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Comments on Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
[Release No. 34-69490; File No. S7-02-13]
See also: Comments on File No. S7-34-10, Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information, and Comments on File No. S7-40-11, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
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(Click here for meetings with SEC officials)
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| Nov. 14, 2014 | Karel Engelen, Senior Director, Head of Data, Reporting & FpML, International Swaps and Derivatives Association, Inc. |
| Nov. 19, 2013 | Kim Taylor, General Counsel, CME Group, and Kara L. Dutta, President, Clearing ICE Trade Vault, LLC |
| Oct. 2, 2013 | Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, American Bar Association |
| Sep. 23, 2013 | Kara L. Dutta, Assistant General Counsel, ICE Trade Vault, LLC |
| Sep. 3, 2013 | Matti Leppälä, Secretary General/CEO, PensionsEurope |
| Aug. 22, 2013 | Americans for Financial Reform |
| Aug. 21, 2013 | Steven Maijoor, Chair, European Securities and Markets Authority |
| Aug. 21, 2013 | Anne-Marie Leroy, Senior Vice President and Group General Counsel, World Bank, and Fady Zeidan, Acting Deputy/General Counsel, International Finance Corporation |
| Aug. 21, 2013 | Futures and Options Association, London, United Kingdom |
| Aug. 21, 2013 |
Kenneth E. Bentsen, Jr., President, SIFMA; Walt Lukken, President & Chief Executive Officer, Futures Industry Association; and Richard M. Whiting, Executive Director and General Counsel,
The Financial Services Roundtable |
| Aug. 21, 2013 | Per Sjöberg, Chief Executive Officer, TriOptima AB and Christoffer Mohammar, General Counsel, TriOptima AB |
| Aug. 21, 2013 | Larry E. Thompson, General Counsel, Depository Trust & Clearing Corporation |
| Aug. 21, 2013 | Jeff Gooch, Head of Processing, Markit, Chair and CEO, MarkitSERV |
| Aug. 21, 2013 | Agricultural Retailers Association, Business Roundtable, Financial Executives International, National Association of Corporate Treasurers, National Association of Manufacturers, and
U.S. Chamber of Commerce |
| Aug. 21, 2013 | Kathleen Cronin, Senior Managing Director, General Counsel, CME Group Inc. |
| Aug. 21, 2013 | Adam C. Cooper, Senior Managing, Director and Chief Legal Officer, Citadel LLC |
| Aug. 21, 2013 | Sarah A. Miller, Chief Executive Officer, Institute of International Bankers |
| Aug. 21, 2013 | Sullivan & Cromwell LLP |
| Aug. 21, 2013 | Søren Elbech, Treasurer, lnter-American Development Bank and Jorge Alers, General Counsel, lnter-American Development Bank |
| Aug. 21, 2013 | Karrie McMillan, General Counsel, Investment Company Institute and Dan Waters, Managing Director, ICI Global |
| Aug. 21, 2013 | Dennis M. Kelleher,President & CEO, Better Markets, Inc.; Stephen W. Hall,Securities Specialist, Better Markets, Inc.; and Katelynn 0. Bradley, Attorney, Better Markets, Inc. |
| Aug. 21, 2013 | Monique S. Botkin, Associate General Counsel, Investment Adviser Association |
| Aug. 21, 2013 | Patrick Pearson, European Commission |
| Aug. 21, 2013 | Dr. Lutz-Christian Funke, Senior Vice President, KfW and Dr. Frank Czichowski, Senior Vice President and Treasurer, KfW |
| Aug. 21, 2013 | Koichi lshikura, Executive Chief of Operations for International Headquarters, Japan Securities Dealers Association |
| Aug. 20, 2013 | Bruce Stern, Association of Financial Guaranty Insurers |
| Aug. 20, 2013 | Ernst-Albrecht Brockhaus, Member of the Management, Board, and Dr. Nico Zachert, Authorized Signatory, Legal/Compliance, FMS Wertmanagement |
| Aug. 19, 2013 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association, and Adam Jacobs, Director, Head of Markets Regulation, Alternative Investment Management Association |
| Aug. 19, 2013 | R. Glenn Hubbard and John L. Thornton, Co-Chairs, and Hal S. Scott, Director, Committee on Capital Markets Regulation |
| Aug. 17, 2013 | R. Glenn Hubbard and John L. Thornton, Co-Chairs, and Hal S. Scott, Director, Committee on Capital Markets Regulation |
| Aug. 15, 2013 | Jonathan B. Kindred and Shigesuke Kashiwagi, Co-chairs, Japan Financial Markets Council |
