Dec 16, 2011 | Capital Markets, Financial Stability, Letter
Access the PDF here. Re: Public Input on the Report to Congress on How to Modernize and Improve the System of Insurance Regulation in the United States Dear Mr. McRaith: The Committee on Capital Markets Regulation (Committee) appreciates the opportunity to comment on...
Dec 14, 2011 | Capital Markets, Letter
Access the PDF here. Re: Concept Release on Auditor Independence and Audit Firm Rotation Release No. 2011-006, Rulemaking Docket Matter No. 37 Dear Mr. Seymour: The Committee on Capital Markets Regulation (Committee)* appreciates the opportunity to comment on the...
Oct 6, 2011 | Capital Markets, Letter
Access the PDF here. Re: Retrospective Review of Existing Regulations (SEC Release Nos. 33–9257; 34–65262; 39-2479; IA-3271; IC-29781; File No. S7–36–11) Dear Ms. Murphy: The Committee on Capital Markets Regulation (Committee) appreciates the opportunity to comment...
Oct 4, 2011 | Uncategorized
Re: Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities, 76 Fed. Reg. 47,948 (RIN 3235-AK37, SEC Release Nos. 33–9244; 34–64968; File No. S7–08–10) Dear Ms. Murphy: The Committee on Capital Markets Regulation (Committee) appreciates the opportunity...
Aug 26, 2011 | Capital Markets, Letter
A PDF of this letter is available here. Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants, 75 Fed. Reg. 42,396 (RIN 3235-AL10, SEC Release No. 34–64766, File No. S7–25–11) Dear Ms. Murphy: The Committee on...
