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Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
[Release No. 34-69491; File No. S7-06-11]
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(Click here for meetings with SEC officials)
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| Feb. 2, 2016 | Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois |
| Dec. 19, 2014 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
| Oct. 18, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Jul. 22, 2013 | Dennis Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Jun. 28, 2013 | Stephen P. O'Connor, Chairman, and Robert G. Pickel, Chief Executive Officer, ISDA |
| May 21, 2013 | Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association, Investment Company Institute, Securities Industry and Financial Markets Association
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a November 8, 2019, teleconference with representatives from Tradeweb |
| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a October 16, 2019, teleconference with representatives from BGC Partners and GFI Group |
| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a October 7, 2019, meeting with representatives from Tradition |
| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a October 2, 2019, meeting with representatives from Bloomberg L.P. |
| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a September 25, 2019, teleconference with representatives from MarketAxess |
| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a September 25, 2019, meeting with representatives from the National Futures Association |
| Jan. 27, 2020 | Memorandum from the Division of Trading and Markets regarding a September 16, 2019, meeting with representatives from TP ICAP |
| Dec. 1, 2017 | Memorandum from the Division of Trading and Markets regarding a November 29, 2017, meeting with representatives of Citigroup |
| Oct. 19, 2015 | Memorandum from the Division of Trading and Markets regarding an October 19, 2015, meeting with representatives of Citadel and Delta Strategy Group |
| Aug. 7, 2015 | Memorandum from the Office of the Chair regarding a July 23, 2015, meeting with representatives of the Managed Funds Association |
| Jul. 24, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a July 24, 2105 meeting with representatives of the Managed Funds Association |
| Jul. 23, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a July 23, 2015, meeting with representatives of the Managed Funds Association |
| Jul. 13, 2015 | Memorandum from the Division of Trading and Markets regarding a June 25, 2015, meeting with representatives of the Wholesale Markets Brokers’ Association Americas |
| Jun. 25, 2015 | Memorandum from the Division of Trading and Markets regarding a June 25, 2015, meeting with representatives of the Wholesale Markets Brokers’ Association Americas |
| 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 |
| Apr. 14, 2015 | Memorandum from the Division of Trading and Markets regarding a March 24, 2015, meeting with representatives of the Americans for Financial Reform |
| Feb. 10, 2015 | Memorandum from the Division of Trading and Markets regarding a February 5, 2015, meeting with representatives of the Americans for Financial Reform |
| Nov. 3, 2014 | Memorandum from the Division of Trading and Markets regarding a October 29, 2014, conference call with representatives of the Wholesale Markets Brokers' Association |
| Oct. 7, 2014 | Memorandum from the Division of Trading and Markets regarding a October 7, 2014, conference call with representatives of Tullett Prebon |
| Oct. 6, 2014 | Memorandum from the Division of Trading and Markets regarding a September 26, 2014, conference call with representatives of Bloomberg L.P. |
| Oct. 6, 2014 | Memorandum from the Division of Trading and Markets regarding a September 24, 2014, conference call with representatives of Tradeweb Markets LLC |
| Oct. 6, 2014 | Memorandum from the Division of Trading and Markets regarding a September 30, 2014, conference call with representatives of MarketAxess Corporation |
| Oct. 6, 2014 | Memorandum from the Division of Trading and Markets regarding a September 25, 2014, conference call with representatives of Javelin Capital Markets, LLC |
| Oct. 6, 2014 | Memorandum from the Division of Trading and Markets regarding a September 19, 2014, conference call with representatives of ICAP |
| Aug. 14, 2014 | Memorandum from the Division of Trading and Markets regarding a June 19, 2014, meeting with representatives of MarketAxcess |
