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Security-Based Swap Dealers and Major Security-Based Swap Participants:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See also: Comments on Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act; File No. S7-16-10 and
Comments on Proposed Rule: Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"; File No. S7-39-10
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(Click here for meetings with SEC officials)
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| Jun. 18, 2012 | Joseph L. Seidel, Managing Director, Credit Suisse Securities (USA) LLC |
| Sep. 12, 2011 | Christopher A. Klem, Ropes & Gray LLP |
| Sep. 8, 2011 | ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association |
| Jul. 7, 2011 | John M. Damgard, President, FIA; Robert G. Pickel, Chief Executive Office, ISDA; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Jun. 3, 2011 | Adam Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC |
| Jun. 3, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| May 31, 2011 | Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce |
| May 18, 2011 | Sen. John Kerry and Sen. Jeanne Shaheen, United States Senate |
| May 11, 2011 | Branch Banking and Trust Company, East West Bank, Fifth Third Bank, The PrivateBank and Trust Company, Regions Bank, SunTrust Bank, U.S. Bank National Association, and Wells Fargo Bank, N.A. |
| May 6, 2011 | The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation |
| May 4, 2011 | Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association |
| May 3, 2011 | Reps. Tom Harkin, Max Baucus, Tim Johnson, Debbie Stabenow, Jeff Bingaman and Bob Casey, Jr., United States House of Representatives |
| Apr. 14, 2011 | "Swap Dealers and Major Swap Participants
Should Not be Treated as Identical Twins" submitted by Blackrock |
| Apr. 5, 2011 | Edward J. Rosen, Cleary Gottlieb Steen & Hamilton LLP, on behalf of Bank of America Merrill Lynch, Barclays Capital, BNP Paribas, Citi, Credit Agricole Corporate and Investment Bank, Credit Suisse Securities (USA), Deutsche Bank AG, HSBC, Morgan Stanley, Nomura Securities International, Inc., Societe Generale, UBS Securities LLC, Wells Fargo & Company |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Mar. 24, 2011 | Antonio Sáinz de Vicuña, European Financial Markets Lawyers Group |
| Mar. 15, 2011 | Rep. Spencer Bachus, United States House of Representatives |
| Feb. 22, 2011 | Mike Nicholas, Chief Executive Officer, Bond Dealers of America |
| Feb. 22, 2011 | Timothy Selby, Chair, The Committee on Futures and Derivatives Regulation, New York City Bar Association |
| Feb. 22, 2011 | Frank Iacono, Riverside Risk Advisors LLC |
| Feb. 22, 2011 | Timothy Cameron, Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Feb. 17, 2011 | Lanny Schwartz, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Societe Generale, and UBS AG |
| Feb. 17, 2011 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA and Robert G. Pickel, Executive Vice Chairman, ISDA |
| Feb. 3, 2011 | Gerald Donini, Barclays Capital Inc. |
| Jan. 22, 2011 | Barbara Roper, Consumer Federation of America; Lisa Donner, Americans for Financial Reform; Michael Greenberger, J.D, University of Maryland; and Damon Silvers, AFL-CIO |
| Jan. 18, 2011 | Natural Gas Supply Association, American Gas Association, Edison Electric Institute, Independent Petroleum Association of America, and Southwestern Energy |
| Jan. 18, 2011 | Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Jan. 11, 2011 | Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Societe Generale, and UBS AG | Nov. 23, 2010 | Laura J. Schisgall, Managing Director and Senior Counsel, Societe Generale |
| Nov. 2, 2010 | James P. Hoffa, General President, and C. Thomas Keegel, General Secretary-Treasurer, The International Brotherhood of Teamsters |
| Nov. 1, 2010 | James Hill, Managing Director, Morgan Stanley |
| Oct. 27, 2010 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Oct 22, 2010 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA and Robert G. Pickel, Executive Vice Chairman, ISDA |
| Oct 6, 2010 | Ernest Goodrich and Marcelo Riffaud, Deutche Bank AG |
| Sep. 22, 2010 | Richard H. Baker, President and CEO, Managed Funds Association |
| Sep 8, 2010 | Lynn D. Dudley, Senior Vice President Policy, American Benefits Council |
| Sep 2, 2010 | Christopher Klem, Ropes & Gray LLP, Boston, Massachussetts |
| Aug. 5, 2010 | Coalition for Derivatives End-Users |
| Jul. 29, 2010 | D. Furr |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia |
| Jul. 28, 2010 | Grant Calkins, retired VP, Paine Webber and others
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Nov. 14, 2013 | Memorandum from the Division of Trading and Markets regarding a November 7, 2013, meeting with representatives from the International Swaps and Derivatives Association |
| Feb. 15, 2013 | Memorandum from the Division of Trading and Markets regarding a February 15, 2013, meeting with representatives from Citigroup |
| Jan. 18, 2013 | Memorandum from the Division of Trading and Markets regarding a January 18, 2013, meeting with representatives from Barclays |
| Sep. 28, 2012 | Memorandum from the Division of Trading and Markets regarding a September 28, 2012, meeting with representatives from SIFMA |
| Sep. 21, 2012 | Memorandum from the Division of Trading and Markets regarding a September 21, 2012, meeting with representatives from Goldman Sachs |
