of Columbia |
| Jan. 16, 2012 | Darrell Duffie, Professor, Graduate School of Business, Stanford University |
| Jan. 13, 2012 | Senator Kay R. Hagan, U.S. Senate |
| Jan. 13, 2012 | Japanese Bankers Association |
| Jan. 12, 2012 | Kathleen G. Luckard, Los Angeles, California |
| Jan. 12, 2012 | Perry M. Traquina, President and Chief Executive Officer, Wellington Management Company, LLP |
| Jan. 10, 2012 | Ronald M. Diner, President, Raymond James Tax Credit Funds, Inc. |
| Jan. 9, 2012 | Hendrik R. Woods, Illinois |
| Dec. 29, 2011 | Anonymous |
| Dec. 29, 2011 | Kenneth E. Bentsen, Jr., EVP Public Policy and Advocacy, SIFMA |
| Dec. 28, 2011 | Masamichi Kono, Vice Commissioner for International Affairs, Financial Services Agency, Government of Japan, and Kenzo Yamamoto, Executive Director, Bank of Japan |
| Dec. 28, 2011 | Julie Dickson, Superintendent, Office of the Superintendent of Financial Institutions Canada |
| Dec. 26, 2011 | Alfred J. Michelhaus, Accountant |
| Dec. 25, 2011 | David Herrington, Syracuse, New York |
| Dec. 24, 2011 | Herbert L. Wilson, Laredo, Texas |
| Dec. 23, 2011 | Rep. Zoe Lofgren, U.S. House of Representatives |
| Dec. 23, 2011 | Jeffrey Moskin, Culver City, California |
| Dec. 23, 2011 | Charles Waldron, Los Angeles, California |
| Dec. 23, 2011 | Curtis Bowling, Argillite, Kentucky |
| Dec. 23, 2011 | American International Group, Inc.: APG Algemene Pensioen Groep N.V.; BlackRock, Inc.; California Public Employees’ Retirement System; Dodge & Cox; GE Asset Management; Income Research & Management; Legal and General Investment Management America; Loomis, Sayles & Company, L.P.; McDonnell Investment Management, LLC; MetLife, Inc.; Nationwide Mutual Insurance Company; The Vanguard Group, Inc. |
| Dec. 22, 2011 | Paul Schott Stevens, President & CEO, Investment Company Institute, Washington, District of Columbia |
| Dec. 22, 2011 | Anthony G. Flynn, Jr., and Koral Fusselman, Lexington, Virginia |
| Dec. 21, 2011 | Orim Graves, CFA, Executive Director, National Association of Securities Professionals |
| Dec. 21, 2011 | Terry Campbell, President & Chief Executive Officer, Canadian Bankers Association |
| Dec. 21, 2011 | Ian Russell, FCSI, President and CEO, Investment Industry Association of Canada |
| Dec. 20, 2011 | Members of Congress |
| Dec. 20, 2011 | Rep. Michael M. Honda, U.S. House of Representatives |
| Dec. 20, 2011 | Ralph S. Saul, West Conshohocken, Pennsylvania |
| Dec. 19, 2011 | Rep. Michael L. Burgess, M.D., U.S. House of Representatives |
| Dec. 19, 2011 | Randel Pilo, Verona, Wisconsin |
| Dec. 16, 2011 | Suzanne H. Shatto, Seattle, Washington |
| Dec. 16, 2011 | Rep. David Schweikert, U.S. House of Representatives |
| Dec. 16, 2011 | John Gidman, The Association of Institutional Investors |
| Dec. 16, 2011 | Tony Burke, Policy Director, Australian Bankers’ Association |
| Dec. 15, 2011 | David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Dec. 13, 2011 | Rep. Anna G. Eshoo, U.S. House of Representatives |
| Dec. 12, 2011 | Michael M. Chamberlin, Executive Director, EMTA |
| Dec. 12, 2011 | Alfred Brock |
| Dec. 9, 2011 | Dennis M. Kelleher, President & CEO, Better Markets, Inc. |
| Dec. 7, 2011 | Reps. Spencer Bachus, Jeb Hensarling, Shellby Moore Capito, and Scott Garrett, Committee on Financial Services, U.S. House of Representatives |
| Nov. 30, 2011 | The American Bankers Association, the Financial Services Roundtable, the Financial Services Forum, the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Nov. 29, 2011 | Capital One Financial Corporation, Fifth Third Bancorp and Regions Financial Corporation |
| Nov. 27, 2011 | Obaid M. Syed, Undergraduate at Yale, New Haven, Connecticut |
| Nov. 22, 2011 | Chris Barnard, Germany |
| Nov. 17, 2011 | David Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Nov. 16, 2011 | Peter S. Kraus, Chairman and CEO, AllianceBernstein L.P. |
| Nov. 13, 2011 | Kirstin Dvorchak, Denver, Colorado |
| Nov. 8, 2011 | David McClean, Rutgers University |
| Nov. 2, 2011 | Len Canty, Chairman, Black Economic Council; Jorge Corralejo, Chairman, Latino Business Chamber of Greater LA; and Faith Bautista, President and CEO, National Asian American Coalition |
| Oct. 29, 2011 | Suzanne H. Shatto, Seattle, Washington |
| Oct. 28, 2011 | Samuel D. Kimbrell, Hendersonville, North Carolina |
| Oct. 24, 2011 | Jason Bright, Law Student, University of Missouri, Columbia, Missouri |
| Oct. 19, 2011 | Ralph S. Saul |
| Oct. 17, 2011 | Len Canty, Chairman, Black Economic Council; Jorge
Corralejo, Chairman, Latino Business Chamber of Greater LA; and Faith Bautista, President