| Aug. 7, 2014 | Memorandum from the Division of Trading and Markets regarding a August 7, 2014, meeting with representatives of Markit |
| Jun. 13, 2014 | Memorandum from the Division of Trading and Markets regarding a June 12, 2014, conference call with representatives of the Managed Funds Association |
| May 21, 2014 | Memorandum from the Division of Trading and Markets regarding a May 20, 2014, conference call with representatives of the Wholesale Market Brokers' Association |
| Apr. 3, 2014 | Memorandum from the Division of Trading and Markets regarding a November 26, 2013, conference call with representatives of ICAP and triReduce |
Comments on Proposed Rule: Registration and Regulation of Security-Based Swap Execution Facilities
[Release No. 34-63825; File No. S7-06-11]
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(Click here for meetings with SEC officials)
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| Jul. 31, 2012 | Christopher Ferreri, Chairman, Wholesale Markets Brokers' Association, Americas |
| Jun. 13, 2012 | Jas Singh, Managing Director, Marketplaces, Thomson Reuters |
| May 18, 2012 | Paul Hamill, Managing Director, and David Kelly, Managing Director, UBS Securities LLC |
| May 18, 2012 | Paul Hamill, Managing Director, and David Kelly, Managing Director, UBS Securities LLC |
| Apr. 21, 2012 | Michael Hisler, The Swaps & Derivatives Market Association |
| Mar. 30, 2012 | Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc., Washington, District of Columbia |
| Mar. 14, 2012 | Mike Hisler, SDMA, New York, New York |
| Mar. 5, 2012 | George D. Baker, Attorney, Washington, District of Columbia |
| Feb. 18, 2012 | Mike Hisler, Swaps and Derivatives Market Association (SDMA), New York, New York |
| Dec. 12, 2011 | Thomas H. Glocer, Chief Executive Officer, Thomson Reuters |
| Dec. 9, 2011 | David E. Franasiak, on behalf of Bloomberg |
| Nov. 16, 2011 | Mary P. Johannes, Senior Director and Head of US Public Policy, International Swaps and Derivatives Association, Inc. |
| Nov. 11, 2011 | Joanne T. Medero, Managing Director, BlackRock; Raymond J. Dorado, Executive Vice President and Deputy General Counsel, BNY Mellon; and Stefan M. Gavell, Executive Vice President, Global Head of Regulatory, Industry and Government Affairs, State Street Corporation |
| Nov. 2, 2011 | David Kelly, Managing Director, and Paul Hamill, Executive Director, UBS Securities LLC, New York, New York |
| Oct. 19, 2011 | Michael Hisler, Co-Founder, Swaps & Derivatives Market Association |
| Oct. 12, 2011 | John F. Spencer, Jr., Cochranville, Pennsylvania |
| Oct. 5, 2011 | Shawn Bernardo, Managing Director, Tullett Prebon |
| 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. 28, 2011 | Christoffer Mohammar, General Counsel, TriOptima Group |
| Jul. 12, 2011 | Scott Pintoff, General Counsel, GFI Group Inc. |
| Jul. 7, 2011 | Mark Beeston, Chief Executive Officer, Portfolio Risk Services, ICAP plc, London, United Kingdom |
| Jun. 3, 2011 | Chris Koppenheffer, Swaps & Derivatives Market Association |
| Jun. 3, 2011 | Alessandro Cocco, Managing Director, J. P. Morgan |
| Jun. 3, 2011 | Stephen Merkel, Chairman, Wholesale Markets Brokers’ Association Americas |
| Jun. 3, 2011 | Farooq Jaffrey, Chief Executive Officer, Traccr Limited |
| Jun. 2, 2011 | John R. Gidman On behalf of the Association of
Institutional INVESTORS |
| Apr. 21, 2011 | James Cawley, Co-Founder, Swaps & Derivatives Market Association |
| Apr. 8, 2011 | American Benefits Council |
| Apr. 6, 2011 | Americans for Financial Reform |
| Apr. 6, 2011 | R. Trabue Bland, IntercontinentalExchange, Inc. |
| 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 |
| Apr. 4, 2011 | Nicholas J. Stephan, Chief Executive Officer, Phoenix Partners Group LP |
| Apr. 4, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Apr. 4, 2011 | Timothy W. Cameron, Esq., Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Apr. 4, 2011 | Stephen Merkel, Chairman, WMBAA, BGC Partners, Inc.; Shawn Bernardo, Vice Chairman, WMBAA, Tullett Prebon; Christopher Ferreri, Board Member, WMBAA, ICAP; J. Christopher Giancarlo, Board Member, WMBAA, GFI Group Inc.; and Julian Harding, Board Member, WMBAA Tradition |
| Apr. 4, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Apr. 4, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Apr. 4, 2011 | Joanne Medero, Richard Prager, and Supurna VedBrat, BlackRock, Inc. |
| Apr. 4, 2011 | Dennis M. Kelleher, President & CEO; Stephen W. Hall, Securities Specialist; and Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc. |
