Volcker Rule Comment Letter Index - Sullivan & Cromwell

Comment and Other Letters Submitted
Regarding Proposed Rulemakings under the Volcker Rule
Updated: May 7, 2012
For more updates and information on Dodd-Frank, visit www.sullcrom.com/doddfrankdevelopments/.
I. Certain Letters Submitted by U.S. Trade and Other Organizations
Submitting Entity or Entities:* Dated:
Affordable Housing Investors Council 2/13/12 7
Alternative Investment Management Association (AIMA) 2/16/12 2
American Bankers Association (ABA) 2/13/12 35
American Bankers Association (ABA) Midsize Working Group 2/13/12 7
American Bankers Association Securities Association (ABASA) 2/13/12 2
American Council for Life Insurers (ACLI) 2/13/12 8
American Council for Life Insurers (ACLI) 1/24/12 15
American Securitization Forum (ASF) 2/13/12 41
American Securitization Forum (ASF) II 3/21/12 4
Association for Advanced Life Underwriting (AALU) 2/8/12 2
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Association of Institutional Investors 2/13/12 19
*Letters included as available on various agency websites. 1 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Bond Dealers of America 2/13/12 6
Bond Dealers of America II 3/2/12 2
Business Roundtable 2/13/12 6
Center for Capital Market Competitiveness of the U.S. Chamber of Commerce 12/15/11 10
Center for Capital Market Competitiveness of the U.S. Chamber of Commerce 1/17/12 3
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Length:
Center for Capital Market Competitiveness of the U.S. Chamber of Commerce 2/13/12 46
CFA Institute 2/15/12 7
Clearing House Association L.L.C., The (TCH) (General Policy) 2/13/12 9
Clearing House Association L.L.C., The (TCH) and the ABA Securities Association (ABASA) (ALM) 2/13/12 28
Commercial Real Estate (CRE) Financial Council 2/13/12 4
Committee of Annuity Insurers (by Sutherland Asbill & Brennan LLP) 2/2/12 23
Committee on Capital Markets Regulation 2/13/12 12
Committee on Investment Employee Benefit Assets (CIEBA) 2/10/12 6
Community Bankers Association of Illinois 2/13/12 3
Conference of State Bank Supervisors (CSBS) 2/8/12 2
Edison Electric Institute (EEI), National Rural Electric Cooperative Association (NRECA), Large Public
Power Council (LPPC) and Electric Power Supply Association (EPSA)
4/16/12 8
*Letters included as available on various agency websites. 2 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Financial Executives International (FEI) Committee on Corporate Treasury 2/14/13 4
Financial Services Roundtable (FSR) (General) 2/13/12 2
Financial Services Roundtable (FSR) (Insurance) 2/3/12 21
Fixed Income Forum and Credit Roundtable 2/13/12 5
Futures Industry Association 4/16/12 19
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Length:
ICI Global 2/13/12 30
Independent Bankers Association of Texas 2/15/12 4
Independent Community Bankers of America (ICBA) 2/13/12 7
Information Technology & Innovation Foundation 1/26/12 6
Investment Adviser Association 2/13/12 6
Investment Company Institute (ICI) 2/13/12 46
Loan Syndications and Trading Association 2/13/12 15
Low Income Housing Tax Credit Working Group (by Novogradac & Co. LLP) 2/13/12 7
Managed Funds Association (MFA) 2/13/12 7
Municipal Securities Rulemaking Board (MSRB) 1/31/12 11
National Association of Bond Lawyers 2/13/12 6
*Letters included as available on various agency websites. 3 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
