Updated: February 22, 4:00 p.m.
COMMENT AND OTHER LETTERS SUBMITTED REGARDING PROPOSED RULEMAKINGS UNDER THE VOLCKER RULE
I. Certain Letters Submitted by U.S. Trade and Other Organizations
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Affordable Housing Investors Council 2/13/12 Link 7 Alternative Investment Management Association (AIMA) 2/16/12 Link 2 American Bankers Association (ABA) 2/13/12 Link 35 American Bankers Association (ABA) Midsize Working Group 2/13/12 Link 7 American Bankers Association Securities Association (ABASA) 2/13/12 Link 2 American Council for Life Insurers (ACLI) 2/13/12 Link 8 American Council for Life Insurers (ACLI) 1/24/12 Link 15 American Securitization Forum (ASF) 2/13/12 Link 41 Association for Advanced Life Underwriting (AALU) 2/8/12 Link 2 Association of Institutional Investors 2/13/12 Link 19 Bond Dealers of America 2/13/12 Link 6 Business Roundtable 2/13/12 Link 6 Center for Capital Market Competitiveness of the U.S. Chamber of Commerce 12/15/11 Link 10 Center for Capital Market Competitiveness of the U.S. Chamber of Commerce 1/17/12 Link 3 Center for Capital Market Competitiveness of the U.S. Chamber of Commerce 2/13/12 Link 46 CFA Institute 2/15/12 Link 7 Clearing House Association L.L.C., The (TCH) (General Policy) 2/13/12 Link 9 Clearing House Association L.L.C., The (TCH) and the ABA Securities Association (ABASA) (ALM) 2/13/12 Link 28 Commercial Real Estate (CRE) Financial Council 2/13/12 Link 4 Committee of Annuity Insurers (by Sutherland Asbill & Brennan LLP) 2/2/12 Link 23
*Letters included as available on various agency websites. 1
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Committee on Capital Markets Regulation 2/13/12 Link 12 Committee on Investment Employee Benefit Assets (CIEBA) 2/10/12 Link 6 Community Bankers Association of Illinois 2/13/12 Link 3 Conference of State Bank Supervisors (CSBS) 2/8/12 Link 2 Financial Executives International (FEI) Committee on Corporate Treasury 2/14/13 Link 4 Financial Services Roundtable (FSR) (General) 2/13/12 Link 2 Financial Services Roundtable (FSR) (Insurance) 2/3/12 Link 21 Fixed Income Forum and Credit Roundtable 2/13/12 Link 5 ICI Global 2/13/12 Link 30 Independent Bankers Association of Texas 2/15/12 Link 4 Independent Community Bankers of America (ICBA) 2/13/12 Link 7 Information Technology & Innovation Foundation 1/26/12 Link 6 Investment Adviser Association 2/13/12 Link 6 Investment Company Institute (ICI) 2/13/12 Link 46 Loan Syndications and Trading Association 2/13/12 Link 15 Low Income Housing Tax Credit Working Group (by Novogradac & Co. LLP) 2/13/12 Link 7 Managed Funds Association (MFA) 2/13/12 Link 7 Municipal Securities Rulemaking Board (MSRB) 1/31/12 Link 11 National Association of Bond Lawyers 2/13/12 Link 6 National Association of Industrial Bankers (NAIB), the American Financial Services Association (AFSA), the Nevada 2/13/12 Link 21 Bankers Association, and the Utah Bankers Association National Association of Insurance Commissioners (NAIC) 2/10/12 Link 22 National Association of Mutual Insurance Companies (NAMIC) 2/13/12 Link 9 National Association of Securities Professionals (NASP) 12/21/11 Link 2
*Letters included as available on various agency websites. 2
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: National Conference of State Legislatures (NCSL) 2/13/12 Link 2 National Council of State Housing Agencies 2/13/12 Link 3 National Rural Electric Cooperative Association 2/13/12 Link 5 National Venture Capital Association 2/3/12 Link 29 New Markets Tax Credit Working Group (by Novogradac & Co. LLP) 2/13/12 Link 6 Private Equity Growth Capital Council (PEGCC) 2/13/12 Link 29 Property Casualty Insurers Association of America 2/10/12 Link 2 Real Estate Roundtable, The 1/27/12 Link 3 Renewable Energy Tax Credit Working Group (by Novogradac & Co. LLP) 2/13/12 Link 7 Risk Management Association 2/13/12 Link 42 Securities Industry and Financial Markets Association (SIFMA) Asset Management Group 2/13/12 Link 8 Security Traders Association of New York, The (STANY) 2/15/12 Link 9 SIFMA (Municipal Securities and Tender Option Bonds) 2/13/12 Link 10 SIFMA (Securitization and Insurance-Linked Securities Transactions) 2/13/12 Link 34 SIFMA, TCH, FSR and ABA (Funds) 2/13/12 Link 154 SIFMA, TCH, FSR and ABA (Proprietary Trading) 2/13/12 Link 173 Small Business Investor Alliance 2/13/12 Link 10 Wisconsin Bankers Association 2/10/12 Link 3
*Letters included as available on various agency websites. 3
Updated: February 22, 4:00 p.m.
