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Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds.
12 CFR Part 351 - RIN 3064–AD85 - PDF

Extension of Comment Period - PDF

Comment Period End:  February 13, 2012

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Form letter from Americans for Financial Reform - PDF  (603 received)
Form letter - PDF  (15,845 received)
01. Securities Industry and Financial Markets Association, Randolph Snook - PDF
        -- Supplement Comment - PDF
02. Private Equity Growth Capital Council, Douglas Lowenstein - PDF
03. Institute of International Bankers, New York, NY, Sarah Miller - PDF
        -- Draft Regulatory Language - PDF
04. Financial Services Roundtable, Washington, DC, Richard Whiting - PDF
05. Mike McKeever - PDF & Additional Comment - PDF
06. Black Economic Council, Latino Business Chamber of Greater LA, and National Asian American Coalition - PDF
07. Withdrawn
08. Robert Ruthowski, Topeka, KS - PDF  Supplement Comment - PDF
09. Don Glickstein, Seattle, WA - PDF
10. David McClean - PDF
11. AlllianceBerstein, New York, NY, Peter Kraus - PDF
12. Chris Barnard - PDF
13. Alfred Brock, Wayne, MI - PDF
14. Center for Capital Market Competitiveness of the U.S. Chamber of Commerce, Washington, DC, David Hirschmann - PDF
15. Randel Pilo, Verona, WI - PDF
16. U.S. House of Representatives, Anna Eshoo (14th District - California) - PDF
17. Investment Industry Association of Canada, Toronto, Ontario, Ian Russell - PDF
18. Canadian Bankers Association, Toronto, Ontario, Canada, Terry Campbell - PDF
19. U.S. House of Representatives, Zoe Lofgren (16th District - California) - PDF
20. U.S. House of Representatives, Michael Honda (15th District - California) - PDF
21. Office of the Superintendent of Financial Institutions Canada (OSFI), Julie Dickson - PDF
22. National Association of Securities Professionals, Orim Graves - PDF
23. Ralph Saul, West Conshohocken, PA - PDF
24. U.S. House of Representatives, David Schweikert (5th District - Arizona) - PDF
25. Robert Welton - PDF
26. Raymond James Tax Credits, St. Petersburg, FL - PDF
27. Japanese Bankers Assocation - PDF
28. Wellington Management Co, Boston, MA, Perry Tranquina - PDF
29. U.S. Senate, Kay Hagan, North Carolina - PDF
30. Darrell Duffie, Stanford University, Palo Alto, CA - PDF
31. Center for Capital Marklets Competitiveness, Washington, DC, Tom Quaadman - PDF
32. The Bank of Montreal and four other Canadian banks - PDF
33. Standish Mellon Asset Management, Boston, MA, Amy Koch - PDF
34. Black Economic Council and others - PDF
35. Renaissance Venture Capital Fund, Ann Arbor, MI, Christopher Rizik - PDF
36. American Council of Life Insurers, Washington, DC, Julie Spiezio - PDF
37. U.S. Senate, Kirsten Gillibrand (New York) - PDF
38. The Norinchukin Bank, Tokyo, Japan - PDF
39. Income Research & Management, Boston, MA, William O'Malley - PDF
40. The Real Estate Roundtable, Washington, DC, Jeffrey DeBoer - PDF
41. Citigroup Global Markets, Howard Marsh - PDF
42. U.S. Congress - signed by 17 members - PDF
43. Information Technology and Innovation Foundation (ITIF), Washington, DC, Robert Atkinson - PDF
44. Eric Benhamou - PDF
45. U.S. House of Representatives, Jackie Speier (12th District - California) - PDF
46. Municipal Securities Rulemaking Board, Alexandria, VA, Alan Polsky - PDF
47. Ontario Financing Authority, Toronto, ON, Canada, Gadi Mayman - PDF
48. WEDBUSH, Inc, Los Angeles, CA, Eric Webush - PDF
