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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. S7-25-11]
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(Click here for meetings with SEC officials)
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| Apr. 12, 2016 | Phyllis C. Borzi, Assistant Secretary, U.S. Department of Labor |
| Nov. 3, 2015 | Kyle Brandon, Managing Director, SIFMA |
| Sep. 23, 2015 | Kyle Brandon, Managing Director, SIFMA |
| Aug. 7, 2015 | Kyle Brandon, Managing Director, Head of Derivatives and Director of Research, SIFMA |
| Sep. 10, 2014 | Angie Karna, Managing Director, Legal, Nomura Global Financial Products Inc., New York, New York |
| Oct. 18, 2013 | Dennis M. 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 |
| Jul. 22, 2013 | John M. Damgard, President, FIA; Robert Pickel, Executive Vice Chairman, ISDA; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Jul. 22, 2013 | Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers |
| 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 |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Feb. 18, 2016 | Memorandum from the Division of Trading and Markets regarding conference calls with representatives of the International Swaps and Derivatives |
| 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. 20, 2015 | Memorandum from the Division of Trading and Markets regarding a November 13, 2015, meeting with representatives of SIFMA and Cleary Gottlieb Steen & Hamilton LLP |
| 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 |
| Oct. 8, 2015 | Memorandum from the Division of Trading and Markets regarding an October 5, 2015, conference call with representatives of the Securities Industry and Financial Markets Association |
| Oct. 8, 2015 | Memorandum from the Division of Trading and Markets regarding a September 29, 2015, conference call with representatives of the Securities Industry and Financial Markets Association |
| Sep. 18, 2015 | Memorandum from the Division of Trading and Markets regarding a September 17, 2015, conference call with representatives of the Securities Industry and Financial Markets Association |
| 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 |
| Jul. 13, 2015 | Memorandum from the Division of Trading and Markets regarding a July 13, 2015, meeting with representatives of SIFMA |
| Nov. 14, 2013 | Memorandum from the Division of Trading and Markets regarding a November 7, 2013, meeting with representatives of the International Swaps and Derivatives Association |
| 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 |
Comments on Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
[Release No. 34-64766; File No. S7-25-11]
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(Click here for meetings with SEC officials)
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| Sep. 17, 2012 | Bruce Stern, Chairman, Association of Financial Guaranty Insurers |
| Dec. 7, 2011 | Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association and Nir D. Yarden, Chair, Institutional Investors Committee, Business Law Section, American Bar Association |
| Oct. 31, 2011 | Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| Oct. 4, 2011 | Joseph Dear, California Public Employees’
Retirement System; Jennifer Paquette, Colorado PERA; Keith Bozarth, State of Wisconsin Investment Board; Brian Guthrie, Teacher Retirement System of Texas; and Rick Dahl, Missouri State Employees’
Retirement System |
| Oct. 4, 2011 | Lawrence B. Patent, K&L Gates LLP, on behalf of the Church Alliance |
| Oct. 4, 2011 | Senator Tim Johnson, Chairman
U.S. Senate Committee on Banking, Housing, and Urban Affairs, and Congressman Barney Frank, Ranking Member, U.S. House Committee on Financial Services |
| Sep. 15, 2011 | Kent A. Mason, Davis & Harman LLP |
| 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 |
| Sep. 6, 2011 | Colette J. Irwin-Knott, National Association of Independent Public Finance Advisors, Montgomery, Illinois |
| Sep. 1, 2011 | John M. McNally, President, National Association of Bond Lawyers |
| Aug. 30, 2011 | Christopher J. Ailman, California State Teachers' Retirement System (CalSTRS) |
| Aug. 29, 2011 | Daniel F. C. Crowley, Partner, K&L Gates LLP, on behalf of the Church Alliance |
| Aug. 29, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Aug. 29, 2011 | John D. Walda, President and Chief Executive Officer, National Association of College and University Business Officers, Washington, District of Columbia |
| Aug. 29, 2011 | Timothy W. Cameron, Esq. Managing Director, Asset Management Group, Securities Industry and Financial Markets Association |