National Association of Industrial Bankers (NAIB), the American Financial Services Association
(AFSA), the Nevada Bankers Association, and the Utah Bankers Association
Updated: May 7, 2012
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Length:
2/13/12 21
National Association of Insurance Commissioners (NAIC) 2/10/12 22
National Association of Mutual Insurance Companies (NAMIC) 2/13/12 9
National Association of Securities Professionals (NASP) 12/21/11 2
National Conference of State Legislatures (NCSL) 2/13/12 2
National Council of State Housing Agencies 2/13/12 3
National Rural Electric Cooperative Association 2/13/12 5
National Venture Capital Association 2/3/12 29
New Markets Tax Credit Working Group (by Novogradac & Co. LLP) 2/13/12 6
Private Equity Growth Capital Council (PEGCC) 2/13/12 29
Property Casualty Insurers Association of America 2/10/12 2
Real Estate Roundtable, The 1/27/12 3
Renewable Energy Tax Credit Working Group (by Novogradac & Co. LLP) 2/13/12 7
Risk Management Association 2/13/12 42
Security Traders Association of New York, The (STANY) 2/15/12 9
Securities Industry and Financial Markets Association (SIFMA) Asset Management Group 2/13/12 8
*Letters included as available on various agency websites. 4 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
SIFMA (Municipal Securities and Tender Option Bonds) 2/13/12 10
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SIFMA (Securitization and Insurance-Linked Securities Transactions) 2/13/12 34
SIFMA, TCH, FSR and ABA (Funds) 2/13/12 154
SIFMA, TCH, FSR and ABA (Funds – Supplemental) 3/9/12 44
SIFMA, TCH, FSR and ABA (Proprietary Trading) 2/13/12 173
SIFMA, TCH, FSR, and ABA (CFTC) 4/16/12 44
Small Business Investor Alliance 2/13/12 10
Wisconsin Bankers Association 2/10/12 3
*Letters included as available on various agency websites. 5 sullcrom.com/FinancialServicesReformResourceCenter/

II. Certain Letters Submitted by International Regulators, Governments,
Non-U.S. Trade Associations, etc.
Signatory or Signatories:* Addressee(s): Dated:
International General
Association for Financial Markets in Europe, Asia Securities Industry &
Financial Markets Association and the International Capital Market
Association
Updated: May 7, 2012
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Fed, OCC, FDIC, SEC, CFTC 2/13/12 17
Association of Global Custodians (by Baker & McKenzie LLP) Fed, OCC, FDIC, SEC 2/8/12 7
Institute of International Bankers (IIB) and the European Banking
Federation (EBF)
Institute of International Finance (IIF)
Fed, OCC, FDIC, SEC, CFTC,
Treasury
Fed, OCC, FDIC, SEC, CFTC,
Treasury
2/13/12 51
2/10/12 9
International Centre for Financial Regulation (ICFR) SEC 2/13/12 13
International Council of Securities Associations Fed, OCC, FDIC, SEC, CFTC 2/13/12 5
International Swaps and Derivatives Association (ISDA) Fed, OCC, FDIC, SEC 2/13/12 24
International Swaps and Derivatives Association (ISDA) II CFTC 4/12/12 5
Australia
Australian Bankers Association Fed, OCC, FDIC, SEC, CFTC 2/13/12 13
Australian Financial Markets Association Fed, OCC, FDIC, SEC 2/13/12 6
*Letters included as available on various agency websites. 6 sullcrom.com/FinancialServicesReformResourceCenter/

Signatory or Signatories:* Addressee(s): Dated:
Updated: May 7, 2012