49. Committee of Annuity Insurers - PDF
50. National Venture Capital Association, Mark Heesen - PDF
51. The Financial Services Roundtable, Richard Whiting - PDF
52. Lynda Aiman-Smith, Silver City, NM - PDF
53. BBVA Compass Consulting and Benefits, Inc., Houston, TX, Chuck Bracht - PDF
54. Northwestern Mutual Financial Network, Lawrence, KS, Joe Jones - PDF
55. Sofinnova Ventures, Menlo Park, CA, Hooman Shahlavi -PDF
56. Canaan Partners, Menlo Park, CA, Deepak Kamra -PDF (2)
57. G2 FinTech, George Michaels - PDF
58. Sheila Waddell - PDF
59. DBS Bank Ltd, Oversea-Chinese Banking Corporation, United Overseas Bank Limited, and the Association of Banks in Singapore - PDF
60. Clark Consulting, Greensboro, NC, Kurt Laning - PDF
61. Mohr Davidow, Menlo Park, CA, Joshua Green - PDF
62. WR Hambrecht + Co, San Francisco, CA, William Hambrecht - PDF
63. Withdrawn
64. Malayan Banking Berhad and The Association of Banks in Malaysia, Chuah Mei Lin - PDF
65. Conference of State Bank Supervisors, Washington, DC, John Ryan - PDF
66. MetLife, Morristown, NJ, Jonathan Rosenthal  - PDF
67. Association of Global Custodians, Dan Schneider - PDF
68. The Westly Group, Menlo Park, CA, Steve Westly - PDF
69. Association for Advance Life Underwriting, David Stertzer - PDF
70. River Cities Capital, Cincinnati, OH, Dan Fleming - PDF
71. Mutual of Omaha, Omaha, NE, David Diamond - PDF
72. Lord, Abbett & Co, Jersey City, NJ, Zane Brown - PDF
73. Thomas Keenan, Coeur d'Alene, ID - PDF
74. Kim Christensen, Bronxville, NY - PDF
75. David Herrngton, Syracuse, NY - PDF
76. Bangkok Bank Public Co, Krung Thai Bank Public Co, Kasikornbank Public Co, and Thai Bankers Association - PDF
77. Association of German Banks, Berlin. Germany - PDF
78. Scale Venture Partners, Foster City, CA, Kate Michell & Sharon Weinbar - PDF
79. Cadwalader, Wickerham & Taft - PDF
80. American Express Company, Juliana O'Reilly - PDF
81. Partners for Growth Managers, Andrew Kahn & Donald Campbell - PDF
82. Wisconsin Bankers Association, Rose Oswald Poels - PDF
83. NYSE Euronext, Janet McGinness - PDF
84. California Public Employees Retirement System, Sacramento, CA, Janine Guillot - PDF
85. Nationwide Mutual Insurance Company, Mark Thresher - PDF
86. Connecticut Housing Finance Authority, Susan Whetstone - PDF
87. M&T Bank Corporation, Buffalo, NY, Douglas Sheline - PDF
88. Institute of International Finance, Washington, DC - PDF
89. Property Casualty Insurers Association of America, James Olsen - PDF
90. National Association of Insurance Commissioners, Kevin McCarty & Therese Vaughan - PDF
91. Ashurst, Washington, DC - PDF
92. M Benefit Solutions, Portland, OR, Donald Friedman - PDF
93. Nuveen Asset Management, Cadmus Hicks - PDF
94. Skandinaviska Enskilda Banken, Stockolm, Magnus Carlsson - PDF
95. International Centre for Financial Regulation, Barbara Rodpath & John Andrews  - PDF
96. Committee on Investment of Employee Benefit Assets - PDF
97. U.S. Bank - PDF
98. Province of British Columbia, Kevin Falcon - PDF
99. National Association of Mutual Insurance Companies, Washington, DC - PDF
100. Columbia Management Investment Advisers, William Truscott - PDF
101. Gold Hill Capital, San Jose, CA, David Fischer - PDF
102. European Fund & Asset Management Association, Peter De Proft - PDF
103. Susan Almy, New Hampshire - PDF
104. Securities Industry & Financial Markets Association, New York,  NY, David Cohen  - PDF
105. Securities Industry & Financial Markets Association, Richard Dorfman & Christopher Killian - PDF
