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Comments on Proposed Rule: Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
[Release No. 34-74834; File No. S7-06-15]
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(Click here for meetings with SEC officials)
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| May 6, 2016 | Bert Fuqua, General Counsel, and Michael Loftus, Managing Director; Investment Bank Americas Legal, UBS AG |
| Feb. 2, 2016 | Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois |
| Jul. 13, 2015 | Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois |
| Jul. 13, 2015 | Sullivan & Cromwell LLP |
| Jul. 13, 2015 | Kenneth E. Bentsen, Jr., President & CEO, SIFMA, and Rich Foster, Senior Vice President & Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable |
| Jul. 13, 2015 | Mark A. Steffensen, Managing Director and General Counsel, HSBC Securities (USA) Inc. |
| Jul. 13, 2015 | Dennis M. Kelleher, President & CEO, et al., Better |
| Jul. 13, 2015 | David Geen, General Counsel, International Swaps and Derivatives Association, Inc. |
| Jul. 13, 2015 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
| Jul. 13, 2015 | Timothy W. Cameron, Esq., Managing Director, Head, Asset Management Group, and Laura Martin
Managing Director and Associate General Counsel, Asset Management Group; Securities Industry and Financial Markets Association |
| Jul. 13, 2015 | Sarah A. Miller, Chief Executive Officer, Institute of International Bankers |
| Jul. 13, 2015 | Dan Waters, Managing Director, ICI Global |
| Jun. 29, 2015 | Ely MacPhail, Leduc, Canada |
| Jun. 26, 2015 | Chris Barnard, Germany |
| May 22, 2015 | Dawn R. Bass, Las Vegas, Nevada |
| May 22, 2015 | DeVore Sherman, Nebraska |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Apr. 27, 2016 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an April 27, 2016, meeting with representatives of HSBC |
| Feb. 4, 2016 | Memorandum from the Division of Trading and Markets regarding a February 4, 2016, meeting with representatives of HSBC |
| Dec. 28, 2015 | Memorandum from the Division of Trading and Markets regarding a December 16, 2015, meeting with representatives of the International Swaps and Derivatives |
| Nov. 12, 2015 | Memorandum from the Division of Trading and Markets regarding a November 9, 2015, meeting with representatives of HSBC |
| Oct. 22, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 22, 2015, meeting with representatives of HSBC |
| Oct. 19, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 19, 2015, meeting with representatives of Citadel and Delta Strategy Group |
| 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 |
| Oct. 19, 2015 | Memorandum from the Division of Trading and Markets regarding an October 14, 2015, meeting with representatives of Barclays |
| Oct. 16, 2015 | Memorandum from the Division of Trading and Markets regarding an October 14, 2015, meeting with representatives of SIFMA AMG, BlackRock, Vanguard, Goldman Sachs Asset Management, and Russell |
| Sep. 14, 2015 | Memorandum from the Division of Trading and Markets regarding a September 8, 2015, meeting with representatives of ISDA |
| Aug. 31, 2015 | Memorandum from the Division of Trading and Markets regarding an August 28, 2015, meeting with representatives of the Institute of International Bankers and the Securities Industry and Financial Markets Association |
| Aug. 6, 2015 | Memorandum from the Division of Trading and Markets regarding a July 23, 2015, meeting with representatives of SIFMA |
| 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 24, 2015, meeting with representatives of Goldman Sachs |
| 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. 30, 2015 | Memorandum from the Division of Trading and Markets regarding a June 30, 2015, meeting with representatives of UBS |
| Jun. 30, 2015 | Memorandum from the Division of Trading and Markets regarding a June 29, 2015, meeting with a representative of Davis Polk & Wardwell |
| Jun. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Jun. 19, 2015 | Memorandum from the Division of Trading and Markets regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| Jun. 18, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 18, 2015, meeting with representatives of Goldman Sachs |
| 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 |
| May 12, 2015 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 12, 2015, meeting with representatives of HSBC |
| May 6, 2015 | Memorandum from the Division of Trading and Markets regarding an April 29, 2015, conference call with representatives of Cadwalader, Wickersham & Taft LLP |
| May 6, 2015 | Memorandum from the Division of Trading and Markets regarding an April 30, 2015, conference call with representatives of Davis Polk & Wardwell LLP |
| May 6, 2015 | Memorandum from the Division of Trading and Markets regarding an April 30, 2015, conference call with a representative of Cleary Gottlieb Steen & Hamilton LLP |
http://www.sec.gov/comments/s7-06-15/s70615.shtml
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