| Apr. 4, 2011 | Scott Pintoff, General Counsel, GFI Oroup Inc. |
| Apr. 4, 2011 | Richard M. McVey, Chairman and Chief Executive Officer, MarketAxess Holdings Inc. |
| Apr. 4, 2011 | Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable |
| Apr. 4, 2011 | Nancy C. Gardner, Executive Vice President & General Counsel, Markets Division, Thomson Reuters |
| Apr. 4, 2011 | Craig S. Donohue, Chief Executive Officer, CME Group Inc. |
| Apr. 4, 2011 | Ben Macdonald, Global Head Fixed Income, Bloomberg L.P. |
| Apr. 4, 2011 | Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc. and Kenneth E. Bentsen, Jr. Executive Vice President Public Policy, the Securities Industry and Financial Markets Association |
| Apr. 4, 2011 | Lee H. Olesky, Chief Executive Officer and Douglas L. Friedman, General Counsel, Tradeweb Markets LLC |
| Apr. 4, 2011 | Arthur B. Reinstein, Deputy General Counsel, Chicago Board Options Exchange, Incorporated, Chicago, Illinois |
| Apr. 4, 2011 | Eric Baggesen, Senior Investment Officer, California Public Employees' Retirement System |
| Apr. 2, 2011 | Michael J. Aitken, Chief Scientist. and Ann Leduc, CEO, EWS Pty Ltd, Capital Markets Cooperative Research Centre, Sydney, Australia |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Mar. 6, 2011 | Suzanne H. Shatto, Investor, Seattle, Washington |
| Mar. 2, 2011 | Dale C. Moore, Mosier, Oregon |
| Feb. 12, 2011 | Chris Barnard, Germany |
| Feb. 11, 2011 | Patrick Durkin, Managing Director, Barclays Capital Inc. |
| Feb. 8, 2011 | Kenneth A. Monahan, Principal, Vizier Ltd., New York, New York |
Meetings with SEC Officials
Click here for submitted comments from the public)
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| Oct. 22, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 16, 2012, meeting with representatives of the Wholesale Market Brokers Association, Americas (WMBAA) |
| Oct. 22, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 10, 2012, meeting with representatives of SIFMA |
| Oct. 17, 2012 | Memorandum from the Division of Trading and Markets regarding an October 10, 2012, meeting with representatives of Creditex |
| Sep. 28, 2012 | Memorandum from the Division of Trading and Markets regarding a September 25, 2012, meeting with representatives of NFA |
| Aug. 21, 2012 | Memorandum from the Office of the Chairman regarding an August 21, 2012, telephone call with a representative of ICAP Americas |
| Aug. 21, 2012 | Memorandum from the Office of the Chairman regarding an August 21, 2012, meeting with representatives of OTC Markets |
| Aug. 16, 2012 | Memorandum from the Office of Commissioner Aguilar regarding an August 13, 2012, telephonic meeting with a representative of ICAP plc |
| Aug. 14, 2012 | Memorandum from the Division of Trading and Markets regarding an August 13, 2012, meeting with representatives from Tullett Prebon |
| Jul. 31, 2012 | Memorandum from the Division of Trading and Markets regarding a July 25, 2012, meeting with representatives of Creditex |
| Jul. 18, 2012 | Memorandum from the Division of Trading and Markets and the Office of Compliance Inspections and Examinations regarding a July 17, 2012, meeting with representatives of NFA |
| Jul. 5, 2012 | Memorandum from the Division of Trading and Markets regarding a July 2, 2012, meeting with a representative of MarkitServ |
| Jul. 2, 2012 | Memorandum from the Division of Trading and Markets regarding a June 19, 2012, meeting with representatives of UBS |
| Jun. 25, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a June 19, 2012, meeting with representatives of UBS |
| Jun. 20, 2012 | Memorandum from the Office of Commissioner Paredes regarding a June 19, 2012, meeting with representatives of UBS |
| Jun. 11, 2012 | Memorandum from the Division of Trading and Markets regarding a June 4, 2012, meeting with representatives of Tullett Prebon |
| May 23, 2012 | Memorandum from the Division of Trading and Markets regarding a May 16, 2012, meeting with representatives of GFI Group |
| May 10, 2012 | Memorandum from the Division of Trading and Markets regarding a May 9, 2012, meeting with representatives of Thomson Reuters |
| May 10, 2012 | Memorandum from the Office of Commissioner Paredes regarding a May 9, 2012, meeting with representatives of Thomson Reuters |
| May 9, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a May 9, 2012, meeting with representatives of Thomson Reuters |
| Apr. 25, 2012 | Memorandum from the Division of Trading and Markets regarding an April 24, 2012, meeting with representatives from the Wholesale Market Brokers Association |