| Aug. 3, 2012 | Memorandum from the Division of Trading and Markets regarding an August 2, 2012, meeting with representatives of JP Morgan |
| Jul. 3, 2012 | Memorandum from the Division of Trading and Markets regarding a June 13, 2012 meeting with representatives of Barclays |
| Jun. 6, 2012 | Memorandum from the Division of Trading and Markets regarding a June 6, 2012 meeting with representatives of Americans for Financial Reform, Public Citizen, and University of Maryland Center for Health & Homeland Security |
| Jun. 5, 2012 | Memorandum from the Division of Trading and Markets regarding a June 5, 2012, meeting with representatives from Natixis |
| May 23, 2012 | Memorandum from the Division of Trading and Markets regarding a May 23, 2012, conference call with representatives from KfW Bankengruppe |
| May 4, 2012 | Memorandum from the Division of Trading and Markets regarding a May 4, 2012, meeting with representatives from Americans for Financial Reform, Public Citizen, and the International Brotherhood of Teamsters |
| Apr. 24, 2012 | Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with a representative from Newedge USA |
| Apr. 17, 2012 | Memorandum from the Division of Trading and Markets regarding an April 10, 2012, meeting with representatives from SIFMA |
| Apr. 19, 2012 | Memorandum from the Office of the Chairman regarding an April 19, 2012, meeting with representatives of Credit Suisse Group AG |
| Mar. 5, 2012 | Memorandum from the Division of Trading and Markets regarding a March 5, 2012, call with representatives of Davis Polk & Wardwell LLP |
| Mar. 2, 2012 | Memorandum from the Division of Trading and Markets regarding a March 2, 2012, call with a representative of J.P. Morgan |
| Dec. 7, 2011 | Memorandum from the Division of Trading and Markets regarding a December 7, 2011 meeting with representatives of SIFMA |
| Nov. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives from international banks |
| Nov. 29, 2011 | Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives from the Managed Funds Association |
| Sep. 28, 2011 | Memorandum from the Division of Trading and Markets regarding a September 28, 2011, meeting with representatives from Barclays |
| Sep. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association |
| Sep. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Goldman Sachs |
| Sep. 8, 2011 | Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Goldman Sachs |
| Aug. 12, 2011 | Memorandum from the Division of Trading and Markets regarding an August 3, 2011, meeting with representatives from CIEBA |
| Aug. 2, 2011 | Memorandum from the Division of Trading and Markets regarding an August 2, 2011, meeting with representatives from Barclays |
| Jul. 19, 2011 | Memorandum from the Division of Trading and Markets regarding a July 19, 2011, meeting with representatives from J.P. Morgan Chase |
| Jul. 13, 2011 | Memorandum from the Division of Trading and Markets regarding a June 9, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| Jul. 13, 2011 | Memorandum from the Division of Trading and Markets regarding a June 22, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a June 21, 2011, meeting with representatives from various pension plans |
| Jun. 20, 2011 | Memorandum from the Division of Trading and Markets regarding a June 15, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| Jun. 2, 2011 | Memorandum from the Division of Trading and Markets regarding a May 26, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 27, 2011 | Memorandum from the Office of Commissioner Paredes regarding a May 11, 2011, meeting with representatives of Nomura |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 15, 2011, meeting with representatives from Siemens Corporation |
| May 16, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 11, 2011, meeting with representatives of Nomura |
| May 16, 2011 | Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 11, 2011 | Memorandum from the Division of Trading and Markets regarding a May 11, 2011, telephonic meeting with Robert Colby of Davis Polk & Wardwell LLP |
| May 11, 2011 | Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA) |
| May 5, 2011 | Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al. |
| May 4, 2011 | Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB) |
| May 5, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 5, 2011 meeting with representatives of Barclays Capital |
| Apr. 28, 2011 | Memorandum from the Division of Trading and Markets regarding an April 15, 2011 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Apr. 21, 2011 | Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
| Apr. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of the California State Teachers' Retirement System |
| Mar. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc. |
| Mar. 25, 2011 | Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs |
| Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA) |
| Mar. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a March 4, 2011 meeting with Representatives of U.S. and International Banks |
| Mar. 3, 2011 | Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB) |
| Mar. 1, 2011 | Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc |
| Feb. 10, 2011 | Memorandum from the Division of Trading and Markets regarding a January 27, 2011, meeting of the OTC Derivatives Supervisors Group (ODSG) with major participants in the OTC derivatives market |
