Comments on FICC Rulemaking
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Modify the GSD Rules (i) Regarding the Separate Calculation,
Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) to Address the Conditions of Note H to Rule 15c3-3a
[Release No. 34-99844; File No. SR-FICC-2024-007]
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(Click here for meetings with SEC officials)
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| Jun. 20, 2024 | Sarah A. Bessin, Deputy General Counsel, Investment Company Institute and Nhan Nguyen, Associate General Counsel, Investment Company Institute |
| May 24, 2024 | William C. Thum, Managing Director and Assistant General
Counsel, SIFMA Asset Management Group |
| May 22, 2024 | Robert Toomey, Head of Capital Markets, Manging Director/Associate General Counsel, Securities Industry and Financial Markets Association |
| Apr. 23, 2024 | Jiri Krol, Deputy CEO, Global Head of Government Affairs, Alternative Investment Management Association |
| Apr. 18, 2024 | Walt Lukken, President & Chief Executive Officer, The Futures Industry Association |
| Apr. 17, 2024 | Jennifer W. Han, Executive Vice President, Chief Counsel and Head of Global Regulatory Affairs, Managed Funds Association |
| Apr. 17, 2024 | Sarah A. Bessin, Deputy General Counsel, and Nhan Nguyen, Associate General Counsel, Investment Company Institute |
| Apr. 17, 2024 | Joanna Mallers, FIA PTG, Futures Industry Association |
| Apr. 17, 2024 | Katherine Darras, General Counsel, International Swaps and Derivatives Association, Inc. |
| Apr. 16, 2024 | Rob Toomey, SIFMA; William Thum, SIFMA AMG; Sarah Bessin, ICI; Katherine Darras, ISDA; Jiri Krol, AIMA, SIFMA, SIFMA AMG, ICI, ISDA, AIMA |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 18, 2024 | Memorandum from the Division of Trading and Marketing regarding a June 18, 2024, meeting with representatives of the Alternative Investment Management Association |
| May 30, 2024 | Memorandum from the Division of Trading and Markets regarding a May 30, 2024 meeting with representatives of the AIMA |
| May 30, 2024 |
Memorandum from the Office of Public Engagement regarding a May 17, 2024 meeting with FIA PTG |
| May 23, 2024 | Memorandum from the Office of Commissioner Mark T. Uyeda regarding a May 23, 2024, meeting with representatives of the Alternative Investment Management Association |
| May 7, 2024 | Memorandum from the Office of Clearance and Settlement, Division of Trading and Markets regarding an April 24, 2024 ,meeting with representatives of the Independent Dealer and Trader Association |