| Aug. 14, 2013 | Robert Pickel, International Swaps and Derivatives Association, Inc. (ISDA) |
| Aug. 14, 2013 | Robert Pickel, International Swaps and Derivatives Association, Inc. (ISDA) |
| Aug. 8, 2013 | Masaaki Tanaka, Deputy President, Mitsubishi UFJ Financial Group, Inc. |
| Aug. 8, 2013 | Kevin Nixon, Managing Director, Institute of International Finance |
| Aug. 6, 2013 | Jeffrey A. Merkley, et al., U.S. Congress |
| Jul. 15, 2013 | Chris Barnard, Germany |
| May 22, 2013 | Senators Sherrod Brown, Carl Levin, Tom Harkin, Elizabeth Warren, Jeff Merkley, and Dianne Feinstein; U.S. Senate |
| May 9, 2013 | Karim Shariff, Cupertino, California
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 9, 2015 | Memorandum from the Division of Trading and Markets regarding a June 9, 2015, meeting with representatives of Citadel and Delta Strategy Group |
| Jun. 18, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Apr. 22, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 22, 2015, meeting with representatives of Barclays |
| Apr. 14, 2015 | Memorandum from the Division of Trading and Markets regarding a March 24, 2015, meeting with representatives of Delta Strategy Group |
| Apr. 10, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding an April 7, 2015, meeting with representatives of Better Markets |
| Mar. 23, 2015 | Memorandum from the Division of Trading and Markets regarding participation of an SEC representative in a March 18, 2015, panel at the SIFMA C&L Annual Seminar |
| Mar. 23, 2015 | Memorandum from the Division of Trading and Markets regarding a March 20, 2015, conference call with representatives of UBS AG |
| Mar. 23, 2015 | Memorandum from the Division of Trading and Markets regarding a March 19, 2015, conference call with representatives of Barclays Capital Inc. |
| Mar. 6, 2015 | Memorandum from the Division of Trading and Markets regarding a February 20, 2015, meeting with representatives of Securities Industry and Financial Markets
Association (SIFMA) |
| Feb. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of UBS |
| Feb. 10, 2015 | Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of Americans for Financial Reform |
| Dec. 8, 2014 | Memorandum from the Division of Trading and Markets regarding a December 3, 2014, meeting with representatives of SIFMA |
| Aug. 11, 2014 | Memorandum from the Division of Trading and Markets regarding an August 11, 2014, conference call with representatives of HSBC |
| Jul. 28, 2014 | Memorandum from the Division of Trading and Markets regarding a July 28, 2014, meeting with representatives of HSBC |
| Jul. 1, 2014 | Memorandum from the Division of Trading and Markets regarding a July 1, 2014, conference call with a representative of Sullivan & Cromwell LLP |
| Jun. 19, 2014 | Memorandum from the Division of Trading and Markets regarding a June 17, 2014, conference call with representatives of Better Markets |
| Jun. 18, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a June 17, 2014, telephone call with a representative of Better Markets |
| Jun. 13, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a June 12, 2014, meeting with representatives of the Institute of Intemational Bankers |
| Jun. 3, 2014 | Memorandum from the Division of Trading and Markets regarding a May 29, 2014, meeting with a representative of Americans for Financial Security |
| Jun. 3, 2014 | Memorandum from the Division of Trading and Markets regarding a June 3, 2014, conference call with representatives of Better Markets |
| Jun. 3, 2014 | Memorandum from the Division of Trading and Markets regarding a May 29, 2014, meeting with representatives of Better Markets |
| May 28, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 28, 2014, meeting with representatives of the Institute of International Bankers |
| May 27, 2014 | Memorandum from the Division of Trading and Markets regarding a May 20, 2014, meeting with representatives of the Alternative Investment Management
Association |
| May 27, 2014 | Memorandum from the Division of Trading and Markets regarding a May 23, 2014, meeting with representatives of Better Markets |
| May 22, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a May 22, 2014, meeting with representatives of Barclays |
