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Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks
[Release No. 34-54946; File No. S7-22-06]
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| Aug. 9, 2007 |
Sally Miller, Director & Chief Regulatory Counsel
Center for Securities, Trust and Investments, American Bankers Association, and Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. |
| Aug. 2, 2007 |
Lisa Tate, Associate General Counsel, Litigation, American Council of Life Insurers |
| Jul. 16, 2007 |
Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. and Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments
American Bankers Association and General Counsel, ABA Securities Association |
| Jun. 21, 2007 |
Joe Belew, President, Consumer Bankers Association |
| Jun. 19, 2007 |
Memorandum regarding a June 19, 2007 telephone meeting regarding Regulation R with a representative of the Institute of International Bankers |
| Jun. 7, 2007 |
Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. and Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments
American Bankers Association and General Counsel, ABA Securities Association |
| May 24, 2007 |
Memorandum regarding a May 23, 2007 meeting regarding Regulation B with representatives of American Bankers Association, Arvest Bank, LaSalle Bank Midwest, First National Bank and Trust Company, The Union Bank Company, and the Board of Governors of the Federal Reserve System |
| May 8, 2007 |
Memorandum regarding a May 4, 2007 meeting regarding Regulation R with representatives of Federated Investors, Inc. |
| Apr. 19, 2007 |
Thomas M. Selman, NASD, Washington, District of Columbia |
| Apr. 12, 2007 |
Joseph P. Borg, Esq., NASAA President and Director, Alabama Securities Commission |
| Apr. 2, 2007 |
Sandra Mico, President, West Coast Trust Company, Inc. |
| Apr. 3, 2007 |
Keith F. Higgins, Chair and James E. Scott, Chair, Committee on Federal Regulation of Securities of the American Bar Association |
| Mar. 30, 2007 |
Jeffrey P. Neubert, President and CEO, The Clearing House Association L.L.C. |
| Mar. 30, 2007 |
Carl Howard, General Counsel, Bank Regulatory, Citigroup Inc. |
| Mar. 28, 2007 |
Carol A. Jameson, Vice President and Deputy General Counsel, National Securities Clearing Corporation, New York, New York |
| Mar. 26, 2007 |
Lawrence A. Knecht, Sr., Vice President & Legal Counsel, UMB Bank, n.a. |
| Mar. 26, 2007 |
Christopher Cole, Regulatory Counsel, Independent Community Bankers of America |
| Mar. 26, 2007 |
F. Jay Meyer, Vice President & Senior Attorney, TD Banknorth, N.A. |
| Mar. 26, 2007 |
Stefan M. Gavell, Executive Vice President and Head of Regulatory and Industry Affairs, State Street Corporation |
| Mar. 26, 2007 |
Martha A. Pampel, Deputy Regulatory Counsel, HSBC Bank USA |
| Mar. 26, 2007 |
Norman R. Nelson, General Counsel, The Clearing House Association L.L.C. |
| Mar. 26, 2007 |
Gregory S. Meredith, JPMorgan Chase & Co. |
| Mar. 26, 2007 |
Rich Whiting, Executive Director and General Counsel, Financial Services Roundtable |
| Mar. 26, 2007 |
David W. Lauer, Vice President and Senior Counsel, Wells Fargo & Company |
| Mar. 26, 2007 |
Sharon A. Haeger, Regulatory Counsel, America's Community Bankers |
| Mar. 26, 2007 |
Kurt R. Bauer, President/CEO, Wisconsin Bankers Association |
| Mar. 26, 2007 |
Joe Belew, President, Consumer Bankers Association |
| Mar. 26, 2007 |
Sarah A. Miller, Director & Chief Regulatory
Counsel, Center for Securities, Trust and Investments, American Bankers Association |
| Mar. 26, 2007 |