Finance Industry Council of Australia Fed, OCC, FDIC, SEC 2/15/12 2
Reserve Bank of Australia Chairman Bernanke (Fed) 2/14/12 2
Canada
Bank of Canada Chairman Bernanke (Fed) 2/13/12 4
Canadian Bankers Association Fed, OCC, FDIC, SEC, CFTC 2/13/12 2
Investment Funds Institute of Canada Fed, OCC, FDIC, SEC, CFTC 2/13/12 7
Investment Industry Association of Canada Fed, OCC, FDIC, SEC 12/21/11 4
Minister of Finance Canada Secretary Geithner (Treasury) 2/13/12 4
Ministere des Finances Quebec Fed, OCC, FDIC, SEC 2/9/12 3
Office of the Superintendent of Financial Institutions Canada Fed, OCC, FDIC, SEC 12/28/11 3
Ontario Financing Authority Fed, OCC, FDIC, SEC 1/31/12 3
Province of British Columbia Fed, OCC, FDIC, SEC 2/10/12 2
Colombia
Superintendencia Financier de Colombia Fed, OCC, FDIC, SEC 2/28/12 2
Europe
European Banking Federation Fed, OCC, FDIC, SEC 2/13/12 3
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*Letters included as available on various agency websites. 7 sullcrom.com/FinancialServicesReformResourceCenter/

Signatory or Signatories:* Addressee(s): Dated:
Updated: May 7, 2012
European Commissioner Michel Barnier Chairman Walsh (OCC) 2/8/12 2
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European Fund and Asset Management Association Fed, OCC, FDIC, SEC 2/13/12 24
European Private Equity & Venture Capital Association Fed, OCC, FDIC, SEC 2/13/12 5
European Union Council of Ministers, President Margrethe Vestager Chairman Bernanke (Fed) 2/21/12 2
France
Assocation Francaise des Professionnels des Titres (AFTI) (French
Association of Securities Professionals)
Fed, OCC, FDIC, SEC 2/13/12 2
Association Francaise de la Gestion Financiere (AFG) Fed, OCC, FDIC, SEC 2/13/12 10
Chairman of the Autorite de contrale prudentiel ("ACP"); Chairman of the
Autorite des marches financiers ("AMF"); and Head of the French
Treasury
Fed, OCC, FDIC, SEC, CFTC 2/14/12 4
French Banking Federation Fed, OCC, FDIC, SEC, CFTC 2/13/12 3
Germany
Association of German Banks
Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin) and Deutsche
Bundesbank
Fed, OCC, FDIC, SEC, CFTC,
Treasury
2/10/12 12
Fed, OCC, FDIC, SEC 2/10/12 3
Bundesverband Investment und Asset Management (BVI) Fed, OCC, FDIC, SEC 2/13/12 18
Hong Kong
*Letters included as available on various agency websites. 8 sullcrom.com/FinancialServicesReformResourceCenter/

Signatory or Signatories:* Addressee(s): Dated:
Updated: May 7, 2012
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Length:
Hong Kong Investment Funds Association (HK IFA) Fed, OCC, FDIC, SEC 2/20/12 30
Treasury Markets Association, Hong Kong Fed, OCC, FDIC, SEC 3/19/12 4
Japan
Financial Services Agency Government of Japan and Bank of Japan Fed, OCC, FDIC, SEC 12/28/11 5
Japanese Bankers Association, The Fed, OCC, FDIC, SEC 1/13/12 20
Luxembourg
Association of the Luxembourg Fund Industry Fed, OCC, FDIC, SEC 2/13/12 26
Malaysia
Malayan Banking Berhad and The Association of Banks in Malaysia
Mexico
Banco de Mexico
Fed, OCC, FDIC, SEC, CFTC,
Treasury
Fed, OCC, FDIC, SEC, CFTC,
Treasury
2/8/12 17
2/13/12 7
Comision Nacional Bancaria y de Valores (CNBV) Fed, OCC, FDIC, SEC 2/13/12 4
Republic of China
Bankers Association of the Republic of China
Singapore
Fed, OCC, FDIC, SEC, CFTC,
Treasury
3/23/12 21
*Letters included as available on various agency websites. 9 sullcrom.com/FinancialServicesReformResourceCenter/

