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Sep. 17, 2010 the Greenlining Institute http://sec.gov/comments/df-title-iii/minority-women-inclusion/minoritywomeninclusion-10.pdf
Feb. 8, 2011 Managed Funds Association http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-18.pdf
Nov. 16, 2010 RiskMetrics Group http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-17.pdf
Nov. 4, 2010 Albourne Partners Limited http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-15.pdf
Oct. 8, 2010 the Alternative Investment Management Association (“AIMA”) http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-12.pdf
Sep. 9, 2010 theAlternative Investment Management Association http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-8.pdf
Aug. 11, 2010 h Managed Funds Association http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-5.pdf
Nov. 1, 2010 the Pennsylvania Public School Employees’ Retirement System http://sec.gov/comments/df-title-iv/exemptions/exemptions-28.pdf
Oct. 27, 2010 ation (“NVCA”) ▯ ▯ http://sec.gov/comments/df-title-iv/exemptions/exemptions-26.pdf
Oct. 28, 2010 National Venture Capital Association and Proskauer Rose LLP http://sec.gov/comments/df-title-iv/exemptions/exemptions-22.pdf
Oct. 27, 2010 Members and Representatives of the National Venture Capital Association (“NVCA”) ________________________________________________________________________ http://sec.gov/comments/df-title-iv/exemptions/exemptions-21.pdf
Oct. 19, 2010 Dechert LLP http://sec.gov/comments/df-title-iv/exemptions/exemptions-19.pdf
Oct. 13, 2010 The Yale Endowment http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-14.pdf
Oct. 6, 2010 10 http://sec.gov/comments/s7-16-10/s71610-127.pdf
Oct. 5, 2010 National Venture Capital Association and Proskauer Rose LLP http://sec.gov/comments/df-title-iv/exemptions/exemptions-17.pdf
Sep. 28, 2010 Proskauer Rose LLP http://sec.gov/comments/df-title-iv/exemptions/exemptions-18.pdf
Sep. 24, 2010 Members of Gunderson Dettmer http://sec.gov/comments/df-title-iv/exemptions/exemptions-13.pdf
Sep. 22, 2010 reet Reform and Consumer Protection Act http://sec.gov/comments/df-title-iv/exemptions/exemptions-12.pdf
Sep. 20, 2010 reet Reform and Consumer Protection Act http://sec.gov/comments/df-title-iv/exemptions/exemptions-9.pdf
Sep. 17, 2010 h Tiedemann Wealth Management, LLC of Tiedemann Wealth Management, LLC http://sec.gov/comments/df-title-iv/exemptions/exemptions-10.pdf
Sep. 13, 2010 h Mayer Brown LLP of Mayer Brown LLP ("Mayer Brown") http://sec.gov/comments/df-title-iv/exemptions/exemptions-11.pdf
Aug. 30, 2010 treet Reform and Consumer Protection Act http://sec.gov/comments/df-title-iv/exemptions/exemptions-7.pdf
Sep. 8, 2010 Representatives of The Private Investors Coalition, Inc. http://sec.gov/comments/df-title-iv/family-offices/familyoffices-3.pdf
Oct. 7, 2010 Representatives and Members of the Securities Industry and Financial Markets Association (“SIFMA”) ________________________________________________________________________ http://sec.gov/comments/df-title-iv/systemic-risk/systemicrisk-13.pdf
Oct. 5, 2010 reet Reform and Consumer Protection Act http://sec.gov/comments/df-title-iv/accredited-investor/accreditedinvestor-9.pdf
Sep. 1, 2011 h Credit Suisse Asset Management (“CSAM”) http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-45.pdf
Jun. 9, 2011 representatives from Goldman Sachs, JP Morgan, and Morgan Stanley DATE: June 9, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-37.pdf