II. Certain Letters Submitted by International Regulators, Governments, Non-U.S. Trade Associations, etc.
Signatory or Signatories: Addressee(s): Dated: Link to Letter Page Copy:* Length:
International General Association for Financial Markets in Europe, Asia Securities Industry & Financial Markets Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 17 Association and the International Capital Market Association Association of Global Custodians (by Baker & McKenzie LLP) Fed, OCC, FDIC, SEC 2/8/12 Link 7 Institute of International Bankers (IIB) and the European Banking Federation (EBF) Fed, OCC, FDIC, SEC, CFTC, 2/13/12 Link 51 Treasury Institute of International Finance (IIF) Fed, OCC, FDIC, SEC, CFTC, 2/10/12 Link 9 Treasury International Centre for Financial Regulation (ICFR) SEC 2/13/12 Link 13 International Council of Securities Associations Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 5 International Swaps and Derivatives Association (ISDA) Fed, OCC, FDIC, SEC 2/13/12 Link 24
Australia Australian Bankers Association Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 13 Australian Financial Markets Association Fed, OCC, FDIC, SEC 2/13/12 Link 6 Finance Industry Council of Australia Fed, OCC, FDIC, SEC 2/15/13 Link 2
Canada Bank of Canada Chairman Bernanke (Fed) 2/13/12 Link 4 Canadian Bankers Association Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 2 Investment Funds Institute of Canada Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 7 Investment Industry Association of Canada Fed, OCC, FDIC, SEC 12/21/11 Link 4 Minister of Finance Canada Secretary Geithner (Treasury) 2/13/12 Link 4 Ministere des Finances Quebec Fed, OCC, FDIC, SEC 2/9/12 Link 3 Office of the Superintendent of Financial Institutions Canada Fed, OCC, FDIC, SEC 12/28/11 Link 3
*Letters included as available on various agency websites. 4
Updated: February 22, 4:00 p.m.