| Aug. 29, 2011 | Jeff Gooch, Chief Executive Officer, MarkitSERV |
| Aug. 29, 2011 | American Benefits Council |
| Aug. 29, 2011 | Barbara Roper, Director of Investor Protection, Consumer Federation of America; Marcus Stanley, Policy Director, Americans for Financial Reform; and Michael Greenberger, Law School Professor, Founder & Director, University of Maryland Center for Health & Homeland Security |
| Aug. 29, 2011 | Joseph Dear, Chief Investment Officer, California Public Employees’ Retirement System; Rick Dahl, Chief Investment Officer Missouri State Employees’ Retirement System; Keith Bozarth, Executive Director, State of Wisconsin Investment Board; Charles W. Grant, Chief Investment Officer, Virginia Retirement System;
Jennifer Paquette, Chief Investment Officer, Colorado PERA; and Ronnie Jung, Executive Director, Teacher Retirement System of Texas |
| Aug. 29, 2011 | Joanne T. Medero, BlackRock, Inc., San Francisco, California |
| Aug. 29, 2011 | Christopher A. Klem and Molly Moore, Ropes & Gray LLP |
| Aug. 29, 2011 | Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc. |
| Aug. 29, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Aug. 29, 2011 | Susan N. Kelly, Senior Vice President of Policy
Analysis and General Counsel, American Public Power Association, and Noreen Roche-Carter, Chair, Tax and Finance
Task Force, Large Public Power Council |
| Aug. 29, 2011 | Sen. Carl Levin, U.S. Senate |
| Aug. 29, 2011 | Mark Hepsworth, President, Institutional Business, Interactive Data Corporation, Bedford, Massachusetts |
| Aug. 29, 2011 | Gerald W. McEntee, President, American Federation of State, County and Municipal Employees, Washington, District of Columbia |
| Aug. 26, 2011 | John F. Damguard, President, Futures Industry Association; Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association; and Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association |
| Aug. 26, 2011 | R. Glenn Hubbard, Co-Chair, John L. Thornton, Co-Chair, and Hal S. Scott, Director, Committee on Capital Markets Regulation |
| Aug. 10, 2011 | Chris Barnard, Germany |
| Jul. 7, 2011 | Kenneth M. Fisher, Senior Vice President and
Chief Financial Officer, Noble Energy
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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 10, 2012, meeting with representatives of SIFMA |
| Aug. 10, 2012 | Memorandum from the Division of Trading and Markets regarding an August 6, 2012, meeting with representatives from the Association of Financial Guaranty Insurers |
| Feb. 2, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 25, 2012, meeting with representatives of Interactive Data Corporation |
| Feb. 2, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA |
| Dec. 7, 2011 | Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of Interactive Data |
| Oct. 13, 2011 | Memorandum from the Division of Trading and Markets regarding a September 29, 2011, consultation with representatives from the Consumer Federation of America, et al. |
| Oct. 13, 2011 | Memorandum from the Division of Trading and Markets regarding an October 13, 2011, consultation with representatives from the Consumer Federation of America, et al. |
| Sep. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a September 9, 2011, consultation with representatives from the Church Alliance |
| Sep. 8, 2011 | Memorandum from the Division of Trading and Markets regarding a September 8, 2011, meeting with representatives from Russell Investments |
| Sep. 7, 2011 | Memorandum from the Division of Trading and Markets regarding a September 7, 2011, meeting with a representative from Andrew Kalotay Associates, Inc. |
| Sep. 1, 2011 | Memorandum from the Division of Trading and Markets regarding a September 1, 2011, call with representatives from the City and County of San Francisco |
| Aug. 30, 2011 | Memorandum from the Division of Trading and Markets regarding an August 30, 2011, consultation with representatives from the American Benefits Council and CIEBA |
| Aug. 30, 2011 | Memorandum from the Division of Trading and Markets regarding an August 29, 2011, meeting with representatives from the Tennessee State Comptroller's Office |
| Aug. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a July 12, 2011, meeting with representatives from Russell Investments |
| Aug. 12, 2011 | Memorandum from the Division of Trading and Markets regarding an August 11, 2011, call with representatives from Russell Investments |
| Jul. 13, 2011 | Memorandum from the Division of Trading and Markets regarding a July 6, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
http://www.sec.gov/comments/s7-25-11/s72511.shtml
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