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Comments on Proposed Rule: Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
[Release No. 34-63557; File No. S7-44-10]
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(Click here for meetings with SEC officials)
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| Oct. 3, 2011 | Larry E. Thompson, Managing Director and General Counsel, Depository Trust and Clearing Corporation |
| 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 |
| Jun. 3, 2011 | Alessandro Cocco, Managing Director, J.P.Morgan |
| May 6, 2011 | The Bank of Tokyo-Mitsubishi UFJ, Ltd., Mizuho Corporate Bank, Ltd. and Sumitomo Mitsui Banking Corporation |
| Apr. 4, 2011 | Scott Pintoff, General Counsel, GFI Group Inc. |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Feb. 17, 2011 | Barclays Bank PLC, BNP Paribas S.A., Credit Suisse AG, Deutsche Bank AG, HSBC, Nomura Securities International, Inc., Rabobank Nederland, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Société Générale, The Toronto-Dominion Bank and UBS AG |
| Feb. 14, 2011 | Dennis M. Kelleher, President and CEO, Stephen W. Hall, Securities Specialist, Wallace C. Turbeville, Derivatives Specialist, Better Markets, Inc. |
| Feb. 14, 2011 | Americans for Financial Reform |
| Feb. 14, 2011 | Tom Deutsch, Executive Director, American Securitization Forum |
| Feb. 14, 2011 | Gerald McEntee, President, American Federation of State, County and Municipal Employees |
| Feb. 14, 2011 | Kathleen Cronin, Managing Director, General Counsel and Corporate Secretary, CME Group, Inc. |
| Feb. 14, 2011 | Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives Association, Inc. |
| Feb. 14, 2011 | Roger Liddell, Chief Executive, LCH.Clearnet Group |
| Feb. 14, 2011 | William H. Navin, Executive Vice President and General Counsel, The Options Clearing Corporation |
| Jan. 22, 2011 | Naphtali M. Hamlet, Investor, Seattle, Washington |
| Jan. 21, 2011 | Suzanne H. Shatto, Investor, Snohomish, Washington |
| Jan. 11, 2011 | Davis Polk & Wardwell LLP, on behalf of Barclays Bank PLC, BNP Paribas S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland Group plc, Société Générale and UBS AG |
| Dec. 16, 2010 | Representative Spencer Bachus, Ranking Member, House Committee on Financial Services and Representative Frank Lucas, Ranking Member, House Committee on Agriculture |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Feb. 6, 2012 | Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of Citadel Investment Group, L.L.C. |
| Feb. 2, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 1, 2012, meeting with representatives of SIFMA |
| Nov. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase |
| Sep. 29, 2011 | Memorandum from the Division of Trading and Markets regarding a September 29, 2011 meeting with representatives of LCH.Clearnet and The Rich Feuer Group |
| Sep. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a September 16, 2011 telephone call with representatives of The Depository Trust Clearing Corporation |
| Jun. 23, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a June 23, 2011, meeting with representatives of Goldman Sachs |
| May 10, 2010 | Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group |
| 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. 5, 2011 | Memorandum from the Division of Trading and Markets regarding an April 5, 2011, telephone meeting with representatives of CME Group Inc. |
| Mar. 29, 2010 | Memorandum from the Division of Trading and Markets regarding a March 29, 2011 meeting with representatives of MarkitSERV, Markit, The Depository Trust Clearing Corporation and Winston & Strawn |
| Mar. 21, 2010 | Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC |
| Mar. 16, 2011 | Memorandum from the Division of Trading and Markets regarding a March 16, 2011, telephonic meeting with Ed Rosen and Bob Colby on foreign bank issues |
| Mar. 10, 2011 | Memorandum from the Division of Trading and Markets regarding a Telephonic meeting with representatives from ICE Trust LLC |
| Mar. 3, 2011 | Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of Better Markets, Inc. |
| Feb. 24, 2011 | Memorandum from the Division of Trading and Markets Regarding a February 24, 2011 Meeting with Representatives of Better Markets, Inc. |
| Feb. 10, 2011 | Memorandum from the Division of Trading and Markets regarding a January 27, 2011, meeting of the OTC Derivatives Supervisors Group (ODSG) with major participants in the OTC derivatives market |
| Feb. 1, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 31, 2011, meeting with representatives of Nomura |
| Jan. 20, 2010 | Memorandum from the Division of Trading and Markets regarding a January 20, 2011 meeting with representatives of Citadel LLC |
| Jan. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with foreign bank representatives |
| Dec. 16, 2010 | Memorandum from the Division of Trading and Markets regarding a December 16, 2010, telephone meeting with representatives of Citadel Investments and Kenneth Monahan |
http://www.sec.gov/comments/s7-44-10/s74410.shtml
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