106. Investment Management Association, London, UK, Christiane Valansot - PDF
107. International Regulatory Strategy Group, London, UK - PDF
108. Securities Industry & Financial Markets Association, American Bankers Association, Financial Services Roundtable, & Clearing House Association - PDF
109. European Banking Federation, Guido Ravoet - PDF
110. Securities Industry & Financial Markets Association - PDF
111. Securities Industry & Financial Markets Association, American Bankers Association, Financial Services Roundtable, & Clearing House Association - PDF & Supplement Comment - PDF
112. U.S. Chamber of Commerce, David Hirschmann - PDF
113. Minister of Finance, Ottawa, Canada, James Flaherty - PDF
114. BVI Bundesverband Investment und Asset Management, Frankfort, Germany - PDF
115. Bank of Canada, Mark Carney - PDF
116. French Banking Federation, Paris, France, Pierre de Lauzun - PDF
117. Societe Generale, Laura Schisgall & Jason Hoberman - PDF
118. Association Francasie des Prefessionnels des Titres, Marcel Rencin - PDF
119. Paul Volcker, New York, NY - PDF
120. Deutsche Bundesbank & Bundesanstalt fur Finanzdienstleistungsaufsicht - PDF
121. Electric Reliability Council of Texas, Bill Magness - PDF
122. Association Francaise de la Gestion financiere, Pierre Bollon - PDF
123. John Reed, New York, NY - PDF
124. British Bankers' Association, Angela Knight - PDF
125. City of New York, Office of Management & Budget, New York, NY - PDF
126. UK Regulated Covered Bond Council, London, UK, Chris Fielding - PDF
127. Occupy SEC - PDF
       Form letter – joining Occupy SEC - PDF (1173 received)
128. HSBC Life (International), Hong Kong, Paul Beresford - PDF
129. International Council of Securities Associations, Kun Ho Hwang & Duncan Fairweather  - PDF
130. F&C Management, Philippa Hall - PDF
131. HSBC Bank USA, NA, New York, NY, Stuart Alderoty - PDF
132. Northern Trust, Chicago, IL - PDF
133. Public Affairs Executive of the European Private Equity & Venture Capital Industry, Brussels, Belgium  - PDF
134. PNC Financial Services Group, Pittsburgh, PA, E. William Parsley - PDF
135. The Clearing House Association & ABA Securities Association - PDF
136. The Clearing House Association, Daniel McCardell - PDF
137. Association for Financial Markets in Europe, Asia Securities Industry & Financial Markets Association, and others - PDF
138. National Trust for Historic Preservation & Historic Tax Credit Coalition - PDF
139. Shadow Financial Regulatory Committee - PDF
140. National Conference of State Legislatures - PDF
141. Bank of New York Mellon Corp, Northern Trust Corp, and State Street Corp - PDF
142. Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce and others - PDF
143. International Swaps & Derivatives Association, Washington, DC, Robert Pickel - PDF
144. State Street Corp, Boston, MA, Stefan Gavell - PDF
145. Lynn Stout, UCLA School of Law - PDF
146. Paul Bellamy, Shaker Heights, OH - PDF
147. General Electric & GE Capital Corp, Fairfield, CT - PDF, Supplement Comment - PDF
148. Skadden, Arps, Slate, Meagher & Flom, Washington, DC, William Sweet, Jr - PDF
149. Loan Syndications & Trading Association, New York, NY, R. Bram Smith - PDF
150. Bond Dealers of America, Washington, DC, Mike Nicholas - PDF
151. Credit Suisse Securities, Washington, DC - PDF &  Second Comment - PDF
152. Bessemer Group - PDF
153. FTN Financial, Memphis, TN, Jim Vogel - PDF
