Comments on Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order

[Release No. 34-92632; File No. S7-07-21]

Submitted Comments

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Oct. 6, 2021 Colin Lloyd, Partner, Cleary, Gottlieb, Steen, Hamilton, LLP on behalf of UBS AG and Credit Suisse AG
Sep. 10, 2021 Gordon Kiesling, Managing Director, UBS AG; Thomas Bischof, Managing Director, UBS AG; Maria Chiodi, Managing Director, Credit Suisse AG; and Drew Shoemaker, Managing Director, Credit Suisse AG
Aug. 11, 2021 Marko
Aug. 10, 2021 Sherfey Investment Firm

Meetings with SEC Officials

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Oct. 8, 2021 Memorandum from the Division of Trading and Markets regarding an October 1, 2021 meeting with representatives from UBS AG and Credit Suisse AG (the Swiss Firms)
Aug. 12, 2021 Memorandum from the Division of Trading and Markets regarding an August 12, 2021 meeting with representatives from the Securities Industry and Financial Markets Association