| May 21, 2014 | Memorandum from the Division of Trading and Markets regarding a May 19, 2014, meeting with representatives of Citigroup |
| May 13, 2014 | Memorandum from the Division of Trading and Markets regarding a May 10, 2014, call with a representative of J.P. Morgan |
| May 13, 2014 | Memorandum from the Division of Trading and Markets regarding a May 10, 2014, call with a representative of Goldman Sachs |
| May 13, 2014 | Memorandum from the Division of Trading and Markets regarding a May 9, 2014, conference call with representatives of the Institute of International Bankers |
| May 13, 2014 | Memorandum from the Division of Trading and Markets regarding a May 8, 2014, conference call with representatives of Goldman Sachs |
| May 13, 2014 | Memorandum from the Division of Trading and Markets regarding a May 8, 2014, conference call with representatives of Barclays Capital Inc. |
| May 13, 2014 | Memorandum from the Division of Trading and Markets regarding a May 8, 2014, meeting with representatives of Americans for Financial Security, Public Citizen, and the Institute for Agriculture and Trade Policy |
| May 7, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 7, 2014, meeting with representatives of the Institute of Intemational Bankers |
| May 7, 2014 | Memorandum from the Division of Trading and Markets regarding a May 6, 2014, conference call with representatives of J.P. Morgan |
| May 2, 2014 | Memorandum from the Division of Trading and Markets regarding a May 2, 2014, conference call with representatives of the Institute of International Bankers |
| Apr. 29, 2014 | Memorandum from the Division of Trading and Markets regarding an April 29, 2014, conference call with representatives of Goldman Sachs |
| Apr. 25, 2014 | Memorandum from the Division of Trading and Markets regarding an April 25, 2014, conference call with representatives of Goldman Sachs |
| Apr. 24, 2014 | Memorandum from the Division of Trading and Markets regarding an April 24, 2014, conference call with representatives of Barclays Capital Inc. |
| Apr. 14, 2014 | Memorandum from the Division of Trading and Markets regarding an April 14, 2014, conference call with representatives of Bank of America |
| Mar. 20, 2014 | Memorandum from the Division of Trading and Markets regarding a March 20, 2014, meeting with representatives of HSBC |
| Mar. 5, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 4, 2014, meeting with representatives of Nomura Securities |
| Jan. 31, 2014 | Memorandum from the Office of the Chair regarding a January 26, 2014, meeting with representatives of the Corporate Directors Forum |
| Jan. 9, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 9, 2014, meeting with representatives of Credit Suisse |
| Nov. 20, 2013 | Memorandum from the Office of the Chair regarding an October 1, 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 |
| Oct. 30, 2013 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 30, 2013, meeting with representatives of IntercontinentalExchange, Inc. (ICE) |
| Oct. 29, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013, meeting with representatives of ICE Trade Vault |
| Oct. 23, 2013 | Memorandum from the Division of Trading and Markets regarding an October 23, 2013, meeting with representatives of HSBC |
| Oct. 18, 2013 | Memorandum from the Division of Trading and Markets regarding an October 18, 2013, meeting with representatives of Cadwalader, Wickersham & Taft LLP |
| Oct. 7, 2013 | Memorandum from the Division of Trading and Markets regarding an October 3, 2013, meeting with representatives of the Alternative Investment Management Association (AIMA) and Crossroads Strategies, LLC |
| Oct. 7, 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. 27, 2013 | Memorandum from the Division of Trading and Markets regarding a September 27, 2013, meeting with representatives of Americans for Financial Reform, Public Citizen, Consumer Federation of America, and AFL-CIO |
| 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. 13, 2013 | Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets |
| Sep. 9, 2013 | Memorandum from the Division of Trading and Markets regarding an September 9, 2013, meeting with representatives of Barclays Bank PLC |