154. Small Business Investor Alliance, Washington, DC, Brett Palmer - PDF
155. Risk Management Association, Philadelphia, PA, Christopher Kunkle and Michael McAuley - PDF
156. JPMorgan Chase & Co., New York, NY, Barry Zubow - PDF
157. Public Utility Commission of Texas, Austin, TX, Kenneth Anderson, Jr. - PDF
158. Mizuho Corporate Bank, Limited, New York, NY, Angelo, Aldana - PDF
159. Mitsubishi UFJ Financial Group, Inc., Tokyo, Japan, Nobuyuki Hirano - PDF
160. Barclays Capital, Jerry del Missier - PDF
161. American Council of Life Insurers, Washington, DC, Carl Wilkerson - PDF
162. Investment Adviser Association, Washington, DC, Monique S. Botkin - PDF
163. Western Asset Management Company, Pasadena, CA, Ryan Brist and Stephen Walsh - PDF
164. Institute of International Bankers and European Banking Federation, Sarah Miller and Guido Ravoet - PDF
165. Affordable Housing Investors Council, Irmo, SC, Julie Hertzog - PDF
166. Deutsche Bank AG, Ernest Goodrich, Jr. and Salvatore Palazzolo - PDF
         -- Supplement Comment - PDF
167. Wells Fargo & Company, San Francisco, CA, James Strother - PDF
         -- Supplement Comment - PDF
168. American Securitization Forum, New York, NY, Tom Deutsch - PDF
169. 16 Organizations representing states, counties, cities and other governmental entities and authorities that access the municipal bond market - PDF
170. Committee on Investment of Employee Benefit Assets - PDF
171. 16 Commenting Parties (dealers, asset managers, pension funds, hedge funds and other clients and customers of dealers) - PDF
172. Independent Community Bankers of America, Washington, DC, Christopher Cole - PDF
173. Federal Home Loan Banks - PDF
174. Eaton Vance Corp., Boston, MA, Payson Swaffield - PDF
175. 8 Regional Banking Organizations - PDF
176. Lone Star Investment Advisors, Dallas, TX, Arthur Hollingsworth - PDF
177. United Services Automobile Association, San Antonio, TX, Steven Bennett - PDF
178. Allen & Overy LLP, New York, NY on behalf of a number of large internationally headquartered bank clients with US banking operations - PDF & Additional Comment - PDF
179. Katten Muchin Rosenman LLP, New York, NY - PDF
180. Public Citizen's Congress Watch, David Arkush and Bartlett Naylor - PDF
181. Bank of America Corporation, Edward O'Keefe - PDF
182. State Street Global Advisors, Boston, MA, Phillip Gillespie - PDF
183. National Association of Industrial Bankers, American Financial Services Association, Nevada Bankers Association, and Utah Bankers Association - PDF
184. Grosvenor Capital Management, L.P., Chicago, IL, Michael Sacks - PDF
185. Bank owned life insurance - PDF (13 received)
186. TCW Group, Inc., Los Angeles, CA, Michael Cahill and Sean Platter - PDF
187. T. Rowe Price Associates, Inc., Baltimore, MD, David Oestreicher, Christine Morgan, and Jonathan Siegel - PDF
188. Fixed Income Forum and Credit Roundtable - PDF
189. Bank of Montreal, Bank of Nova Scotia, Canadian Imperial Bank of Commerce, Deutsche Bank AG, HSBC Global Asset Management, Royal Bank of Canada, Societe Generale, Standard Chartered Bank, The Toronto-Dominion Bank, and - PDF
190. Wilmer Cutler Pickering, Hale and Dorr LLP, Washington, DC, Robert Kimmitt and Russell Bruemmer - PDF
191. New York State Division of Budget, Albany, NY, Robert Megna - PDF
192. Matthew Richardson, NYU Stern School of Business - PDF
193. Banco de México, Agustin Guillermo Carstens Carstens - PDF
194. Citigroup Inc., New York, NY, Brian Leach - PDF