Signatory or Signatories:* Addressee(s): Dated:
DBS Bank Ltd., Oversea-Chinese Banking Corporation, United Overseas
Bank Limited, and the Association of Banks in Singapore (by Cadwalader,
Wickersham & Taft LLP)
Switzerland
Fed, OCC, FDIC, SEC, CFTC,
Treasury
Updated: May 7, 2012
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Length:
2/7/12 20
Swiss Finance Department FDIC, SEC, Treasury 2/28/12 2
Thailand
Bangkok Bank Public Company Limited, Krung Thai Bank Public Company
Limited, Kasikornbank Public Company Limited, and the Thai Bankers’
Association (by Cadwalader, Wickersham & Taft LLP)
United Kingdom
Fed, OCC, FDIC, SEC, CFTC,
Treasury
2/9/12 20
British Bankers Association Fed, OCC, FDIC, SEC, CFTC 2/13/12 3
Chancellor of the Exchequer George Osborne Chairman Bernanke (Fed) 1/23/12 2
F&C Management, Ltd. Fed, OCC, FDIC, SEC 2/13/12 3
Financial Services Authority (FSA) Fed 2/8/12 3
International Regulatory Strategy Group (City of London) Not indicated Undated 4
Investment Management Association (IMA) Fed, OCC, FDIC, SEC, CFTC 2/13/12 26
UK Regulated Covered Bond Council Fed, OCC, FDIC, SEC 2/13/12 9
*Letters included as available on various agency websites. 10 sullcrom.com/FinancialServicesReformResourceCenter/

III. Certain Letters Submitted by Members of Congress
Signatory or Signatories:* Dated:
Updated: May 7, 2012
Representative Anna Eshoo (D-CA) 12/13/11 2
Representative Barney Frank (D-MA) 3/22/12 2
Representative Bob Goodlatte (R-VA) 2/27/12 1
Representative Carolyn McCarthy (D-NY) with 16 Representatives 1/27/12 3
Representative David Schweikert (R-AZ) 12/16/11 2
Representative Jackie Speier (D-CA) 1/23/12 1
Representative Jim Himes (D-CT) 3/16/12 2
Representative Maurice Hinchey (D-NY) with 16 Representatives 11/16/11 3
Representative Michael Honda (D-CA) 12/20/11 2
Representative Michael Burgess (R-TX) 12/19/11 1
Representative Randy Neugebauer (R-TX) with 120 Representatives 12/20/11 7
Representative Steve Israel (D-NY) 3/9/12 2
Representative Zoe Lofgren (D-CA) 12/23/11 2
Representatives Gary Peters (D-MI) with 24 Representatives 2/17/12 4
Representatives Spencer Bachus (R-AL), Jeb Hensarling (R-TX), Shelley Moore Capito (R-WV), and
Scott Garrett (R-NJ)
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Length:
12/7/11 2
*Letters included as available on various agency websites. 11 sullcrom.com/FinancialServicesReformResourceCenter/

Signatory or Signatories:* Dated:
Updated: May 7, 2012
Senator Barbara Boxer (D-CA) 2/17/12 2
Senator Ben Nelson (D-NE) 2/16/12 2
Senator Bob Casey (D-PA) 3/16/12 2
Senator Bob Corker (R-TN) 2/13/12 2
Senator Kay Hagan (D-NC) 1/13/12 3
Senator Kirsten Gillibrand (D-NY) 1/25/12 2
Senator Michael Bennet (D-CO) 2/24/12 3
Page
Length:
Senators Jeff Merkley (D-OR) and Carl Levin (D-MI) 2/13/12 54
Senators Sherrod Brown (D-OH) and Tom Harkin (D-IA) 4/13/12 2
Senators Tom Carper (D-DE), Pat Toomey (R-PA), Mark Warner (D-VA), Mike Crapo (R-ID), Chris
Coons (D-DE), and Scott Brown (R-MA)
2/16/12 3
*Letters included as available on various agency websites. 12 sullcrom.com/FinancialServicesReformResourceCenter/

IV. Certain Letters Submitted by Industry Participants
Submitting Entity or Entities:* Dated:
Abbott Laboratories, American Insurance Corporation, Anadarko Petroleum Corp, Arch Coal Inc.,
Association for 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.