and CEO, National Asian American Coalition |
| Oct. 17, 2011 | David Brooke |
| Oct. 12, 2011 | Noel Weichbrodt, Saint Louis, Missouri |
| Oct. 12, 2011 | Frank A. LoSchiavo, Jr., Atascadero, California |
| Oct. 12, 2011 | Chris Zontine, San Jose, California |
| Oct. 11, 2011 | Alice Bartoo, San Tan Valley, Arizona |
| Oct. 10, 2011 | Mike P. McKeever |
| Oct. 8, 2011 | Mike P. McKeever |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Jan. 9, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2014, phone call with Counsel for Senator Merkley |
| Jan. 9, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a January 9, 2014, phone call with Simon Johnson |
| Jan. 8, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a January 8, 2014, meeting with Counsel for Senator Merkley |
| Jan. 7, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a January 7, 2014, phone call with a representative of Better Markets |
| Nov. 20, 2013 | Memorandum from the Office of the Chair regarding a November 7, 2013, meeting with representatives of Goldman Sachs |
| Nov. 20, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 20, 2013, conference call with representatives of The National Asian American Coalition |
| Nov. 20, 2013 | Memorandum from the Office of the Chair regarding an October 1, 2013, meeting with representatives of HSBC |
| Nov. 20, 2013 | Memorandum from the Office of the Chair regarding a November 19, 2013, meeting with a representative of Pew Charitable Trusts |
| Nov. 18, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 18, 2013, meeting with representatives of The Center for Capital Markets Competitiveness |
| Nov. 18, 2013 | Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a November 7, 2013, meeting with representatives of Goldman Sachs |
| Nov. 14, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 14, 2013, meeting with representatives of Goldman Sachs |
| Nov. 14, 2013 | Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a November 13, 2013, meeting with representatives of the Loan Syndications & Trading Association and WilmerHale |
| Nov. 14, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 14, 2013, meeting with representatives of Goldman Sachs |
| Nov. 8, 2013 | Memorandum from the Office of the Chair regarding October 24, 2013, and November 8, 2013, phone calls with staff from the Office of U.S. Senator Jeff Merkley |
| Nov. 7, 2013 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 7, 2013, meeting with representatives of Goldman Sachs |
| Nov. 7, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 7, 2013, meeting with representatives of Goldman Sachs |
| Nov. 6, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 6, 2013, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Nov. 5, 2013 | Memorandum from the Division of Investment Management regarding a November 5, 2013, meeting with representatives of HSBC |
| Nov. 4, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers |
| Nov. 1, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a November 1, 2013, meeting with representatives of the Institute of International Bankers |
| Oct. 23, 2013 | Memorandum from the Division of Trading and Markets regarding an October 23, 2013, meeting with representatives of HSBC |
| Oct. 2, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding an October 2, 2013, meeting with Andrew Green from the Office of U.S. Senator Jeff Merkley |
| Oct. 1, 2013 | Memorandum from the Division of Trading and Markets regarding an October 1, 2013, meeting with representatives of HSBC |
| Oct. 1, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of HSBC |
| Sep. 30, 2013 | Memorandum from the Office of the Chair regarding a September 30, 2013, meeting with representatives of Better Markets |
| Sep. 26, 2013 | Memorandum from the Office of Commissioner Daniel M. Gallagher regarding a September 19, 2013, meeting with representatives of PNC Financial Services Group, Inc. |
| Sep. 26, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 26, 2013, phone call with a representative of Better Markets |
| Sep. 18, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform |
| Sep. 16, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an September 16, 2013, meeting with representatives of SIFMA |
| Sep. 16, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of SIFMA |
| Sep. 13, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets |
| Sep. 12, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 12, 2013, meeting with representatives of the American Bankers Association |
| Aug. 27, 2013 | Memorandum from the Division of Trading and Markets regarding an August 27, 2013, meeting with Greg Smith |