| Feb. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a February 4, 2011, telephonic meeting with Ed Rosen of Cleary Gottlieb Steen & Hamilton LLP |
| Jan. 31, 2011 | Memorandum from the Office of Commissioner Walter regarding a January 31, 2011, meeting with representatives of Nomura Holding America Inc. |
| Dec. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a December 8, 2010, meeting with representatives from and members of the Managed Funds Association |
| Dec. 3, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a November 18, 2010, meeting with representatives of PIMCO |
| Nov. 30, 2010 | Memorandum from the Division of Trading and Markets regarding a November 30, 2010 meeting with representatives of Coalition for Derivatives End-Users |
| Nov. 30, 2010 | Memorandum from the Division of Trading and Markets regarding a November 22, 2010 meeting with representatives of Stable Value Firms |
| Nov. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a November 17, 2010 meeting with representatives of Property Casualty Association of America |
| Nov. 15, 2010 | Memorandum from the Division of Trading and Markets regarding a November 15, 2010 meeting with representatives of Society Generale |
| Nov. 12, 2010 | Memorandum from the Office of Commissioner Walter regarding a November 12, 2010 meeting with representatives of the International Swaps and Derivatives Association |
| Nov. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of ERISA-Regulated Pension Plans |
| Nov. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of Nomura |
| Nov. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a November 8, 2010 meeting with representatives of the American Council of Life Insurers |
| Nov. 4, 2010 | Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Committee of Annuity Insurers regarding Business Conduct Standards |
| Nov. 4, 2010 | Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Credit Derivatives Product Companies |
| Oct. 28, 2010 | Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association |
| Oct. 28, 2010 | Memorandum from the Division of Trading and Markets re: Phone Conference with Representatives of the Depository Trust and Clearing Corporation |
| Oct. 21, 2010 | Memorandum from the Division of Trading and Markets regarding an October 21, 2010 meeting with American Benefits Council and CIEBA |
| Oct. 14, 2010 | Memorandum from the Division of Trading and Markets regarding an October 14, 2010 meeting with representatives of the Municipal Securities Rulemaking Board |
| Oct. 14, 2010 | Memorandum from the Division of Trading and Markets regarding an October 14, 2010 meeting with representatives of Morgan Stanley |
| Oct. 12, 2010 | Memorandum from the Division of Trading and Markets regarding an October 12, 2010 meeting with representatives of the Stable Value Industry Association |
| Oct. 12, 2010 | Memorandum from the Division of Trading and Markets regarding an October 12, 2010 meeting with representatives of Markit |
| Oct. 6, 2010 | Memorandum from the Office of Commissioner Walter regarding an October 6, 2010 meeting with representatives of PIMCO |
| Oct. 5, 2010 | Memorandum from the Division of Trading and Markets regarding an October 5, 2010 meeting with representatives of the National Association of Insurance Commissioners |
| Oct. 1, 2010 | Memorandum from the Division of Trading and Markets regarding an October 1, 2010 phone conference with representatives of the International Swaps and Derivatives Association |
| Oct. 1, 2010 | Memorandum from the Division of Trading and Markets regarding an October 1, 2010 phone conference with dealer members of the Securities Industry and Financial Markets Association |
| Sep. 28, 2010 | Memorandum from the Division of Trading and Markets regarding a September 28, 2010, meeting with representatives of the Coalition for Derivatives End Users |
| Sep. 28, 2010 | Memorandum from the Division of Trading and Markets regarding a September 28, 2010 meeting with representatives of Trade Information Warehouse |
| Sep. 27, 2010 | Memorandum from the Division of Trading and Markets regarding a September 27, 2010 consultation with representatives of Goldman, Sachs & Co. |
| Sep. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of the Pan-Canadian Investors Committee for Third-Party Structured Asset-Backed Commercial Paper |
| Sep. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a September 21, 2010 meeting with the Financial Services Roundtable |
| Sep. 22, 2010 | Memorandum from the Division of Trading and Markets re: U.S. Chamber of Commerce, Center for Capital Markets Competitiveness event on "Over the Counter (OTC) Derivatives Reform: Preparing for a Changing Marketplace." |
| Sep. 22, 2010 | Memorandum from the Division of Trading and Markets regarding an September 22, 2010 meeting with representatives of Assured Guaranty |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 21, 2010 phone meeting with Omgeo |
| Sep. 20, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with the CFTC and representatives from certain pension plans |
| Sep. 20, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with certain industry representatives |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (p.m.) with representatives of Morgan Stanley |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley |
| Sep. 17, 2010 | David Geen, General Counsel, International Swaps and Derivatives Association, Inc. |
| Sep. 15, 2010 | Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with representatives of the Not-For-Profit Energy End User Coalition |
