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LETTERS AND STATEMENTS
Congress
7/21/11 Director Hal S. Scott releases a statement to the Senate Committee on Banking, Housing, and Urban Affairs concerning
progress toward achieving the goals of the Dodd-Frank Act
5/10/11 The Committee releases a letter regarding Business Conduct Standards for Swap Dealers and Major Swap Participants dealing with Counterparties
5/5/11 The Committee releases a letter regarding Form PF, which requires reporting by private funds
12/15/10 The Committee releases a letter regarding the pace of rulemaking under the Dodd-Frank Act
6/14/10 Committee on Capital Markets Regulation Offers Its Views
On Six “Critical Points” in Reconciling Financial Reform Bills
5/5/10 Director Hal Scott Issues a Memo to Senators Dodd and Shelby Regarding Systemically Important Institutions
4/26/10 Committee on Capital Markets Regulation Proposes a Blueprint for Compromise on Financial Reform. Click here to view the press release.
3/5/2010 The Committee on Capital Markets Regulation Proposes
Fed-Regulated Clearinghouses to Reduce Systemic Risk. CCMR’s Letter Puts Core Issue of Regulatory Reform on Congress’s Agenda. Click here to view the press release.
11/10/09 Letter to Chairman Frank regarding the use of non-GAAP methodology PDF
10/14/2009 The Committee Comments on Pending Consumer Protection Bill
Regulatory Agencies
12/19/11 The Committee releases a comment letter to the FSOC regarding its Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies
12/19/11 The Committee releases a comment letter to the CFTC regarding customer clearing documentation and timing of acceptance for clearing
12/16/11 The Committee responds to the Federal Insurance Office request for comment on the Report to Congress on How to Modernize and Improve the System of Insurance Regulation in the United States
12/14/11 The Committee releases a comment letter to the PCAOB regarding auditor independence and audit firm rotation
10/6/11 The Committee releases a comment letter to the SEC regarding their retrospective review of existing regulations
10/4/11 The Committee releases a comment letter to the SEC regarding shelf eligibility conditions for asset-backed securities
8/26/11 The Committee releases a comment letter to the SEC regarding business conduct standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
7/22/11 The Committee releases a letter to six agencies regarding risk retention in securitizations
7/11/11 The Committee releases a letter to six agencies regarding margin and capital requirements for covered swap entities
6/24/11 The Committee releases a letter to the CFTC regarding the implementation of Title VII of the Dodd-Frank Act
5/13/11 The Committee releases a comment letter to the FSOC regarding its Authority to Designate Financial Market Utilities as Systemically Important
5/3/11 The Committee releases a comment letter to the CFTC regarding Business Conduct Standards for Swap Dealers and Major Swap Participants dealing with Counterparties
4/12/11 The Committee releases a joint comment letter to the CFTC and SEC regarding Form PF, which requires reporting by private funds
3/21/11 The Committee releases a comment letter to the CFTC regarding risk management requirements for derivatives clearing organizations
3/21/11 The Committee releases a comment letter to the Federal Reserve Board regarding definitions related to “significant” nonbank financial companies
2/22/11 The Committee releases a joint comment letter to the CFTC and SEC regarding definitions related to swap markets
2/22/11 The Committee releases a comment letter to the Financial Stability Oversight Council regarding its authority to require supervision and regulation of certain nonbank financial companies
1/18/11 The Committee releases a joint comment letter to the CFTC and SEC regarding the reporting of swaps transactions
11/15/10 The Committee releases a comment letter to the Federal Deposit Insurance Corporation regarding its orderly liquidation authority under the Dodd-Frank Act
11/15/10 The Committee releases a joint comment letter to the Commodity Futures Trading Commission and the Securities and Exchange Commission regarding conflicts of interest in certain derivatives organizations
11/5/10 The Committee releases two comment letters to the Financial Stability Oversight Council regarding the designation of financial companies as systemically important and the Volcker Rule
9/15/10 Hal S. Scott Releases Letter to CFTC Chairman Gensler Urging Major Federal Reserve Input to CFTC Rules on Conflicts of Interest in Derivatives Clearinghouses
8/9/2009 FDIC comment letter Regarding Proposed Statement of Policy on Qualifications for Failed Bank Acquisitions
11/21/2007 On November 21, 2007, the Committee commented on the Review by the Treasury Department of the Regulatory Structure Associated with Financial Institutions. Click here to view the Committee’s comment letter.
2/26/2007 SEC Filing on Sarbanes-Oxley Section 404
2/26/2007 PCAOB Filing on Sarbanes-Oxley Section 404
2/9/2007 SEC Filing on Deregistration
Statements
7/27/11 The Committee releases a statement about a decision by the U.S. Court of Appeals on proxy access that puts Dodd-Frank implementation in jeopardy due to inadequate cost-benefit analysis
7/21/11 Director Hal S. Scott releases a statement to the Senate Committee on Banking, Housing, and Urban Affairs concerning
progress toward achieving the goals of the Dodd-Frank Act
6/16/2009 Statement by Hal Scott on the Obama Adminstration’s “White Paper”
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