Jun. 3, 2011 h Goldman, Sachs & Co. (“Goldman”) http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-39.pdf
May 20, 2011 American Council of Life Insurers (“ACLI”) http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-35.pdf
May 18, 2011 representatives from RBC Capital Markets and Sullivan & Cromwell LLP DATE: May 18, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-34.pdf
Apr. 28, 2011 Representatives of Royal Bank of Canada (“Meeting Participants”) ________________________________________________________________________ http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-30.pdf
Apr. 22, 2011 Credit Suisse DATE: April 22, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-29.pdf
Apr. 13, 2011 representatives from Americans for Financial Reform (“AFR”) DATE: April 13, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-28.pdf
Apr. 6, 2011 representatives from Morgan Stanley DATE: April 6, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-26.pdf
Mar. 29, 2011 Securities Industry and Financial Markets Association (“SIFMA”) DATE: March 29, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-23.pdf
Mar. 16, 2011 Securities Industry and Financial Markets Association (“SIFMA”) http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-22.pdf
Feb. 24, 2011 the Financial Services Roundtable http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-20.pdf
Feb. 16, 2011 Keith Bailey, Nadine Cancell, Sonali Das Theisen, Joel Kent, and Allison Parent of Barclays Capital (“Meeting Participants”) ________________________________________________________________________ http://sec.gov/comments/s7-06-11/s70611-6.pdf
Feb. 4, 2011 oodbine Associates, Inc. DATE: February 4, 2011 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-18.pdf
Dec. 14, 2010 taff of Senator Jeff Merkley and Senator Carl Levin http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-17.pdf
Dec. 9, 2010 Citigroup regarding Proprietary Trading Restrictions DATE: December 9, 2010 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-16.pdf
Dec. 9, 2010 Morgan Stanley regarding Proprietary Trading Restrictions DATE: December 9, 2010 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-15.pdf
Dec. 9, 2010 J.P. Morgan regarding Proprietary Trading Restrictions DATE: December 9, 2010 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-14.pdf
Dec. 9, 2010 Goldman Sachs regarding Proprietary Trading Restrictions DATE: December 9, 2010 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-13.pdf
Dec. 9, 2010 Bank of America regarding Proprietary Trading Restrictions DATE: December 9, 2010 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-12.pdf
Nov. 8, 2010 Credit Suisse regarding Proprietary Trading Restrictions DATE: November 10, 2010 http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-11.pdf
Oct. 22, 2010 Silicon Valley Bank Financial Group http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-10.pdf
Oct. 13, 2010 Labor Union Representatives http://sec.gov/comments/s7-10-09/s71009-725.pdf
Oct. 5, 2010 staff of Senator Jeff Merkley and Senator Carl Levin http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-8.pdf
Sep. 23, 2010 staff of Senator Jeff Merkley and Senator Carl Levin http://sec.gov/comments/df-title-vi/prohibitions/prohibitions-7.pdf
Oct. 22, 2010 Representatives from the Association of Institutional Investors http://sec.gov/comments/df-title-vi/conflicts-of-interest/conflictsofinterest-7.pdf