195. Goldman Sachs Group, Inc., New York, NY, John Rogers (Proprietary Trading Prohibition) - PDF & Additional Comment (Fund Restrictions) - PDF
196. Robert Johnson, Roosevelt Institute and Joseph Stiglitz, Columbia University - PDF
197. Bank of Montreal, Bank of Nova Scotia, Canadian Imperial Bank of Commerce, National Bank of Canada, Royal Bank of Canada, and Toronto-Dominion Bank - PDF
198. Morgan Stanley, Colm Kelleher and Jim Rosenthal - PDF
199. Metropolitan Transportation Authority, New York, NY, Patrick McCoy - PDF
200. Canadian Bankers Association, Toronto, Ontario, Canada - PDF
201. CME Group Inc., Chicago, IL, Craig Donohue - PDF
202. Financial Services Roundtable, Washington, DC, Richard Whiting - PDF
203. Comision Nacional Bancaria y de Valores (National Banking and Securities Commission), Mexico, Carlos Serrano - PDF
204. Invesco Ltd., Atlanta, GA, Martin Flanagan - PDF
205. Novogradac & Company LLP, Alpharetta, GA on behalf of New Markets Tax Credit Working Group - PDF
206. Fidelity Investments, Boston, MA, Scott Goebel - PDF
207. OptumHealth Bank, Salt Lake City, UT, Kelvin Anderson - PDF
208. Australian Bankers' Association Inc., Sydney, Australia, Tony Burke - PDF
209. Royal Bank of Canada, Mark Standish - PDF
210. Andrea Psoras, New York, NY - PDF
211. Capital Group Companies, Inc., Los Angeles, CA, Andrew Barth and Paul Haaga, Jr. - PDF
212. Novogradac & Company LLP, San Francisco, CA on behalf of Low Income Housing Tax Credit Working Group - PDF
213. State of Washington, Olympia, WA, James McIntire, Treasurer - PDF
214. Australian Financial Markets Association, Sydney, Australia, David Love - PDF
215. IHS Inc., Cambridge, MA - PDF
216. Natixis Asset Management, Pascal Voisin - PDF
217. Allen & Overy, New York, NY - PDF
218. Renewable Energy Tax Credit Working Group, Boston, MA, Stephen Tracy & Tony Grappone - PDF
219. Better Markets, Inc., Washington, DC, Dennis Kelleher - PDF
220. Rhoda Schermer, Ridgewood, NJ - PDF
221. Simon Johnson - PDF
222. IntercontinentalExchange, Trabue Bland - PDF
223. National Rural Electric Cooperative Association, Arlington, VA, Russ Wasson - PDF
224. Anat Admaati & Paul Pfleiderer, Stanford University - PDF
225. Financial Executives International, Committee on Corporate Treasury, Teri List-Stoll - PDF
226. Katten, Muchin, Rosenman, New York, NY (on behalf of clients) - PDF
227. Americans for Financial Reform, American Federation of Labor, & others - PDF
228. U. S. Senate - Senator Jeff Merkley & Senator Carl Levin - PDF
229. Abbott Laboratories and 23 U.S.  corporations - PDF
230. U. S. Senate - Senator Bob Corker (Tennessee) - PDF
231. Finance Industry Council of Australia, Sydney, Australia- PDF
232. Putnam Investments, Boston, MA,Robert Reynolds  - PDF
233. American Bankers Association Securities Association, Cecelia Calaby - PDF
234. Small Business Investor Alliance, Brett Palmer - PDF
235. Private Equity Growth Capital Council, Douglas Lowenstein - PDF
236. American Bankers Association, Washington, DC, Frank Keating - PDF
237. Committee on Capital Markets Regulation, Hal Scott - PDF
238. American Bankers Association, Washington, DC, Wayne Abernathy - PDF
239. Country Financial, Mutual of Omaha, Nationwide Mutual Insurance & others  - PDF
240. Commercial Real Estate Finance Council, Washington, DC, Stephen Renna - PDF
241. Mid-size Bank Coalition of America, Los Angeles, CA,  Russell Goldsmith - PDF
242. American International Group & SunAmerica Life Insurance, Darren Trigonoplos & Christine Nixon - PDF