| Jul. 30, 2013 | Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee |
| Jul. 18, 2013 | Memorandum from the Office of the Chair regarding a July 11, 2013, meeting with representatives of BlackRock |
| Jun. 27, 2013 | Memorandum from the Division of Investment Management regarding a June 12, 2013, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) and Davis Polk & Wardwell LLP |
| Jun. 18, 2013 | Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the U.S. Chamber of Commerce Center for Capital Markets Competitiveness |
| Jun. 18, 2013 | Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of SIFMA |
| Jun. 14, 2013 | Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with a representative of the AFL-CIO |
| Jun. 14, 2013 | Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with representatives of Better Markets |
| Jun. 11, 2013 | Memorandum from the Office of the Chair regarding a June 7, 2013, meeting with a representative of Goldman Sachs |
| May 28, 2013 | Memorandum from the Office of the Chairman regarding a May 24, 2013, meeting with representatives of the Systemic Risk Council |
| May 21, 2013 | Memorandum from the Division of Trading and Markets regarding a May 21, 2013, meeting with representatives of TIAA-CREF |
| May 3, 2013 | Memorandum from the Division of Trading and Markets regarding a May 3, 2013, meeting with representatives of State Street Global Advisors |
| Apr. 8, 2013 | Memorandum from the Division of Trading and Markets regarding an April 8, 2013, meeting with representatives of Barclays |
| Mar. 14, 2013 | Memorandum from the Division of Trading and Markets regarding a March 14, 2013, meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA") and SIFMA Member Firms |
| Feb. 26, 2013 | Memorandum from the Office of Commissioner Paredes regarding a February 26, 2013, meeting with representatives of Morgan Stanley |
| Feb. 26, 2013 | Memorandum from the Division of Trading and Markets regarding a February 26, 2013, meeting with representatives of Morgan Stanley |
| Feb. 12, 2013 | Memorandum from the Division of Trading and Markets regarding a February 12, 2013, meeting with representatives of the Bond Dealers of America |
| Jan. 23, 2013 | Memorandum from the Division of Trading and Markets regarding a January 23, 2013, meeting with representatives of Goldman Sachs |
| Jan. 10, 2013 | Memorandum from the Division of Investment Management regarding a January 10, 2013, meeting with representatives of the Alternative Investment Management Association |
| Dec. 19, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a December 17, 2012, meeting with representatives of Americans for Financial Reform, Consumer Federation of America and other organizations |
| Dec. 5, 2012 | Memorandum from the Division of Investment Management regarding a December 5, 2012, meeting with representatives of BlackRock |
| Nov. 13, 2012 | Memorandum from the Office of Commissioner Paredes regarding a November 13, 2012, meeting with representatives of Capstone LLC, et al. |
| Aug. 21, 2012 | Memorandum from the Division of Investment Management regarding an August 21, 2012, meeting with representatives of SVB Financial Group |
| Jul. 11, 2012 | Memorandum from the Division of Trading and Markets regarding a July 11, 2012, meeting with representatives of the Bond Dealers of America |
| Jun. 4, 2012 | Memorandum from the Division of Trading and Markets regarding a June 4, 2012, meeting with representatives of Better Markets |
| Jun. 1, 2012 | Memorandum from the Division of Trading and Markets regarding a June 1, 2012, meeting with representatives of the Investment Company Institute |
| May 23, 2012 | Memorandum from the Division of Trading and Markets regarding a May 23, 2012, meeting with representatives of Credit Suisse |
| May 23, 2012 | Memorandum from the Division of Trading and Markets regarding a May 23, 2012, meeting with representatives of the National Bank Financial |
| May 23, 2012 | Memorandum from the Division of Investment Management regarding a May 23, 2012, meeting with representatives of GE Capital Corp. |
| May 17, 2012 | Memorandum from the Division of Trading and Markets regarding a May 17, 2012, meeting with representatives of Australian Banks |
| May 15, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a May 9, 2012, meeting with representatives of the Bond Dealers of America |
| May 7, 2012 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a May 1, 2012, meeting with representatives of the British Bankers' Association |