| Aug. 28, 2013 | Memorandum from the Division of Trading and Markets regarding an August 28, 2013, meeting with representatives of the Japanese Financial Services Agency |
| Sep. 5, 2013 | Memorandum from the Division of Trading and Markets regarding the September 2, 2013, publication of Basel-IOSCO paper: Margin Requirements for Non-Centrally Cleared Derivatives |
| Aug. 2, 2013 | Memorandum from the Division of Trading and Markets regarding an August 2, 2013, meeting with representatives of Nomura |
| Jul. 30, 2013 | Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with the Treasury Borrowing Advisory Committee |
| Jul. 2, 2013 | Memorandum from the Division of Trading and Markets regarding a July 2, 2013, meeting with Legislative Counsels to Senators Carl Levin and Senator Jeff Merkley |
| Jun. 24, 2013 | Memorandum from the Office of the Chair regarding a June 21, 2013, meeting with representatives of the Managed Funds Association |
| Jun. 19, 2013 | Memorandum from the Office of Commissioner Paredes regarding a June 19, 2013, meeting with Legislative Counsel to Senator Carl Levin |
| Jun. 18, 2013 | Memorandum from the Division of Trading and Markets regarding a June 18, 2013, conference call with representatives of the European Commission |
| 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. 18, 2013 | Memorandum from the Office of the Chair regarding a June 14, 2013, meeting with representatives of the Institute of International Bankers |
| Jun. 14, 2013 | Memorandum from the Office of the Chair regarding a June 6, 2013, meeting with representatives of Better Markets |
| Jun. 13, 2013 | Memorandum from the Office of Commissioner Paredes regarding a June 13, 2013, meeting with Legislative Counsel to Senator Carl Levin |
| Jun. 11, 2013 | Memorandum from the Division of Trading and Markets regarding a June 11, 2013, meeting with representatives of Bank of America |
| Jun. 11, 2013 | Memorandum from the Office of Commissioner Paredes regarding a June 11, 2013, meeting with representatives of Bank of America Merrill Lynch |
| May 31, 2013 | Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Bank of Japan |
| May 31, 2013 | Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Japanese Financial Services Agency |
| May 31, 2013 | Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the Japanese Ministry of Finance |
| May 31, 2013 | Memorandum from the Division of Trading and Markets regarding a May 31, 2013, meeting with representatives of the International Bankers Association Japan |
| May 30, 2013 | Memorandum from the Division of Trading and Markets regarding a May 30, 2013, meeting with representatives of the Japanese Securities Dealers Association |
| May 29, 2013 | Memorandum from the Division of Trading and Markets regarding a May 29, 2013, meeting with representatives of the OTC Derivatives Regulators Group |
| May 27, 2013 | Memorandum from the Division of Trading and Markets regarding a May 27, 2013, meeting with representatives of the Hong Kong Securities and Futures Commission, Hong Kong Monetary Authority, Hong Kong Financial Services and Treasury Bureau, Mandatory Provident Fund Authority, Office of the Commissioner of Insurance, and Monetary Authority of Macao |
| May 22, 2013 | Memorandum from the Office of Commissioner Paredes regarding a May 22, 2013, meeting with representatives of Goldman Sachs |
| May 13, 2013 | Memorandum from the Division of Trading and Markets regarding a May 13, 2013, meeting with representatives of the International Swaps and Derivatives Association |
| May 10, 2013 | Memorandum from the Division of Trading and Markets regarding a May 10, 2013, meeting with representatives of the Futures and Options Association |
| May 9, 2013 | Memorandum from the Division of Trading and Markets regarding a May 9, 2013, meeting with representatives of the Bank of England and the UK Financial Conduct Authority |
| May 9, 2013 | Memorandum from the Division of Trading and Markets regarding a May 9, 2013, meeting with representatives of Barclays Bank PLC |
http://www.sec.gov/comments/s7-02-13/s70213.shtml
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