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Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds:
Title VI Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See also: Comments on Proposed Rule: Comments on Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; File No. S7-41-11
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(Click here for meetings with SEC officials)
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| Sep. 24, 2015 | Ron and Melodie Milhoan |
| Feb. 13, 2012 | Jim Welke, Ferndale, Michigan |
| Jul. 18, 2011 | Senators Jeff Merkley and Carl Levin, U.S. Senate |
| Jul. 4, 2011 | William Michael Cunningham, Creative Investment Research, Inc., Washington, District of Columbia |
| Jun. 28, 2011 | Senator Scott Brown, U.S. Senate |
| Jun. 14, 2011 | Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable |
| Jun. 8, 2011 | Robert M. Chandler, Honolulu, Hawaii |
| May 10, 2011 | Sarah A. Miller, Chief Executive Officer, Institute of International Bankers |
| May 10, 2011 | Douglas Lowenstein, President, Private Equity Growth Capital Council |
| May 9, 2011 | Randolph C. Snook, Executive Vice President, SIFMA, New York, New York |
| May 5, 2011 | Craig R. Jackson, Cypress, Texas |
| Apr. 18, 2011 | Timothy Harrington, CPA |
| Apr. 15, 2011 | Randolph C. Snook, Executive Vice President, SIFMA, New York, New York |
| Apr. 14, 2011 | Cherie L. Johnson, Kansas City, Missouri |
| Mar. 22, 2011 | Bill Whitt, Retired bank auditor., Chicago, Illinois |
| Mar. 16, 2011 | John A Claras, Sunnyvale, California |
| Mar. 15, 2011 | Representatives Spencer Bachus and Randy Neugebauer, U.S. House of Representatives |
| Jan. 18, 2011 | Irene Karamanou, P.h.D. |
| Oct. 6, 2010 | Robert O.L. Lynn, Financial services consultant, New Jersey |
| Sep. 18, 2010 | Paul Jensen |
| Aug. 3, 2010 | Senators Jeffrey Merkley and Carl Levin, U.S. Senate |
| Sep. 6, 2010 | Donald F. Young, Madison, Wisconsin |
| Aug. 30, 2010 | Ralph S. Saul |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Sep. 1, 2011 | Memorandum from the Division of Investment Management regarding a September 1, 2011, conference call with representatives of Credit Suisse Asset Management |
| Jun. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a June 9, 2011, meeting with representatives of Goldman Sachs, JP Morgan, and Morgan Stanley |
| Jun. 3, 2011 | Memorandum from the Division of Investment Management regarding a June 3, 2011, conference call with representatives of Goldman Sachs |
| May 20, 2011 | Memorandum from the Division of Investment Management regarding a May 20, 2011, meeting with representatives of American Council of Life Insurers |
| May 18, 2011 | Memorandum from the Division of Trading and Markets regarding a May 18, 2011, meeting with representatives of RBC Capital Markets and Sullivan &
Cromwell LLP |
| Apr. 28, 2011 | Memorandum from the Office of Commissioner Walter regarding an April 28, 2011, meeting with representatives of Royal Bank of Canada |
| Apr. 22, 2011 | Memorandum from the Division of Trading and Markets, regarding an April 20, 2011, meeting with representatives of Credit Suisse |
| Apr. 13, 2011 | Memorandum from the Division of Trading and Markets, regarding an April 13, 2011, meeting with representatives of Americans for Financial Reform |
| Apr. 7, 2011 | Memorandum from the Office of the Chairman regarding an April 5, 2011 meeting with members of the Board of SIFMA |
| Apr. 6, 2011 | Memorandum from the Division of Trading and Markets, regarding an April 6, 2011, meeting with representatives of Morgan Stanley |
| Mar. 29, 2011 | Memorandum from the Division of Trading and Markets, regarding a March 29, 2011, meeting with representatives of the Securities Industry and Financial Markets Association |
| Mar. 16, 2011 | Memorandum from the Division of Investment Management regarding a March 16, 2011, meeting with representatives of the Securities Industry and Financial Markets Association |
| Mar. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with a representative of the Goldman Sachs Group, Inc. |
| Feb. 24, 2011 | Memorandum from the Division of Investment Management regarding a February 24, 2011, meeting with representatives of the Financial Services Roundtable |
| Feb. 16, 2011 | Memorandum from the Office of Commissioner Elisse B. Walter regarding a February 16, 2011, meeting with representatives of Barclays Capital |
| Feb. 4, 2011 | Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc. |
| Feb. 4, 2011 | Memorandum from the Division of Trading and Markets and the Division of Risk, Strategy, and Financial Innovation regarding a February 3, 2011 telephone call with representatives of Woodbine Associates, Inc. |
| Jan. 11, 2011 | Memorandum from the Office of the Chairman regarding a January 5, 2011 meeting with representatives of Morgan Stanley |
| Jan. 11, 2011 | Memorandum from the Office of the Chairman regarding a January 10, 2011 meeting with representatives of Credit Suisse |
| Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a November 17, 2010, meeting with representatives of BNY ConvergEx Group, LLC |
| Dec. 14, 2010 | Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a December 13, 2010 telephone call with staff from Senators Merkley and Levin's offices |
| Dec. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a December 8, 2010 meeting with representatives of Citigroup |
| Dec. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a December 2, 2010 meeting with representatives of Morgan Stanley |
| Dec. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a November 30, 2010 meeting with representatives of JP Morgan |
| Dec. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a November 29, 2010 meeting with representatives of Goldman Sachs |
| Dec. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a November 29, 2010 meeting with representatives of Bank of America |
| Dec. 1, 2010 | Memorandum from the Office of the Chairman regarding a December 1, 2010, meeting with representatives of BlackRock |
| Nov. 8, 2010 | Memorandum from the Division of Trading and Markets regarding an November 8, 2010 meeting with representatives of Credit Suisse |
| Oct. 22, 2010 | Memorandum from the Division of Investment Management regarding an October 22, 2010 meeting with representatives of the Silicon Valley Bank Financial Group |
| Oct. 13, 2010 | Memorandum from the Office of the Chairman regarding an October 12, 2010, meeting with Labor Union Representatives |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable |
| Oct. 5, 2010 | Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a September 30, 2010 meeting with staff of Senator Jeff Merkley and Senator Carl Levin |
| Sep. 23, 2010 | Memorandum from the Office of Legislative and Intergovernmental Affairs regarding a September 17, 2010 meeting with staff of Senator Jeff Merkley and Senator Carl Levin |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
http://www.sec.gov/comments/df-title-vi/prohibitions/prohibitions.shtml
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