| Mar. 28, 2012 | Memorandum from the Division of Trading and Markets regarding a March 27, 2012, meeting with representatives of UBS |
| Mar. 26, 2012 | Memorandum from the Division of Risk, Strategy, and Financial Innovation and the Division of Trading and Markets regarding a March 16, 2012, meeting with representatives from SDMA/Javelin |
| Mar. 5, 2012 | Memorandum from the Division of Trading and Markets regarding a February 29, 2012, meeting with representatives from ICAP |
| Feb. 27, 2012 | Memorandum from the Division of Trading and Markets regarding a February 23, 2012, meeting with representatives of TriOptima |
| Feb. 21, 2012 | Memorandum from the Division of Trading and Markets regarding a February 17, 2012, meeting with representatives of Better Markets, Inc. |
| Feb. 14, 2012 | Memorandum from the Office of the Chairman regarding a February 14, 2012, meeting with representatives from ICAP |
| Feb. 2, 2012 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA |
| Jan. 23, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a January 17, 2012, meeting with representatives of Bloomberg L.P. |
| Jan. 20, 2012 | Memorandum from the Division of Trading and Markets regarding a January 19, 2012, meeting with representatives from Better Markets, Inc. |
| Jan. 18, 2012 | Memorandum from the Office of Commissioner Paredes regarding a January 17, 2012, meeting with a representatives of Bloomberg LP, Bloomberg Tradebook, and Williams & Jensen |
| Jan. 17, 2012 | Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of Bloomberg |
| Dec. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a December 21, 2011, meeting with a representative of ICAP |
| Dec. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a December 13, 2011, conference call with representatives from ISDA and SIFMA |
| Dec. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a December 14, 2011, meeting with representatives of Thomson Reuters |
| Dec. 12, 2011 | Memorandum from the Office of Commissioner Paredes regarding a December 8, 2011, meeting with representatives of Bank of America; Barclays Capital; BNP Paribas; Credit Agricole; Deutsche Bank; Goldman Sachs; Morgan Stanley; Nomura; RBC; Societe Generale; Wells Fargo; HSBC; Davis, Polk; SIFMA and Citibank |
| Dec. 7, 2011 | Memorandum from the Office of Commissioner Walter regarding a meeting with Representatives of the Securities Industry and Financial Markets Association |
| Nov. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives from international banks |
| Nov. 18, 2011 | Memorandum from the Division of Trading and Markets regarding a November 16, 2011, meeting with representatives from Javelin |
| Nov. 18, 2011 | Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with representatives from Barclays |
| Nov. 18, 2011 | Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with a representative of ICAP |
| Nov. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 3, 2011, meeting with representatives from Wholesale Markets Brokers' Association, Americas (WMBA Americas) |
| Nov. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 3, 2011, meeting with representatives from Thomson Reuters |
| Nov. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 4, 2011, meeting with representatives from ICAP |
| Nov. 1, 2011 | Memorandum from the Division of Trading and Markets regarding an October 27, 2011, meeting with representatives from MarketAxess |
| Nov. 1, 2011 | Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives from Bloomberg |
| Oct. 24, 2011 | Memorandum from the Division of Trading and Markets regarding an October 6, 2011, meeting with representatives from TriOptima |
| Sep. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from the Swaps and Derivatives Market Association (SDMA) |
| Sep. 9, 2011 | Memorandum from the Office of Commissioner Paredes regarding a September 8, 2011, meeting with representatives from ICAP Electronic Broking LLC |
| Sep. 8, 2011 | Memorandum from the Office of Commissioner Walter regarding a September 8, 2011, meeting with representatives from ICAP |
| Aug. 2, 2011 | Memorandum from the Division of Trading and Markets regarding a July 25, 2011, meeting with representatives from the National Futures Association (NFA) |
| Jul. 28, 2011 | Memorandum from the Division of Trading and Markets regarding a July 27, 2011, meeting with representatives from Vyapar Capital Market Partners LLC |
| Jul. 28, 2011 | Memorandum from the Division of Trading and Markets regarding a July 26, 2011, meeting with representatives from the Financial Industry Regulatory Authority, Inc. (FINRA) |