Signatory or Signatories: Addressee(s): Dated: Link to Letter Page Copy:* Length: Ontario Financing Authority Fed, OCC, FDIC, SEC 1/31/12 Link 3 Province of British Columbia Fed, OCC, FDIC, SEC 2/10/12 Link 2
Europe European Banking Federation Fed, OCC, FDIC, SEC 2/13/12 Link 3 European Commissioner Michel Barnier Chairman Walsh (OCC) 2/8/12 Link 2 European Fund and Asset Management Association Fed, OCC, FDIC, SEC 2/13/12 Link 24 European Private Equity & Venture Capital Association Fed, OCC, FDIC, SEC 2/13/12 Link 5 European Union Council of Ministers, President Margrethe Vestager Chairman Bernanke (Fed) 2/21/12 Link 2
France Assocation Francaise des Professionnels des Titres (AFTI) (French Association of Fed, OCC, FDIC, SEC 2/13/12 Link 2 Securities Professionals) Association Francaise de la Gestion Financiere (AFG) Fed, OCC, FDIC, SEC 2/13/12 Link 10 Chairman of the Autorite de contrale prudentiel ("ACP"); Chairman of the Autorite des Fed, OCC, FDIC, SEC, CFTC 2/14/12 Link 4 marches financiers ("AMF"); and Head of the French Treasury French Banking Federation Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 3
Germany Association of German Banks Fed, OCC, FDIC, SEC, CFTC, 2/10/12 Link 12 Treasury Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank Fed, OCC, FDIC, SEC 2/10/12 Link 3 Bundesverband Investment und Asset Management (BVI) Fed, OCC, FDIC, SEC 2/13/12 Link 18
Hong Kong Hong Kong Investment Funds Association (HK IFA) Fed, OCC, FDIC, SEC 2/20/12 Link 30
Japan Financial Services Agency Government of Japan and Bank of Japan Fed, OCC, FDIC, SEC 12/28/11 Link 5 Japanese Bankers Association, The Fed, OCC, FDIC, SEC 1/13/12 Link 20
*Letters included as available on various agency websites. 5
Updated: February 22, 4:00 p.m.
Signatory or Signatories: Addressee(s): Dated: Link to Letter Page Copy:* Length:
Luxembourg Association of the Luxembourg Fund Industry Fed, OCC, FDIC, SEC 2/13/12 Link 26
Malaysia Malayan Banking Berhad and The Association of Banks in Malaysia Fed, OCC, FDIC, SEC, CFTC, 2/8/12 Link 17 Treasury
Mexico Banco de Mexico Fed, OCC, FDIC, SEC, CFTC, 2/13/12 Link 7 Treasury Comision Nacional Bancaria y de Valores (CNBV) Fed, OCC, FDIC, SEC 2/13/12 Link 4
Singapore DBS Bank Ltd., Oversea-Chinese Banking Corporation, United Overseas Bank Limited, Fed, OCC, FDIC, SEC, CFTC 2/7/12 Link 20 and the Association of Banks in Singapore (by Cadwalader, Wickersham & Taft LLP) and Treasury
Thailand Bangkok Bank Public Company Limited, Krung Thai Bank Public Company Limited, Fed, OCC, FDIC, SEC, CFTC 2/9/12 Link 20 Kasikornbank Public Company Limited, and the Thai Bankers’ Association (by and Treasury Cadwalader, Wickersham & Taft LLP)
United Kingdom British Bankers Association Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 3 Chancellor of the Exchequer George Osborne Chairman Bernanke (Fed) 1/23/12 Link 2 F&C Management, Ltd. Fed, OCC, FDIC, SEC 2/13/12 Link 3 Financial Services Authority (FSA) Fed 2/8/12 Link 3 International Regulatory Strategy Group (City of London) Not indicated Undated Link 4 Investment Management Association (IMA) Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 26 UK Regulated Covered Bond Council Fed, OCC, FDIC, SEC 2/13/12 Link 9
*Letters included as available on various agency websites. 6
Updated: February 22, 4:00 p.m.
III. Certain Letters Submitted by Members of Congress
Signatory or Signatories: Dated: Link to Letter Page Copy:* Length: Representative Anna Eshoo (D-CA) 12/13/11 Link 2 Representative Carolyn McCarthy (D-NY) with 16 Representatives 1/27/12 Link 3 Representative David Schweikert (R-AZ) 12/16/11 Link 2 Representative Jackie Speier (D-CA) 1/23/12 Link 1 Representative Maurice Hinchey (D-NY) with 16 Representatives 11/16/11 Link 3 Representative Michael Honda (D-CA) 12/20/11 Link 2 Representative Michael Burgess (R-TX) 12/19/11 Link 1 Representative Randy Neugebauer (R-TX) with 120 Representatives 12/20/11 Link 7 Representative Zoe Lofgren (D-CA) 12/23/11 Link 2 Representatives Gary Peters (D-MI) with 24 Representatives 2/17/12 Link 4 Representatives Spencer Bachus (R-AL), Jeb Hensarling (R-TX), Shelley Moore Capito (R-WV), and Scott Garrett 12/7/11 Link 2 (R-NJ) Senator Barbara Boxer (D-CA) 2/17/12 Link 2 Senator Bob Corker (R-TN) 2/13/12 Link 2 Senator Kay Hagan (D-NC) 1/13/12 Link 3
Senator Kirsten Gillibrand (D-NY) 1/25/12 Link 2 Senators Jeff Merkley (D-OR) and Carl Levin (D-MI) 2/13/12 Link 54
Senators Tom Carper (D-DE), Pat Toomey (R-PA), Mark Warner (D-VA), Mike Crapo (R-ID), Chris Coons (D-DE), 2/16/12 Link 3 and Scott Brown (R-MA)
*Letters included as available on various agency websites. 7
Updated: February 22, 4:00 p.m.