Oct. 14, 2010 Morgan Stanley http://sec.gov/comments/df-title-ix/asset-backed-securities/assetbackedsecurities-9.pdf
Jun. 15, 2011 representatives from ICI DATE: June 15, 2011 http://sec.gov/comments/s7-16-10/s71610-179.pdf
Mar. 28, 2011 ith representatives of Cleary Gottlieb Steen & Hamilton LLP DATE: March 28, 2011 http://sec.gov/comments/s7-16-10/s71610-160.pdf
Mar. 28, 2011 ith representatives of International Swaps and Derivatives Association, Inc. DATE: March 28, 2011 http://sec.gov/comments/s7-16-10/s71610-158.pdf
Mar. 28, 2011 ith Edward Rosen DATE: March 28, 2011 http://sec.gov/comments/s7-16-10/s71610-157.pdf
Mar. 23, 2011 ith representatives of Markit DATE: March 23, 2011 http://sec.gov/comments/s7-16-10/s71610-154.pdf
Mar. 21, 2011 with representatives of International Swaps and Derivatives Association, Inc. DATE: March 21, 2011 http://sec.gov/comments/s7-16-10/s71610-153.pdf
Feb. 23, 2011 representatives of Property Casualty Insurers Association of America DATE: February 23, 2011 http://sec.gov/comments/s7-16-10/s71610-144.pdf
Feb. 22, 2011 the Capital Steering Committee of the Securities Industry and Financial Markets Association DATE: February 22, 2011 http://sec.gov/comments/s7-16-10/s71610-142.pdf
Feb. 17, 2011 Representatives of the Bank for International Settlements DATE: February 17, 2011 http://sec.gov/comments/s7-16-10/s71610-141.pdf
Feb. 14, 2011 Representatives of Weil, Gotshal & Manges DATE: February 14, 2011 http://sec.gov/comments/s7-39-10/s73910-91.pdf
Nov. 16, 2010 Depository Trust Clearing Corporation DATE: November 16, 2010 http://sec.gov/comments/s7-16-10/s71610-121.pdf
Oct. 27, 2010 h representatives of Chatham Financial DATE: October 27, 2010 http://sec.gov/comments/s7-16-10/s71610-108.pdf
Oct. 4, 2010 Morgan Stanley DATE: October 4, 2010 http://sec.gov/comments/s7-16-10/s71610-97.pdf
Sep. 29, 2010 representatives of the National Association of Insurance Commissioners DATE: September 29, 2010 http://sec.gov/comments/s7-16-10/s71610-94.pdf
Sep. 20, 2010 Goldman Sachs DATE: September 21, 2010 http://sec.gov/comments/s7-16-10/s71610-93.pdf
Sep. 9, 2010 Representatives of the Alternative Investment Management Association (“AIMA”) ________________________________________________________________________ http://sec.gov/comments/s7-16-10/s71610-12.pdf
Sep. 2, 2010 MarkitSERV regarding Proposed Regulation of Security-Based Swap Execution Facilities (SB SEFs) under the Dodd-Frank Act of 2010 DATE: September 2, 2010 http://sec.gov/comments/s7-16-10/s71610-96.pdf
Sep. 1, 2010 Representatives and Members of the Managed Funds Association (“MFA”) ________________________________________________________________________ http://sec.gov/comments/s7-16-10/s71610-10.pdf
Aug. 24, 2010 Trumarx Data Partners regarding Dodd-Frank Act Title VII Rulemaking DATE: August 24, 2010 http://sec.gov/comments/s7-16-10/s71610-9.pdf
Aug. 17, 2010 ference Call with Representatives of the Dealer Industry DATE: August 17, 2010 http://sec.gov/comments/s7-16-10/s71610-8.pdf
Aug. 13, 2010 tle VII of Dodd-Frank Wall Street Reform and Consumer Protection Act http://sec.gov/comments/s7-16-10/s71610-7.pdf
Aug. 3, 2010 the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association DATE: August 3, 2010 http://sec.gov/comments/s7-16-10/s71610-5.pdf
Dec. 7, 2011 representatives of Securities Industry and Financial Markets 1 Association (“SIFMA”) DATE: December 7, 2011 http://sec.gov/comments/df-title-vii/swap/swap-81.pdf
Nov. 30, 2011 Bank Representatives DATE: November 30, 2011 http://sec.gov/comments/s7-06-11/s70611-95.pdf
