Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
[Release No. 34-91476; File No. S7-04-21]
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(Click here for meetings with SEC officials)
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| Jun. 21, 2021 | Daniel Scott Bryan |
| May 3, 2021 | Americans for Financial Reform Education Fund |
| May 3, 2021 | Kyle L. Brandon, Managing Director, Head of Derivatives Policy,
Securities and Financial Markets Association |
| May 3, 2021 | Dennis M. Kelleher, President & CEO, Better Markets, Inc.; Stephen Hall, Legal Director and Securities Specialist, Better Markets, Inc.; and Jason Grimes, Senior Counsel, Better Markets, Inc. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jul. 30, 2021 | Memorandum from the Division of Trading and Markets regarding a July 28, 2021 meeting with representatives of Morgan Stanley |
| July 20, 2021 | Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 19, 2021, meeting with representatives of Morgan Stanley |
| Jul. 15, 2021 | Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 14, 2021, meeting with representatives of Goldman Sachs |
| Jul. 14, 2021 | Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 14, 2021, meeting with representatives of Bank of America |
| Jul. 14, 2021 | Memorandum from Sheila Dombal Swartz, Senior Special Counsel, Office of Financial Responsibility, Division of Trading and Markets regarding a July 13, 2021, meeting with representatives of Morgan Stanley |
| May 20, 2021 | Memorandum from the Division of Trading and Markets regarding a May 20, 2021, meeting with representatives of Goldman Sachs |
| May 19, 2021 | Memorandum from the Division of Trading and Markets regarding a May 17, 2021, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) |
| May 19, 2021 | Memorandum from the Division of Trading and Markets regarding a May 17, 2021, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA) |
| May 19, 2021 | Memorandum from the Division of Trading and Markets regarding a May 18, 2021, meeting with representatives of Morgan Stanley |
| May 14, 2021 | Memorandum from the Division of Trading and Markets regarding a May 14, 2021, meeting with representatives of Morgan Stanley |
| Apr. 7, 2021 | Memorandum from the Division of Trading and Markets regarding a April 7, 2021, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