IV. Certain Letters Submitted by Industry Participants
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Abbott Laboratories, American Insurance Association, Anadarko Petroleum Corp, Arch Coal Inc., Association for 2/14/12 Link 5 Financial Professional, Business Roundtable, Caterpillar Inc., Chesapeake Energy Corp, Convergys, Darden Restaurants Inc., Devon Energy Corp., Dominion Resources Inc., DuPont Co., Eaton Corp., Financial Executives International, FMC, GE, Goodrich, HCA, Macy’s Inc., Nissan Motor Acceptance Corp., Qualcomm Inc., Safeway Inc., The Boeing Company, The Real Estate Roundtable, The U.S. Chamber of Commerce, and Yocum Oil Company Inc. Advanced Technology Ventures 2/8/12 Link 2 Allen & Overy (Proprietary Trading, Foreign Government Obligations) 2/13/12 Link 9 Allen & Overy (Risk Management, Clearing) 2/13/12 Link 6 Allen & Overy (Trading Account, Foreign Funds Exemption, International Compliance) 2/13/12 Link 7 Alliance Bernstein L.P. 11/16/11 Link 9 American Express Company 2/9/12 Link 22 American International Group, Inc. (AIG) and SunAmerica Life Insurance Company 2/13/12 Link 10 American Public Power Association; Council of Infrastructure Financing Authorities; Government Finance Officers 2/13/12 Link 3 Association; Education Finance Council; International City/County Management Association; International Municipal Lawyers Association; Large Public Power Council; National Association of Counties; National Association of Health and Educational Facilities Finance Authorities; National Association of Local Housing Finance Agencies; National Association of State Auditors, Comptrollers and Treasurers; National Association of State Treasurers; National Conference of State Legislatures; National Council of State Housing Agencies; National League of Cities; U.S. Conference of Mayors Apollo Global Management, Babson Capital Management, Bank of American Merrill Lynch, CIFC, Citigroup Global 2/13/12 Link 9 Markets, Crescent Capital Group, Deutsche Bank AG, Doral Bank, Golub Capital, GSO / Blackstone Debt Funds Management, Halcyon Asset Management, JPMorgan Chase & Co., Morgan Stanley, Prudential Fixed Income, WCAS Fraser Sullivan Investment Management, and Wells Fargo & Co. (by Cleary Gottlieb) August Capital 2/13/12 Link 2 Bangkok Bank Public Company Limited, Krung Thai Bank Public Company Limited, Kasikornbank Public Company 2/9/12 Link 20 Limited, and the Thai Bankers’ Association (by Cadwalader, Wickersham & Taft LLP) Bank of America Corp. 2/13/12 Link 113
*Letters included as available on various agency websites. 8
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, Deutsche Bank AG, HSBC 2/13/12 Link 20 Global Asset Management, Royal Bank of Canada, Societe Generale, Standard Chartered Bank, Toronto-Dominion Bank (by Allen & Overy LLP) Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, National Bank of Canada, Royal 2/13/12 Link 19 Bank of Canada, The Toronto-Dominion Bank (by Allen & Overy LLP) Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Group of Commerce, Royal Bank of Canada and The 1/19/12 Link 21 Toronto-Dominion Bank (the Canadian Banks) Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Group of Commerce, National Bank of Canada, Royal 2/13/12 Link 8 Bank of Canada and The Toronto-Dominion Bank (the Canadian Banks II) Bank of New York