| May 4, 2012 | Memorandum from the Division of Trading and Markets regarding a May 4, 2012, meeting with representatives of Americans for Financial Reform, Public Citizen, and the International Brotherhood of Teamsters |
| May 4, 2012 | Memorandum from the Office of the Chairman regarding an April 26, 2012, meeting with representatives of the National Association of Insurance Commissioners |
| Apr. 25, 2012 | Memorandum from the Division of Trading and Markets regarding an April 25, 2012, meeting with EU Economic Counselors |
| Apr. 24, 2012 | Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with Professor Matthew Richardson |
| Apr. 23, 2012 | Memorandum from the Division of Trading and Markets regarding an April 23, 2012, meeting with representatives of the Massachusetts Educational Financing Authority |
| Apr. 19, 2012 | Memorandum from the Office of the Chairman regarding an April 19, 2012, meeting with representatives of Credit Suisse Group AG |
| Apr. 10, 2012 | Memorandum from the Division of Trading and Markets regarding a meeting with members of SIMFA, Citigroup, RBS Global Banking and Markets, Bank of America, Deutsche Bank and Sidley Austin |
| Apr. 6, 2012 | Memorandum from the Division of Trading and Markets regarding an April 6, 2012, meeting with representatives of Americans for Financial Reform |
| Apr. 4, 2012 | Memorandum from the Office of Commissioner Aguilar regarding an April 3, 2012 meeting with representatives of Americans for Financial Reform, AFL-CIO, Consumer Federation of America, and Public Citizen |
| Mar. 28, 2012 | Memorandum from the Division of Trading and Markets regarding a March 28, 2012, meeting with representatives of SIFMA |
| Mar. 27, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a March 27, 2012, meeting with representatives of Morgan Stanley |
| Mar. 21, 2012 | Memorandum from the Division of Investment Management regarding a March 21, 2012, meeting with a representative of U.S. Insurer |
| Mar. 20, 2012 | Memorandum from the Division of Investment Management regarding a February 10, 2012, meeting with a representative of the Roosevelt Institute |
| Mar. 20, 2012 | Memorandum from the Division of Trading and Markets regarding a March 20, 2012, meeting with representatives of Occupy the SEC |
| Mar. 19, 2012 | Memorandum from the Office of the Chairman regarding a March 14, 2012, meeting with representatives of the European Fund and Asset Management Association (EFAMA) |
| Mar. 13, 2012 | Memorandum from the Division of Investment Management regarding a March 13, 2012, meeting with representatives of The Loan Syndications & Trading Association |
| Mar. 13, 2012 | Memorandum from the Office of Commissioner Walter regarding a February 29, 2012, meeting with representatives of Morgan Stanley |
| Mar. 12, 2012 | Memorandum from the Office of the Chairman regarding a March 12, 2012, meeting with representatives of HSBC Global Banking and Markets |
| Mar. 7, 2012 | Memorandum from the Division of Trading and Markets regarding a March 7, 2012, meeting with representatives of Goldman Sachs |
| Mar. 6, 2012 | Memorandum from the Division of Trading and Markets regarding a March 6, 2012, meeting with representatives of TIAA-CREF |
| Mar. 6, 2012 | Memorandum from the Division of Trading and Markets regarding a March 6, 2012, meeting with representatives of London Financial Services Authority |
| Mar. 1, 2012 | Memorandum from the Office of the Chairman regarding a March 1, 2012, meeting with representatives of SIFMA |
| Feb. 29, 2012 | Memorandum from the Trading and Markets regarding a February 29, 2012, conference call with representatives of the Canadian Securities Administrators |
| Feb. 28, 2012 | Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with Professor Simon Johnson |
| Feb. 23, 2012 | Memorandum from the Division of Trading and Markets regarding a February 23, 2012, meeting with representatives of the Committee on Investment of Employee Benefit Assets
(CIEBA) |
| Feb. 22, 2012 | Memorandum from the Office of the Chairman regarding a February 16, 2012, meeting with representatives of the Financial Services Roundtable |
| Feb. 22, 2012 | Memorandum from the Office of the Chairman regarding a February 16, 2012, meeting with BlackRock |
| Feb. 17, 2012 | Memorandum from the Office of the Chairman regarding a February 15, 2012, meeting with Paul A. Volcker |
| Feb. 15, 2012 | Memorandum from the Division of Trading and Markets regarding a February 15, 2012, meeting with Professor Darrell Duffie |
| Feb. 15, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a February 15, 2012, meeting with representatives of the Alternative Investment Management Association |