Updated: May 7, 2012
Page
Length:
2/21/12 5
Advanced Technology Ventures 2/8/12 2
Allen & Overy (Proprietary Trading, Foreign Government Obligations) 2/13/12 9
Allen & Overy (Risk Management, Clearing) 2/13/12 6
Allen & Overy (Trading Account, Foreign Funds Exemption, International Compliance) 2/13/12 7
Alliance Bernstein L.P. 11/16/11 9
American Express Company 2/9/12 22
American International Group, Inc. (AIG) and SunAmerica Life Insurance Company 2/13/12 10
American Public Power Association; Council of Infrastructure Financing Authorities; Government
Finance Officers 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
2/13/12 3
*Letters included as available on various agency websites. 13 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
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 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)
Updated: May 7, 2012
Page
Length:
2/13/12 9
August Capital 2/13/12 2
Bangkok Bank Public Company Limited, Krung Thai Bank Public Company Limited, Kasikornbank
Public Company Limited, and the Thai Bankers’ Association (by Cadwalader, Wickersham & Taft LLP)
2/9/12 20
Bank of America Corp. 2/13/12 113
Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Bank of Commerce, Deutsche Bank
AG, HSBC 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 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 Toronto-Dominion Bank (the Canadian Banks)
2/13/12 20
2/13/12 19
1/19/12 21
*Letters included as available on various agency websites. 14 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Bank of Montreal, The Bank of Nova Scotia, Canadian Imperial Group of Commerce, National Bank of
Canada, Royal 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)
Updated: May 7, 2012
Page
Length:
2/13/12 8
2/13/12 40
Barclays Capital 2/13/12 34
BBVA Compass Consulting and Benefits, Inc. Undated 2
Bessemer Group Inc. (by Arnold & Porter LLP) 2/13/12 50
BlackRock 2/13/12 16
BlueRun Ventures 2/8/12 2
BOK Financial Corporation 2/13/12 9
Cadwalader, Wickersham & Taft LLP Municipal Markets Group 2/9/12 17
California Public Employees’ Retirement System (CalPERS) 2/13/12 4
Canaan Partners 2/3/12 2
Capital Group Companies 2/13/12 11
*Letters included as available on various agency websites. 15 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Capital One Financial Corp., Fifth Third Bancorp, Regions Financial Corp. 11/29/11 5
Charles River Ventures 2/9/12 2
Citigroup Global Markets Inc. 1/27/12 19
Citigroup Inc. 2/13/12 10
City of New York Office of Management and Budget 2/13/12 3
Clark Consulting 2/7/12 1
Cleary Gottlieb Steen & Hamilton LLP, Davis Polk & Wardwell LLP, and Sullivan & Cromwell LLP 1/23/12 4
CME Group 2/13/12 7
Columbia Management Investment Advisers 2/10/12 4
Committee on Investment of Employee Benefit Assets (CIEBA) 2/10/12 6
Connecticut Housing Finance Authority 2/10/12 2
County Financial, Mutual of Omaha, Nationwide Mutual Insurance Company, Principal Financial
Group, The Prudential Insurance Company of America, State Farm Mutual Automobile Insurance Co.,
TIAA-CREF, Westfield Group
Page
Length:
2/13/12 5
*Letters included as available on various agency websites. 16 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Page
Length:
Credit Suisse Securities USA (Funds) 2/13/12 80
Credit Suisse Securities USA (Proprietary Trading) 2/13/12 20
DBS Bank Ltd., Oversea-Chinese Banking Corporation, United Overseas Bank Limited, and the
Association of Banks in Singapore (by Cadwalader, Wickersham & Taft LLP)
2/7/12 20
Deutsche Bank AG (Fund-Linked Products) 2/13/12 17
Deutsche Bank AG (Repackaging Transactions) 2/13/12 12
Eaton Vance Investment Management 2/13/12 7
Electric Reliability Council of Texas, Inc. 2/13/12 9
Federal Home Loan Banks (by Sutherland Asbill & Brennan LLP) 2/13/12 6