Nov. 29, 2011 representatives from the Managed Funds Association DATE: November 29, 2011 http://sec.gov/comments/df-title-vii/swap/swap-80.pdf
Sep. 28, 2011 Representatives of Barclays DATE: September 28, 2011 http://sec.gov/comments/df-title-vii/swap/swap-79.pdf
Sep. 26, 2011 a Representative of the Swaps & Derivatives Market Association ______________________________________________________________________________ http://sec.gov/comments/s7-08-11/s70811-48.pdf
Sep. 8, 2011 Representatives of Goldman Sachs DATE: September 8, 2011 http://sec.gov/comments/df-title-vii/swap/swap-77.pdf
Aug. 12, 2011 representatives from Committee on Investment of Employee Benefit Assets DATE: August 12, 2011 http://sec.gov/comments/df-title-vii/swap/swap-68.pdf
Aug. 2, 2011 Representatives of Barclays DATE: August 2, 2011 http://sec.gov/comments/df-title-vii/swap/swap-67.pdf
Jul. 19, 2011 Representatives from J.P. Morgan Chase DATE: July 19, 2011 http://sec.gov/comments/df-title-vii/swap/swap-66.pdf
Jul. 13, 2011 ndards consultation SIFMA DATE: July 13, 2011 http://sec.gov/comments/df-title-vii/swap/swap-62.pdf
Jul. 13, 2011 ndards consultation SIFMA DATE: July 13, 2011 http://sec.gov/comments/df-title-vii/swap/swap-61.pdf
Jun. 21, 2011 ternal Business Conduct Rules DATE: June 21, 2011 http://sec.gov/comments/df-title-vii/swap/swap-59.pdf
Jun. 20, 2011 the Securities Industry and Financial Markets Association (“SIFMA”) DATE: June 20, 2011 http://sec.gov/comments/df-title-vii/swap/swap-58.pdf
Jun. 2, 2011 ndards consultation SIFMA DATE: June 2, 2011 http://sec.gov/comments/df-title-vii/swap/swap-57.pdf
May 27, 2011 dd-Frank Wall Street Reform and Consumer Protection Act http://sec.gov/comments/df-title-vii/swap/swap-56.pdf
May 16, 2011 the Securities Industry and Financial Markets Association DATE: May 16, 2011 http://sec.gov/comments/df-title-vii/swap/swap-54.pdf
May 11, 2011 ith Robert Colby of Davis Polk & Wardwell LLP DATE: May 11, 2011 http://sec.gov/comments/s7-16-10/s71610-167.pdf
May 5, 2011 iness Conduct Rules DATE: May 5, 2011 http://sec.gov/comments/df-title-vii/swap/swap-53.pdf
Apr. 28, 2011 the Securities Industry and Financial Markets Association DATE: April 28, 2011 http://sec.gov/comments/df-title-vii/swap/swap-51.pdf
Apr. 15, 2011 Representatives of the California State Teachers’ Retirement System DATE: April 15, 2011 http://sec.gov/comments/s7-39-10/s73910-106.pdf
Mar. 4, 2011 Representatives of U.S. and International Banks DATE: March 4, 2011 http://sec.gov/comments/df-title-vii/swap/swap-48.pdf
Dec. 8, 2010 representatives from and members of the Managed Funds Association (MFA) DATE: December 8, 2010 http://sec.gov/comments/df-title-vii/swap/swap-41.pdf
Dec. 3, 2010 dd-Frank Wall Street Reform and Consumer Protection Act S7-35-10 Security-Based Swap Data Repository Registration, Duties, and Core Principles S7-34-10 -- Regulation SBSR - Reporting and Dissemination of Security- Based Swap Information http://sec.gov/comments/s7-34-10/s73410-5.pdf
Nov. 30, 2010 Coalition for Derivatives End-Users Date: November 30, 2010 http://sec.gov/comments/df-title-vii/swap/swap-40.pdf
Nov. 30, 2010 the representatives of Stable Value Firms DATE: November 30, 2010 http://sec.gov/comments/df-title-vii/swap/swap-39.pdf
Nov. 15, 2010 the Société Générale to Discuss Regulatory Structure for Security- Based Swaps Business DATE: November 15, 2010 http://sec.gov/comments/df-title-vii/swap/swap-36.pdf
March 2012
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