| Sep. 15, 2010 | Memorandum from the Office of Commissioner Paredes regarding a September 8, 2010, meeting with representatives of Credit Suisse |
| Sep. 15, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| Sep. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a September 9, 2010 meeting with representatives of the Alternative Investment Management Association (AIMA) |
| Sep. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 17, 2010 morning meeting with representatives of TriOptima |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Walter regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
| Sep. 7, 2010 | Memorandum from the Division of Trading and Markets regarding an August 13, 2010 meeting with representatives of Municipal Entities |
| Sep. 7, 2010 | Memorandum from the Division of Trading and Markets regarding a September 2, 2010 meeting with representatives of Assured Guaranty |
| Sep. 2, 2010 | Memorandum from the Division of Trading and Markets regarding a series of August meetings with Peter Shapiro of Swap Financial Group |
| Sep. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a September 1, 2010 meeting with representatives from the Conference of State Bank Supervisors ("CSBS"), the National Association of Insurance Commissioners ("NAIC"), and the North American Securities Administrators Association ("NASAA")" |
| Sep. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a September 1, 2010 teleconference with representatives of Goldman, Sachs & Co. and Goldman Sachs Execution & Clearing LLC |
| Sep. 1, 2010 | Memorandum from the Office of Commissioner Walter regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| Aug. 31, 2010 | Memorandum from the Division of Trading and Markets regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| Aug. 30, 2010 | Memorandum from the Division of Trading and Markets regarding an August 30, 2010 consultation with Groom Law Group |
| Aug. 30, 2010 | Memorandum from the Division of Trading and Markets regarding an August 27, 2010 meeting with representatives of Americans for Financial Reform, et al. |
| Aug. 26, 2010 | Memorandum from the Division of Trading and Markets regarding an August 26, 2010 meeting with representatives of the International Swaps and Derivatives Association (ISDA) |
| Aug. 25, 2010 | Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al. |
| Aug. 25, 2010 | Memorandum from the Office of International Affairs regarding an August 25, 2010 meeting with a representative of the Institute of International Finance |
| Aug. 24, 2010 | Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of the National Association of College and University Business Officers (NACUBO) |
| Aug. 24, 2010 | Memorandum from the Office of International Affairs regarding an August 16, 2010 meeting with representatives of the Government of Singapore Investment Corporation |
| Aug. 23, 2010 | Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of D.E. Shaw |
| Aug. 23, 2010 | Memorandum from the Division of Trading and Markets regarding an August 20, 2010 consultation with HBK |
| Aug. 19, 2010 | Memorandum from the Division of Trading and Markets regarding an August 19, 2010 consultation with Citibank |
| Aug. 19, 2010 | Memorandum from the Division of Trading and Markets regarding an August 19, 2010 meeting with representatives of Goldman, Sachs & Co. |
| Aug. 18, 2010 | Memorandum from the Division of Trading and Markets regarding an August 18, 2010 meeting with representatives of BlackRock |
| Aug. 13, 2010 | Memorandum from the Division of Trading and Markets regarding an August 13, 2010 meeting with representatives of Municipal Entities |
| Aug. 13, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 13, 2010 meeting with representatives from The Cypress Group and Koch Companies Public Sector, LLC |
| Aug. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a August 3, 2010 meeting with representatives of MarkitSERV |
| Aug. 12, 2010 | Memorandum from the Division of Trading and Markets regarding an August 12, 2010 meeting with representatives of certain public pension plans |
| Aug. 12, 2010 | Memorandum from the Division of Trading and Markets regarding an August 12, 2010 meeting with representatives of the Air Transportation Association |
| Aug. 11, 2010 | Memorandum from the Division of Trading and Markets regarding an August 11, 2010 consultation with representatives of American Public Gas Association |
| Aug. 11, 2010 | Memorandum from the Division of Trading and Markets regarding an August 6, 2010 meeting with representatives of the Chicago Mercantile Exchange Group |
| Aug. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 9, 2010 meeting with representatives of Americans for Financial Reform, et al. |
| Aug. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 5, 2010 meeting with representatives of the Municipal Securities Rulemaking Board |
| Aug. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 5, 2010 meeting with representatives of the Intercontinental Exchange |
| Aug. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 4, 2010 meeting with representatives of the National Futures Association |
| Aug. 3, 2010 | Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the Financial Industry Regulatory Authority |
| Aug. 3, 2010 | Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association |
http://www.sec.gov/comments/df-title-vii/swap/swap.shtml
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