Fidelity Investments 2/13/12 23
First Tennessee Bank N.A. 2/13/12 12
Flybridge Capital Partners 2/13/12 2
Frazier HealthCare 2/20/12 2
*Letters included as available on various agency websites. 17 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
G2 FinTech 2/6/12 3
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Length:
General Electric Company (GE) and General Electric Capital Corporation (GECC) 2/13/12 37
Gold Hill Capital 2/6/12 3
Goldman Sachs Group, Inc., The (Funds) 2/13/12 22
Goldman Sachs Group, Inc., The (Proprietary Trading) 2/13/12 65
Grosvenor Capital Management, L.P. 2/13/12 7
HSBC Bank USA, N.A. 2/13/12 10
HSBC Life (International) Limited 2/13/12 10
Income Research & Management 1/20/12 2
IntercontinentalExchange, Inc. (ICE) 2/12/12 4
Invesco Ltd. 2/13/12 6
Investure LLC 1/17/12 6
JPMorgan Chase & Co.; Wells Fargo Bank , N.A.; Deutsche Bank AG, New York Branch; Royal Bank of 2/10/12 23
*Letters included as available on various agency websites. 18 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Canada; Societe Generale, New York Branch (by Ashurst LLP)
Updated: May 7, 2012
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Length:
JPMorgan Chase & Co. 2/13/12 67
Katten Muchin Rosenman 2/13/12 13
Katten Muchin Rosenman II 2/13/12 5
Lewis County Public Utility District 1/20/12 1
Liberty Global Inc. Undated 2
Lloyds Banking Group 2/13/12 2
Lone Star Investment Advisors 2/13/12 5
Lord, Abbett & Co. LLC 2/8/12 5
M&T Bank Corporation 2/10/12 5
Massachusetts Educational Financing Authority (MEFA) 2/13/12 3
MassMutual Financial Group 2/13/12 2
MetLife, Inc. 2/8/12 7
*Letters included as available on various agency websites. 19 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Metropolitan Transportation Authority, State of New York (MTA) 2/13/12 2
Mid-size Bank Coalition of America – People’s United Bank, Silicon Valley Bank, IBERIABANK,
Hancock Bank, 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, Madigan, Jones &
Stewart, Inc.)
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2/10/12 4
Mitsubishi UFJ Financial Group, Inc. 2/13/12 6
Mizuho Corporate Bank 2/13/12 3
Mohr Davidow Ventures 2/6/12 2
Morgan Stanley 2/13/12 65
Mutual of Omaha 2/6/12 5
National Australia Bank Limited (NAB) 2/10/12 9
National Trust for Historic Preservation & Historic Tax Credit Coalition 2/10/12 102
Nationwide Mutual Insurance Co. 2/9/12 14
*Letters included as available on various agency websites. 20 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Natixis Asset Management 2/13/12 1
New Enterprise Associates (NEA) 2/12/12 2
New York State Division of the Budget 2/13/12 3
Norinchukin Bank, The 1/25/12 14
North Carolina Office of the Treasurer 2/13/12 2
Northern Trust Co. 2/13/12 6
Northwestern Mutual, Jayhawk Financial Group 2/6/12 1
Nuveen Asset Management 2/10/12 6
NYSE Euronext 2/9/12 9
Office of the Treasurer, State of Washington 2/13/12 2
OptumHealth Bank 2/13/12 6
Partners for Growth Managers, LLC 2/8/12 4
Physic Ventures, LP 2/7/12 3
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*Letters included as available on various agency websites. 21 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
PNC Bank, N.A. and Royal Bank of Canada (by Nixon Peabody LLP) 2/13/12 14
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Length:
PNC Financial Services Group 2/13/12 32
PNC Financial Services Group, U.S. Bancorp, Capital One Financial Corp., SunTrusts Banks, Branch
Banking and Trust Co., Fifth Third Bancorp, Regions Financial Corp., and KeyCorp
2/13/12 17
Port Authority of New York and New Jersey 2/13/12 2
PPL Corporation 2/16/12 3
Public Utility Commission of Texas 2/13/12 7
Putnam Investments 2/13/12 4
Raymond James Tax Credit Funds, Inc. 1/10/12 7