243. Ken Taymor, Berkeley Center of Law, University of California at Berkeley - PDF
244. ICI Global, London, UK, Dan Waters - PDF
245. August Capital, Menlo Park, CA, Andy Rappaport - PDF
246. Venrock, Palo Alto, CA - PDF
247. NEA, Louis Citron - PDF
248. SVB Financial Group, Mary Dent - PDF
249. Association of Institutional Investors, John Gidman - PDF
250. Investment Company Institute, Washington, DC - PDF
251. Investment Funds Institute of Canada, Toronto, Canada, Joanne De Laurentiis - PDF
252. SunTrust Banks, Atlanta, GA, Christine McGillis & David Bloom - PDF
253. Liberty Global, Charlie Bracken - PDF
254. National Australia Bank Limited, Stephen Tudjman - PDF
255. Union Asset Management Holding AG, Hans Joachim Reinke & Andreas Zubrod - PDF
256. Ministere des Finances, Quebec - PDF
257. Blue Run Ventures - PDF (4)
258. Sumitomo Trust & Banking Co, Bruce Ortwine - PDF
259. National Association of Bond Lawyers, Kristin Franceschi - PDF
260. Independent Bankers Association of Texas, Austin, TX, Christopher Williston - PDF
261. Port Authority of New York and New Jersey, Patrick Foye - PDF
262. Alternative Investment Management Association, London, UK, Jim Krol - PDF
263. Security Traders Association of New York, Kimberly Unger  - PDF
264. Treasurer of North Carolina, Janet Cowell - PDF
265. GW Financial, D. John Gagon - PDF
266. U. S. Senate - Signed by six Senators - PDF
267. UBS Americas, Stamford, CT, Robert McCann  - PDF
268. UBS Americas, Stamford, CT, Mark Shelton & Darryll Hendricks - PDF
269. U. S. House of Representatives, Signed by 25 Members - PDF
270. Hong Kong Investment Funds Association, Sally Wong - PDF
271. U. S. Senate - Senator Barbara Boxer (California) - PDF
272. W. Frankson, Brooklyn, NY - PDF
273. European Council of Ministers, Margrethe Vestager - PDF
274. Massachusetts Educational Financing Authority, Boston, MA, Thomas Graf - PDF
275. U. S. Senate - Senator Michael Bennet (Colorado) - PDF
276. U. S. House of Representatives, Bob Goodlatte (6th District - Virginia) - PDF
277. Frazier Healthcare, Seattle, WA, Thomas Hodge - PDF
278. Superintendencia Financier de Colombia, Juan Pablo Arango Arango - PDF
279. State Secretary for International Financial Matters, Michael Ambuhl (submitted by the Embassy of Switzerland in the United States) - PDF
280. U. S. House of Representatives, Steve Israel (Second District - New York) - PDF
281. American Securitization Forum, New York, NY, Tom Deutsch - PDF
282. U. S. Senate - Senator Robert Casey (Pennsylvania) - PDF
283. U. S. House of Representatives, Barney Frank (4th District -Massachusetts) - PDF
284. U. S. House of Representatives, Jim Hines  (4th District - Connecticut) - PDF
285. Bankers Association of the Republic of China, Susan Chang - PDF
286. Treasury Markets Association, Hong Kong, Peter Chang - PDF
287. Bond Dealers of America, Washington, DC, Mike Nicholas - PDF
288. Peter Schwartz - PDF
289. Edison Electric Institute, National Rural Electric Cooperative Association, Large Public Power Council and Electric Power Supply Association - PDF
290. U. S. Senate - Sherrod Brown and Tom Harkin - PDF
291. Stephen Roach, New Haven, CT - PDF
292. Futures Industry Association, Washington, DC, Walter Lukken - PDF
293. International Swaps and Derivatives Association, Inc., Washington, DC, Robert Pickel - PDF
294. State Treasurer, Hartford, CT, Denise Nappier - PDF
