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Comments on Concept Release: Use of Derivatives by Investment Companies under the Investment Company Act of 1940
[Release No. IC-29776; File No. S7-33-11]
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(Click here for meetings with SEC officials)
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| May 10, 2012 | E. Russell Ives, Jr., President, Ives Associates, Inc., Glen Rock, New Jersey |
| Mar. 19, 2012 | Senator Carl Levin, U.S. Senate |
| Dec. 15, 2011 | Scott T. Morris, PhD candidate, Washington University in St. Louis, St. Louis, Missouri |
| Nov. 23, 2011 | Timothy W. Cameron, Esq., Managing Director, Asset Management Group, SIFMA, New York, New York |
| Nov. 15, 2011 | Polly J. Sidwell, Seattle, Washington |
| Nov. 11, 2011 | Davis Polk & Wardwell LLP |
| Nov. 11, 2011 | Phillip C. Harvey, Minooka, Illinois |
| Nov. 11, 2011 | Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, and Jay G. Baris, Chair of the Task Force on Investment Company Use of Derivatives and Leverage, American Bar Association, New York, New York |
| Nov. 8, 2011 | Stephen A. Keen, Fort Collins, Colorado |
| Nov. 7, 2011 | Karrie McMillan, Investment Company Institute, Washington, District of Columbia |
| Nov. 7, 2011 | Ari Gabinet, General Counsel, and Geoffrey Craddock, Chief Risk Officer, OppenheimerFunds, Inc. |
| Nov. 7, 2011 | Kevin Gould, President, Markit North America, Inc. |
| Nov. 7, 2011 | Dennis M. Kelleher, President & CEO; Wallace C. Turbeville, Derivatives Specialist; and Stephen W. Hall, Securities Specialist; Better Markets, Inc. |
| Nov. 7, 2011 | Jerry Chafkin, President, AlphaSimplex Group, LLC |
| Nov. 7, 2011 | Daniel D. O'Neill, President, Rafferty Asset Management, LLC, New York, New York |
| Nov. 7, 2011 | Gus Sauter, Managing Director and Chief Investment Officer, and John Hollyer, Principal and Head of Risk Management and Strategy Analysis, Vanguard |
| Nov. 7, 2011 | Jenny L. Klebes, Chicago Board Options Exchange, Incorporated, Chicago, Illinois |
| Nov. 7, 2011 | Amy J. Lee, Senior Vice President, Security Investors, LLC |
| Nov. 7, 2011 | David Oestreicher, Fran M. Pollack-Matz, Predrag Rogic, and Jonathan D. Siegel, T. Rowe Price Associates, Inc., Baltimore, Maryland |
| Nov. 7, 2011 | Janet McGinness, Senior Vice President - Legal, Corporate Secretary, NYSE Euronext |
| Nov. 7, 2011 | James A. Simpson, President, ETP Resources, LLC, Dublin, Ohio |
| Nov. 7, 2011 | David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum, Washington, District of Columbia |
| Nov. 7, 2011 | Mark Hepsworth, President, Institutional Business, Interactive Data Corporation, Bedford, Massachusetts |
| Nov. 7, 2011 | Joyce Dillard, Los Angeles, California |
| Nov. 7, 2011 | Phillip S. Gillespie, Executive Vice President and General Counsel, State Street Global Advisors, Boston, Massachusetts |
| Nov. 7, 2011 | Alison M. Fuller and E. Carolan Berkley, Esquire, Stradley Ronon Stevens & Young, LLP, Washington, District of Columbia | | Nov. 7, 2011 | Brendan R. Kalb, General Counsel, AQR Capital Management, LLC, Greenwich, Connecticut |
| Nov. 7, 2011 | Jean S. Loewenberg, Esq., General Counsel, Loomis, Sayles and Company, L.P., Boston, Massachusetts |
| Nov. 7, 2011 | Dorothy A. Berry, Chair, Governing Council, Independent Directors Council |
| Nov. 7, 2011 | John Rekenthaler, Senior Vice President, Corporate Research, and Nadia Papagiannis, Director, Alternative Fund Research, Morningstar, Inc. |
| Nov. 7, 2011 | Dechert LLP, New York, New York |
| Nov. 7, 2011 | John W. Gerstmayr, Gregory D. Sheehan, Timothy W. Diggins, and Bryan Chegwidden, Ropes & Gray LLC, Boston, Massachusetts |
| Nov. 7, 2011 | John W. Zerr, Senior Vice President, Invesco Advisers, Inc. |
| Nov. 4, 2011 | Joanne Medero, Managing Director, Government Relations, and Ira P. Shapiro, Managing Director, Law and Compliance, BlackRock, Inc. |
| Nov. 1, 2011 | Leslie Rahl and Peter Niculescu, Capital Market Risk Advisors |
| Oct. 13, 2011 | Emile D. Boyle, Burke, Virginia |
| Oct. 12, 2011 | Harris Capps, North Charleston, South Carolina |
| Oct. 12, 2011 | Arthur T. Pittman, Raleigh, North Carolina |
| Oct. 8, 2011 | Suzanne H. Shatto, Seattle, Washington |
| Oct. 6, 2011 | William R. Hammock, Greenwich, Connecticut |
| Oct. 5, 2011 | Anthony J. Saliba, Chief Executive Officer, LiquidPoint, LLC, Chicago, Illinois |
| Sep. 19, 2011 | Chris Barnard, Germany |
| Sep. 8, 2011 | Stephen Keen and Andrew Cross, Reed Smith, LLP, Pittsburgh, Pennsylvania |
| Sep. 4, 2011 | G. R. Peck |
| Sep. 4, 2011 | Julia A. O'Neal, Ocean Springs, Mississippi |
| Sep. 1, 2011 | Andrew W. Kargacos, Grantham, New Hampshire |
| Sep. 1, 2011 | Daniel Belcher, one, Tampa, Florida |
| Sep. 1, 2011 | Donald L. Strang, Kearns, Utah |
| Sep. 1, 2011 | Justin Kanda, New Jersey |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 7, 2011 | Memorandum from the Office of Commissioner Walter regarding a Meeting with Representatives of Interactive Data |
http://www.sec.gov/comments/s7-33-11/s73311.shtml
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