Renaissance Venture Capital Fund Undated 3
River Cities Capital Funds 2/2/12 2
Royal Bank of Canada (RBC) 2/13/12 93
Scale Venture Partners 2/8/12 10
*Letters included as available on various agency websites. 22 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Skadden, Arps, Slate, Meagher, & Flom LLP 2/13/12 4
Skandinaviska Enskilda Banken AB 2/13/12 6
Societe Generale 2/13/12 7
Sofinnova Ventures 2/2/12 2
Standish Mellon Asset Management Company LLC (Bank of New York Mellon) 1/19/12 3
State of Connecticut, Treasurer Denise L. Nappier 4/30/12 2
State Street Corp. 2/13/12 12
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State Street Global Advisors 2/13/12 24
Sumitomo Trust & Banking Co., Ltd., The 2/3/12 5
SunTrust Banks, Inc. 2/13/12 3
SVB Financial Group 2/13/12 38
T. Rowe Price Associates, Inc. 2/13/12 8
TCW Group 2/13/12 6
*Letters included as available on various agency websites. 23 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
TIAA-CREF 2/13/12 17
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Length:
TIAA-CREF 2/9/12 20
Tokio Marine & Nichido Financial Life Insurance Co., Ltd. 2/13/12 4
Toyota Motor Credit Corp 2/13/12 12
Trinity Ventures 2/13/12 2
UBS AG and UBS Americas, Inc. 2/17/12 19
U.S. Bank and U.S. Bancorp Community Development Corporation 2/10/12 60
Union Asset Management Holding AG 2/13/12 22
Union Bank, N.A. 1/30/12 11
United Services Automobile Association (USAA) 2/13/12 5
Vanguard 2/13/12 7
Venrock 2/13/12 2
Wedbush, Inc. 1/30/12 5
*Letters included as available on various agency websites. 24 sullcrom.com/FinancialServicesReformResourceCenter/

Submitting Entity or Entities:* Dated:
Updated: May 7, 2012
Wellington Management Company, LLP 1/12/12 6
Wells Fargo & Company (Funds) 2/13/12 12
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Length:
Wells Fargo & Company (General) 2/13/12 40
Western Asset Management Co. 2/13/12 4
Westly Group, The 2/8/12 2
WilmerHale 2/13/12 7
Zions First National Bank 2/13/12 3
*Letters included as available on various agency websites. 25 sullcrom.com/FinancialServicesReformResourceCenter/

V. Certain Other Letters Submitted
Signatory or Signatories:* Addressee(s): Dated:
Updated: May 7, 2012
Page
Length:
Americans for Financial Reform and AFL-CIO Fed, OCC, FDIC, SEC 2/13/12 73
Berkeley Law, University of California Fed, OCC, FDIC, SEC 2/13/12 6
Better Markets, Inc. Fed, OCC, FDIC, SEC 2/13/12 28
Black Economic Council, Latino Business Chamber of Greater LA, National
Asian American Coalition
Fed, OCC, FDIC, SEC 1/20/12 7
IHS Inc. Not indicated 2/2012 57
Matthew Richardson, NYU Stern School of Business Not indicated Undated 21
Occupy the SEC Fed, OCC, FDIC, SEC 1/13/12 325
Oliver Wyman Fed, OCC, FDIC, SEC 2/13/12 48
Oliver Wyman Not indicated 12/29/11 38
Paul A. Volcker
Fed, OCC, FDIC, SEC,
CFTC
2/13/12 8
*Letters included as available on various agency websites. 26 sullcrom.com/FinancialServicesReformResourceCenter/

Signatory or Signatories:* Addressee(s): Dated:
Updated: May 7, 2012
Professor Darrell Duffie, Graduate School of Business, Stanford University Treasury, OCC 1/16/12 31
Professor Lynn A. Stout, UCLA Law School
Professors Anat Admati and Paul Pfleiderer, Graduate School of Business,
Stanford University
Public Citizen’s Congress Watch
Robert Johnson, Roosevelt Institute, and Joseph Stiglitz, Columbia University
Fed, OCC, FDIC, SEC,
CFTC
Page
Length:
2/13/12 3
Not indicated Undated 83
Fed, OCC, FDIC, SEC,
Treasury
Fed, OCC, FDIC, SEC,
CFTC
2/13/12 53
2/13/12 10
Shadow Financial Regulatory Committee Not indicated 2/13/12 2
Simon Johnson Fed, OCC, FDIC, SEC Undated 6
Stephen Roach Not indicated 4/16/12 4
*Letters included as available on various agency websites. 27 sullcrom.com/FinancialServicesReformResourceCenter/