| Feb. 10, 2012 | Memorandum from the Division of Trading and Markets regarding a February 10, 2012, meeting with representatives of the Credit Roundtable and Fixed Income Forum |
| Feb. 10, 2012 | Memorandum from the Division of Investment Management regarding a February 10, 2012, meeting with representatives of the U.S. Senate Committee on Banking, Housing and Urban Affairs |
| Feb. 8, 2012 | Memorandum from the Division of Trading and Markets regarding a February 8, 2012, meeting with representatives of Bank of Oliver Wyman |
| Feb. 8, 2012 | Memorandum from the Office of Commissioner Aguila regarding a February 8, 2012, meeting with representatives of Bank of America and Merrill Lynch |
| Feb. 8, 2012 | Memorandum from the Division of Investment Management regarding a February 8, 2012, meeting with representatives of Grosvenor Capital Management, L.P. |
| Feb. 7, 2012 | Memorandum from the Office of the Chairman regarding a February 7, 2012, meeting with representatives of Morgan Stanley |
| Feb. 6, 2012 | Memorandum from the Division of Trading and Markets regarding a February 6, 2012, meeting with representatives from Canadian Banks and the Canadian Bankers’ Association |
| Feb. 6, 2012 | Memorandum from the Office of the Chairman regarding a February 3, 2012, meeting with representatives of the Investment Company Institute |
| Jan. 30, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 30, 2012, meeting with representatives of Goldman Sachs |
| Jan. 24, 2012 | Memorandum from the Division of Trading and Markets regarding a January 24, 2012, meeting with representatives of the U.S. Chamber of Commerce |
| Jan. 12, 2012 | Memorandum from the Division of Investment Management regarding a January 12, 2012, conference call with representatives of Occupy the SEC |
| Jan. 11, 2012 | Memorandum from the Division of Investment Management regarding a January 11, 2012, conference call with representatives of Sutherland |
| Jan. 5, 2012 | Memorandum from the Division of Investment Management regarding a January 5, 2012, meeting with representatives of the Institute of International Bankers and Cleary Gottlieb Steen & Hamilton LLP |
| Jan. 4, 2012 | Memorandum from the Division of Investment Management regarding a January 4, 2012, meeting with representatives of the Institute of International Bankers and Cleary Gottlieb Steen & Hamilton LLP |
| Dec. 22, 2011 | Memorandum from the Division of Trading and Markets regarding a December 22, 2011, conference call with representatives of Goldman Sachs |
| Dec. 22, 2011 | Memorandum from the Division of Investment Management regarding a December 22, 2011, conference call with representatives of Davis Polk |
| Dec. 22, 2011 | Memorandum from the Division of Investment Management regarding a December 19, 2011, conference call with representatives of Sutherland |
| Dec. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with representatives of Credit Suisse |
| Dec. 20, 2011 | Memorandum from the Division of Trading and Markets regarding a December 20, 2011, meeting with representatives of SIFMA and David Polk |
| Dec. 20, 2011 | Memorandum from the Division of Investment Management regarding a December 20, 2011, meeting with representatives of BNY/Mellon, Northern Trust, State Street |
| Dec. 19, 2011 | Memorandum from the Division of Investment Management regarding a December 19, 2011, meeting with representatives of Barclays Capital |
| Dec. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a December 15, 2011, meeting with representatives of Goldman Sachs |
| Dec. 14, 2011 | Memorandum from the Division of Corporation Finance regarding a December 13, 2011, conference call with representatives from Goldman Sachs |
| Dec. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a December 12, 2011, meeting with representatives of Bank of America |
| Nov. 30, 2011 | Memorandum from the Division of Investment Management regarding a November 30, 2011, meeting with representatives of Bank of America, Citigroup, Goldman Sachs, JP Morgan Chase, Morgan Stanley, and General Electric |
| Nov. 17, 2011 | Memorandum from the Division of Trading and Markets regarding a November 17, 2011, meeting with representatives of Barclays |
| Nov. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a November 9, 2011, meeting with representatives from Goldman Sachs, JP Morgan, and Morgan Stanley |
| Nov. 3, 2011 | Memorandum from the Division of Investment Management regarding a November 3, 2011, meeting with representatives of SVB Financial Group and Debevoise & Plimpton LLP |
http://www.sec.gov/comments/s7-41-11/s74111.shtml
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