Gregory A. Baer, Deputy General Counsel, Bank of America Corporation |
| Mar. 26, 2007 |
Barbara Black, Charles Hartsock Professor of Law and Director, Corporate Law Center, University of Cincinnati College of Law, Cincinnati, Ohio |
| Mar. 26, 2007 |
Melanie L. Fein, Federated Investors, Inc. |
| Mar. 26, 2007 |
Alan E. Sorcher, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association |
| Mar. 26, 2007 |
Lisa Tate, Associate General Counsel, Litigation, American Council of Life Insurers |
| Mar. 26, 2007 |
Jeffrey Bloch, Senior Assistant General Counsel, Credit Union National Association |
| Mar. 26, 2007 |
William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts |
| Mar. 26, 2007 |
James S. Keller, Legal Department, The PNC Financial Services Group, Inc. |
| Mar. 26, 2007 |
Andrew C. Svarre, Associate General Counsel, TIAA-CREF |
| Mar. 26, 2007 |
John B. Sullivan, Senior Vice President and
Assistant General Counsel, U.S. Trust |
| Mar. 26, 2007 |
Jill I. Gross, Esquire, Professor of Law, Pace University School of Law and Director, Pace Investor Rights Project |
| Mar. 26, 2007 |
Paul V. Reagan, Executive Vice President and U.S. General Counsel, The Harris Bank N.A. |
| Mar. 26, 2007 |
John F. Kozlowski, General Counsel, Ohio Credit Union League |
| Mar. 26, 2007 |
Karen L. Garrett, Bryan Cave LLP, Kansas City, Missouri |
| Mar. 26, 2007 |
Michael W. Emerson, HSBC Securities (USA) Inc., New York, New York |
| Mar. 26, 2007 |
Carl Krasik, General Counsel, Mellon Financial Corporation |
| Mar. 26, 2007 |
Dale K. Nichols, Assistant General Counsel, Northern Trust Corporation |
| Mar. 26, 2007 |
Fred R. Becker, Jr., President/CEO, National Association of Federal Credit Unions |
| Mar. 26, 2007 |
Joanne Radmore Ratkai, Vice President and General Counsel, Fiserv Trust Company, Denver, Colorado |
| Mar. 26, 2007 |
Julius L. Loeser, Comerica Bank, Detroit, Michigan |
| Mar. 23, 2007 |
Beverley Rutherford, Virginia Credit Union, Richmond, Virginia |
| Mar. 23, 2007 |
Scott A. Glave, Vice President, Charles Schwab Trust Company |
| Mar. 23, 2007 |
Mark E. Hoaglin, President and CEO, XCU Corporation, Inc. |
| Mar. 23, 2007 |
Timothy J. Lathe, Executive Vice President, National City Corporation |
| Mar. 23, 2007 |
Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute |
| Mar. 23, 2007 |
Johannes H. Worsoe, Executive Vice President, Union Bank of California |
| Mar. 23, 2007 |
Lawrence R. Uhlick, Chief Executive Officer, Institute of International Bankers |
| Mar. 23, 2007 |
John W. Low, on behalf of the Association of Colorado Trust Companies |
| Mar. 23, 2007 |
Sandra J. Troutman, Executive Vice President, Government Relations, National Association of State Credit Union Supervisors |
| Mar. 23, 2007 |
Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services, Inc. |
| Mar. 22, 2007 |
Richard D. Starr, Director, Government Relations, Bank Insurance and Securities Association |
| Mar. 21, 2007 |
Thomas C. Davis, President and Guy Messick, Legal Counsel, National Association of Credit Union Service Organizations |
| Mar. 16, 2007 |
Barry J. Zadworny, Senior Vice President, Compliance, Roma Bank |
| Mar. 9, 2007 |
Alan R. Konetzki, Sr. Vice President, Community Bank & Trust |
| Mar. 8, 2007 |
Cutler Dawson, President/CEO, Navy Federal Credit Union |
| Jan. 31, 2007 |
John A. Malkovich, Tareik, California |
| Jan. 2, 2007 |
John R. Boyd, CFP, Certified Financial Planning Practitioner, Worcester, Massachusetts |
http://www.sec.gov/comments/s7-22-06/s72206.shtml
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