| Jul. 27, 2011 | Memorandum from the Division of Trading and Markets regarding a July 27, 2011, meeting with representatives from The TABB Group, LLC |
| Jul. 27, 2011 | Memorandum from the Division of Trading and Markets regarding a July 20, 2011, meeting with representatives from UBS |
| Jul. 22, 2011 | Memorandum from the Division of Trading and Markets regarding a July 21, 2011, meeting with representatives of Bloomberg LLP |
| Jul. 22, 2011 | Memorandum from the Division of Trading and Markets regarding a July 20, 2011, meeting with representatives of Spring Trading |
| Jul. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a July 14, 2011, meeting with representatives of GFI Group, Inc. |
| Jul. 1, 2011 | Memorandum from the Division of Trading and Markets regarding a June 27, 2011, meeting with representatives of MarketAxess |
| Jun. 27, 2011 | Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Tradeweb Markets LLC |
| Jun. 27, 2011 | Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives from Tradeweb |
| Jun. 24, 2011 | Memorandum from the Division of Trading and Markets regarding a June 23, 2011, meeting with representatives of Bloomberg L.P. |
| Jun. 23, 2011 | Memorandum from the Office of Commissioner Walter regarding a June 23, 2011, meeting with representatives of Goldman Sachs |
| Jun. 23, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs |
| Jun. 10, 2011 | Memorandum from the Division of Trading and Markets Regarding a Meeting with Representatives of TriOptima, Clifford Chance LLP and Delta Strategy Group |
| May 25, 2011 | Memorandum from the Division of Trading and Markets regarding a May 16, 2011, meeting with representatives from Phoenix Partners Group, LP |
| May 19, 2011 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 11, 2010 | Memorandum from the Division of Trading and Markets regarding a May 17, 2011 Meeting with Representatives of ICAP and Patton Boggs LLP |
| May 12, 2011 | Memorandum from the Division of Trading and Markets regarding a May 11, 2011, meeting with representatives from GFI Group Inc. |
| May 12, 2011 | Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives from BNY Mellon |
| May 9, 2011 | Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives from Javelin |
| May 3, 2011 | Memorandum from the Division of Trading and Markets regarding an April 27, 2011, telephonic meeting with representatives from the Securities Industry and Financial Markets Association Asset Management Group (SIFMA-AMG) |
| Apr. 20, 2011 | Memorandum from the Office of Commissioner Aguilar regarding an April 20, 2011, meeting with representatives the International Swaps and Derivatives Association, Inc. |
| Apr. 20, 2011 | Memorandum from the Office of Commissioner Walter regarding an April 20, 2011, meeting with representatives the International Swaps and Derivatives Association, Inc. | | Mar. 9, 2010 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011 meeting with representatives of the Managed Funds Association |
| Mar. 2, 2011 | Memorandum from the Office of Commissioner Paredes regarding a March 1, 2011, meeting with representatives of Nomura |
| Feb. 28, 2011 | Memorandum from the Division of Trading and Markets regarding a February 24, 2011, meeting with representatives of GFI Group |
| Feb. 24, 2011 | Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs |
| Feb. 23, 2011 | Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of Barclays Capital |
| Feb. 23, 2011 | Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of Bloomberg LLP |
| Feb. 22, 2011 | Memorandum from the Division of Trading and Markets regarding a February 16, 2011, meeting with representatives of TruMarx Data Partners and Delta Strategy Group |
| Feb. 21, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies |
| Feb. 16, 2011 | Memorandum from the Office of Commissioner Elisse B. Walter regarding a February 16, 2011, meeting with representatives of Barclays Capital |
| Feb. 14, 2011 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 4, 2011, meeting with representatives of Barclays |
| Feb. 4, 2011 | Memorandum from the Office of the Chairman regarding a February 4, 2011, meeting with representatives of Barclays Capital, Inc. |
| Feb. 3, 2011 | Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Barclays Capital |
| Feb. 3, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a February 3, 2011, meeting with representatives of Barclays Capital |
http://www.sec.gov/comments/s7-06-11/s70611.shtml
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