escabral13 / doddfranksec

Duties of Brokers, Dealers, and Investment Advisers

Office of Commissioner Walter

Memorandum from the Office of Commissioner Walter regarding a November 4, 2010 meeting with representatives of the North American Securities Administrators Association

http://sec.gov/comments/4-606/4-606.shtml

http://sec.gov/comments/4-606/4606-2913.pdf

2010-12-21T00:00:00

meeting

Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Division of Trading and Markets

Memorandum from the Division of Trading and Markets regarding a November 30, 2010, telephone conference with representatives of BlackRock

http://sec.gov/comments/df-title-vii/real-time-reporting/real-time-reporting.shtml

http://sec.gov/comments/df-title-vii/real-time-reporting/realtimereporting-9.pdf

2010-11-30T00:00:00

telephone conference

Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Office of the Chairman

Memorandum from the Office of the Chairman regarding an August 23, 2010, meeting with representatives of the National Whistleblowers Center

http://sec.gov/comments/df-title-ix/whistleblower/whistleblower.shtml

http://sec.gov/comments/df-title-ix/whistleblower/whistleblower-9.pdf

2010-08-23T00:00:00

meeting

Title XV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Division of Corporation Finance

Memorandum from the Division of Corporation Finance regarding an October 8, 2013, meeting with representatives of the American Petroleum Institute, ExxonMobil, Royal Dutch Shell plc, ConocoPhillips, ConocoPhillips, Anadarko Petroleum Corporation, and BP p.l.c.

http://sec.gov/comments/df-title-xv/resource-extraction-issuers/resource-extraction-issuers.shtml

http://sec.gov/comments/df-title-xv/resource-extraction-issuers/resourceextractionissuers-7.pdf

2013-10-11T00:00:00

meeting

Duties of Brokers, Dealers, and Investment Advisers

Office of Commissioner Casey

Memorandum from the Office of Commissioner Casey regarding an October 7, 2010, meeting with representatives of the Securities Industry and Financial Markets Association

http://sec.gov/comments/4-606/4-606.shtml

http://sec.gov/comments/4-606/4606-2810.pdf

2010-10-07T00:00:00

meeting

Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Division of Trading and Markets

Memorandum from the Division of Trading and Markets regarding a July 19, 2011, meeting with representatives from J.P. Morgan Chase

http://sec.gov/comments/df-title-vii/swap/swap.shtml

http://sec.gov/comments/df-title-vii/swap/swap-66.pdf

2011-07-19T00:00:00

meeting

Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act

Division of Trading and Markets

Memorandum from the Division of Trading and Markets regarding a March 24, 2011 telephonic meeting with Edward Rosen

http://sec.gov/comments/s7-16-10/s71610.shtml

http://sec.gov/comments/s7-16-10/s71610-157.pdf

2011-03-28T00:00:00

telephonic meeting

Duties of Brokers, Dealers, and Investment Advisers

Division of Trading and Markets

Memorandum from the Division of Trading and Markets regarding a September 28, 2010, meeting with representatives of the Financial Services Institute

http://sec.gov/comments/4-606/4-606.shtml

http://sec.gov/comments/4-606/4606-2796.pdf

2010-09-28T00:00:00

meeting

Title VI Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Division of Trading and Markets

Memorandum from the Division of Trading and Markets regarding a November 29, 2010 meeting with representatives of Goldman Sachs

http://sec.gov/comments/df-title-vi/prohibitions/prohibitions.shtml

http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-13.pdf

2010-12-09T00:00:00

meeting

Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Office of Commissioner Casey

Memorandum from the Office of Commissioner Casey regarding a January 12, 2011, meeting with representatives of the North American Securities Administrators Association

http://sec.gov/comments/df-title-ix/enhancing-ia-examinations/enhancing-ia-examinations.shtml

http://sec.gov/comments/df-title-ix/enhancing-ia-examinations/enhancingiaexaminations-40.pdf

2011-01-12T00:00:00

meeting