Mellon, Northern Trust Corporation, and State Street Corporation (the Custodian Banks) 2/13/12 Link 40 Barclays Capital 2/13/12 Link 34 BBVA Compass Consulting and Benefits, Inc. Undated Link 2 Bessemer Group Inc. (by Arnold & Porter LLP) 2/13/12 Link 50 Black Rock 2/13/12 Link 16 BlueRun Ventures 2/8/12 Link 2 BOK Financial Corporation 2/13/12 Link 9 Cadwalader, Wickersham & Taft LLP Municipal Markets Group 2/9/12 Link 17 California Public Employees’ Retirement System (CalPERS) 2/13/12 Link 4 Canaan Partners 2/3/12 Link 2 Capital Group Companies 2/13/12 Link 11 Capital One Financial Corp., Fifth Third Bancorp, Regions Financial Corp. 11/29/11 Link 5 Charles River Ventures 2/9/12 Link 2 Citigroup Global Markets Inc. 1/27/12 Link 19 Citigroup Inc. 2/13/12 Link 10 City of New York Office of Management and Budget 2/13/12 Link 3
*Letters included as available on various agency websites. 9
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Clark Consulting 2/7/12 Link 1 Cleary Gottlieb Steen & Hamilton LLP, Davis Polk & Wardwell LLP, and Sullivan & Cromwell LLP 1/23/12 Link 4 CME Group 2/13/12 Link 7 Columbia Management Investment Advisers 2/10/12 Link 4 Committee on Investment of Employee Benefit Assets (CIEBA) 2/10/12 Link 6 Connecticut Housing Finance Authority 2/10/12 Link 2 County Financial, Mutual of Omaha, Nationwide Mutual Insurance Company, Principal Financial Group, The 2/13/12 Link 5 Prudential Insurance Company of America, State Farm Mutual Automobile Insurance Co., TIAA-CREF, Westfield Group Credit Suisse Securities USA (Funds) 2/13/12 Link 80 Credit Suisse Securities USA (Proprietary Trading) 2/13/12 Link 20 DBS Bank Ltd., Oversea-Chinese Banking Corporation, United Overseas Bank Limited, and the Association of Banks 2/7/12 Link 20 in Singapore (by Cadwalader, Wickersham & Taft LLP) Deutsche Bank AG (Fund-Linked Products) 2/13/12 Link 17 Deutsche Bank AG (Repackaging Transactions) 2/13/12 Link 12 Eaton Vance Investment Management 2/13/12 Link 7 Electric Reliability Council of Texas, Inc. 2/13/12 Link 9 Federal Home Loan Banks (by Sutherland Asbill & Brennan LLP) 2/13/12 Link 6 Fidelity Investments 2/13/12 Link 23 First Tennessee Bank N.A. 2/13/12 Link 12 G2 FinTech 2/6/12 Link 3 General Electric Company (GE) and General Electric Capital Corporation (GECC) 2/13/12 Link 37 Gold Hill Capital 2/6/12 Link 3 Goldman Sachs Group, Inc., The (Funds) 2/13/12 Link 22 Goldman Sachs Group, Inc., The (Proprietary Trading) 2/13/12 Link 65
*Letters included as available on various agency websites. 10
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Grosvenor Capital Management, L.P. 2/13/12 Link 7 HSBC Bank USA, N.A. 2/13/12 Link 10 HSBC Life (International) Limited 2/13/12 Link 10 Income Research & Management 1/20/12 Link 2 IntercontinentalExchange, Inc. (ICE) 2/12/12 Link 4 Invesco Ltd. 2/13/12 Link 6 Investure LLC 1/17/12 Link 6 JPMorgan Chase & Co.; Wells Fargo Bank , N.A.; Deutsche Bank AG, New York Branch; Royal Bank of Canada; 2/10/12 Link 23 Societe Generale, New York Branch (by Ashurst LLP) JPMorgan Chase & Co. 2/13/12 Link 67 Katten Muchin Rosenman 2/13/12 Link 13 Katten Muchin Rosenman II 2/13/12 Link 5 Lewis County Public Utility District 1/20/12 Link 1 Liberty Global Inc. Undated Link 2 Lloyds Banking Group 2/13/12 Link 2 Lone Star Investment Advisors 2/13/12 Link 5 Lord, Abbett & Co. LLC 2/8/12 Link 5 M&T Bank Corporation 2/10/12 Link 5 MassMutual Financial Group 2/13/12 Link 2 MetLife, Inc. 2/8/12 Link 7 Metropolitan Transportation Authority, State of New York (MTA) 2/13/12 Link 2 Mid-size Bank Coalition of America – People’s United Bank, Silicon Valley Bank, IBERIABANK, Hancock Bank, 2/10/12 Link 4 TCF Financial Corp., Umpqua Bank, Frost National Bank, MB Financial Inc., Associated Bank, FirstMerit Corp., Trustmark Corp., Bank of Hawaii, First Horizon National Corp., Commerce Bancshares, UMB Financial Corp., Valley National Bank, BOK Financial, East West Bank, One West Bank, Raymond James Bank, Susquehanna Bank, The PrivateBank, Webster Bank, Fulton Financial Corp. , and City National Bank (by Arnold & Porter LLP and Peck,
*Letters included as available on various agency websites. 11
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: Madigan, Jones & Stewart, Inc.) Mitsubishi UFJ Financial Group, Inc. 2/13/12 Link 6 Mizuho Corporate Bank 2/13/12 Link 3 Mohr Davidow Ventures 2/6/12 Link 2 Morgan Stanley 2/13/12 Link 65 Mutual of Omaha 2/6/12 Link 5 National Australia Bank Limited (NAB) 2/10/12 Link 9 National Trust for Historic Preservation & Historic Tax Credit Coalition 2/10/12 Link 102 Nationwide Mutual Insurance Co. 2/9/12 Link 14 Natixis Asset Management 2/13/12 Link 1 New Enterprise Associates (NEA) 2/12/12 Link 2 New York State Division of the Budget 2/13/12 Link 3 Norinchukin Bank, The 1/25/12 Link 14 North Carolina Office of the Treasurer 2/13/12 Link 2 Northern Trust Co. 2/13/12 Link 6 Northwestern Mutual, Jayhawk Financial Group 2/6/12 Link 1 Nuveen Asset Management 2/10/12 Link 6 NYSE Euronext 2/9/12 Link 9 Office of the Treasurer, State of Washington 2/13/12 Link 2 OptumHealth Bank 2/13/12 Link 6 Partners for Growth Managers, LLC 2/8/12 Link 4 Physic Ventures, LP 2/7/12 Link 3 PNC Bank, N.A. and Royal Bank of Canada (by Nixon Peabody LLP) 2/13/12 Link 14 PNC Financial Services Group 2/13/12 Link 32
*Letters included as available on various agency websites. 12
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: PNC Financial Services Group, U.S. Bancorp, Capital One Financial Corp., SunTrusts Banks, Branch Banking and 2/13/12 Link 17 Trust Co., Fifth Third Bancorp, Regions Financial Corp., and KeyCorp Port Authority of New York and New Jersey 2/13/12 Link 2 PPL Corporation 2/16/12 Link 3 Public Utility Commission of Texas 2/13/12 Link 7 Putnam Investments 2/13/12 Link 4 Raymond James Tax Credit Funds, Inc. 1/10/12 Link 7 Renaissance Venture Capital Fund Undated Link 3 River Cities Capital Funds 2/2/12 Link 2 Royal Bank of Canada (RBC) 2/13/12 Link 93 Scale Venture Partners 2/8/12 Link 10 Skadden, Arps, Slate, Meagher, & Flom LLP 2/13/12 Link 4 Skandinaviska Enskilda Banken AB 2/13/12 Link 6 Societe Generale 2/13/12 Link 7 Sofinnova Ventures 2/2/12 Link 2 Standish Mellon Asset Management Company LLC (Bank of New York Mellon) 1/19/12 Link 3 State Street Corp. 2/13/12 Link 12 State Street Global Advisors 2/13/12 Link 24 Sumitomo Trust & Banking Co., Ltd., The 2/3/12 Link 5 SunTrust Banks, Inc. 2/13/12 Link 3 SVB Financial Group 2/13/12 Link 38 T. Rowe Price Associates, Inc. 2/13/12 Link 8 TCW Group 2/13/12 Link 6 TIAA-CREF 2/13/12 Link 17
*Letters included as available on various agency websites. 13
Updated: February 22, 4:00 p.m.