295. Securities Industry & Financial Markets Association, Richard Dorfman & Christopher Killian (Supplement) - PDF
296. Loan Syndications and Trading Association, New York, NY, R. Bram Smith - PDF
297. Center for Capital Markets Competitiveness, Washington, DC, Tom Quaadman - PDF
298. American Securitization Forum, New York, NY, Tom Deutsch - PDF, Supplement Comment - PDF
299. Withdrawn
300. U. S. Senate - Jeff Merkley and Carl Levin - PDF
301. Association of Institutional Investors, Washington, DC , John Gidman - PDF
302. State Street Global Advisors, Boston, MA, Phillip Gillespie - PDF
303. Center for Capital Markets Competitiveness, Washington, DC, Tom Quaadman - PDF
304. U.S. Chamber of Commerce,, Washington, DC, R. Bruce Josten - PDF, Supplement Comment - PDF
305. Americans for Financial Reform, Washington, DC, Marcus Stanley - PDF
306. U.S. Congress, Spencer Bachus and Jeb Hensarling, House Financial Services Committee - PDF
307. Better Markets, Washington, DC, Dennis M. Kelleher - PDF
308. U.S. Chamber of Commerce, Washington, DC, Tom Quaadman - PDF
309. Bipartisan Policy Center, Washington, DC, Aaron Klein - PDF
310. Center for Capital Markets Competitiveness, Washington, DC, David Hirschmann - PDF
311. Better Markets, Inc., Washington, DC, Dennis Kelleher - PDF
312. Center for Capital Markets, David Hirschmann - PDF
313. Securities Industry and Financial Markets Association, New York, NY, Robert Toomey - PDF
314. Business Roundtable Financial Executives International National Association of Corporate Treasurers The Real Estate Roundtable U.S. Chamber of Commerce - PDF
315. Jo-Ann Gumport - PDF
Staff Meeting Disclosures
01. Meeting with Barclays Capital - PDF
02. Conference Call with National Asian American Coalition - PDF
03. Meeting with Institute of International Bankers - PDF
04. Meeting with BNY Mellon, State Street, and Northern Trust - PDF
05. Meeting with Securities Industry and Financial Markets Association - PDF
06. Meeting with Goldman Sachs & Co. - PDF
07. Meeting with Americans for Financial Reform & Public Citizen - PDF
08. Meeting with Bank of America - PDF
09. Meeting with Investment Company Institute - PDF
10. Meeting with Committee on Investment of Employee Benefit Assets - PDF
11. Meeting with Professor Simon Johnson, MIT - PDF
12. Conference Call with Canadian Securities Administrators - PDF
13. Meeting with Securities Industry and Financial Markets Association - PDF
14. Meeting with Financial Services Roundtable - PDF
15. Meeting with Occupy the SEC - PDF
16. Meeting with Chesapeake Energy Corporation and Gavilon, LLC - PDF
17. Meeting with TIAA-CREF - PDF
18. Meeting with Citigroup, RBS Global Banking and Markets, Bank of America, Deutsche Bank, Sidley Austin, and Financial Markets Association (SIFMA) - PDF
19. Meeting with Better Markets - PDF
20, Meeting with Australian Bankers - PDF
21. Conference call with Credit Suisse - PDF
22. Meeting with Regional Bankers - PDF
23. Meeting with Custody Banks (BNY Mellon, Northern Trust, and State Street) - PDF
24. Meeting with Custody Banks (American Bankers Association Center for Securities, Trust, & Investments, EnerBank USA, Silicon Valley Bank, and Union First Market Bank) - PDF
25. Meeting with American Securitization Forum - PDF
26. Meeting with Goldman Sachs & Co. - PDF
27. Meeting with Nationwide Representatives - PDF
28. Meeting with Andrew Green, Office of Senator Jeff Merkley - PDF


Last Updated 12/05/2013

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