Submitting Entity or Entities: Dated: Link to Letter Page Copy:* Length: TIAA-CREF 2/9/12 Link 20 Tokio Marine & Nichido Financial Life Insurance Co., Ltd. 2/13/12 Link 4 Toyota Motor Credit Corp 2/13/12 Link 12 Trinity Ventures 2/13/12 Link 2 UBS AG and UBS Americas, Inc. 2/17/12 Link 19 U.S. Bank and U.S. Bancorp Community Development Corporation 2/10/12 Link 60 Union Asset Management Holding AG 2/13/12 Link 22 Union Bank, N.A. 1/30/12 Link 11 United Services Automobile Association (USAA) 2/13/12 Link 5 Vanguard 2/13/12 Link 7 Venrock 2/13/12 Link 2 Wedbush, Inc. 1/30/12 Link 5 Wellington Management Company, LLP 1/12/12 Link 6 Wells Fargo & Company (Funds) 2/13/12 Link 12 Wells Fargo & Company (General) 2/13/12 Link 40 Western Asset Management Co. 2/13/12 Link 4 Westly Group, The 2/8/12 Link 2 WilmerHale 2/13/12 Link 7 Zions First National Bank 2/13/12 Link 3
*Letters included as available on various agency websites. 14
Updated: February 22, 4:00 p.m.
V. Certain Other Letters Submitted
Signatory or Signatories: Addressee(s): Dated: Link to Letter Page Copy:* Length: Americans for Financial Reform and AFL-CIO Fed, OCC, FDIC, SEC 2/13/12 Link 73
Berkeley Law, University of California Fed, OCC, FDIC, SEC 2/13/12 Link 6
Better Markets, Inc. Fed, OCC, FDIC, SEC 2/13/12 Link 28
Black Economic Council, Latino Business Chamber of Greater LA, National Asian Fed, OCC, FDIC, SEC 1/20/12 Link 7 American Coalition IHS Inc. Not indicated 2/2012 Link 57
Matthew Richardson, NYU Stern School of Business Not indicated Undated Link 21
Occupy the SEC Fed, OCC, FDIC, SEC 1/13/12 Link 325
Oliver Wyman Fed, OCC, FDIC, SEC 2/13/12 Link 48
Oliver Wyman Not indicated 12/29/11 Link 38 Paul A. Volcker Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 8 Professor Darrell Duffie, Graduate School of Business, Stanford University Treasury, OCC 1/16/12 Link 31
Professor Lynn A. Stout, UCLA Law School Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 3
Professors Anat Admati and Paul Pfleiderer, Graduate School of Business, Stanford Not indicated Undated Link 83 University Public Citizen’s Congress Watch Fed, OCC, FDIC, SEC, 2/13/12 Link 53 Treasury Robert Johnson, Roosevelt Institute, and Joseph Stiglitz, Columbia University Fed, OCC, FDIC, SEC, CFTC 2/13/12 Link 10
Shadow Financial Regulatory Committee Not indicated 2/13/12 Link 2
Simon Johnson Fed, OCC, FDIC, SEC Undated Link 6
*Letters included as available on various agency websites. 15