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Comments on NASDAQ Rulemaking
Notice of Filing of Proposed Rule Change to Adopt a Modified Sponsored Access Rule
(Release No. 34-59275; File No. SR-NASDAQ-2008-104)
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| Nov. 23, 2009 | Ann Vlcek, Managing Director and
Associate General Counsel, Securities Industry and Financial Markets Association |
| Nov. 19, 2009 | Memorandum from the Division of Trading and Markets regarding a November 19, 2009 conference call with representatives of SIFMA and SIFMA Member Firms |
| Nov. 19, 2009 | Memorandum from the Division of Trading and Markets regarding a November 18, 2009 meeting with representatives of BNY ConvergEx |
| Jun. 30, 2009 | John N. Jacobs, Chief Operations Officer, Lime Brokerage LLC, New York, New York |
| Jun. 15, 2009 | Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York |
| May 11, 2009 | Memorandum from the Division of Trading and Markets regarding an April 30, 2009 meeting with representatives of SIFMA and SIFMA Member Firms |
| Apr. 29, 2009 | Gary LaFever, Chief Corporate Development Officer, FTEN, Inc. |
| Apr. 20, 2009 | Memorandum from the Division of Trading and Markets regarding an April 16, 2009 meeting with representatives of FTEN |
| Mar. 19, 2009 | Memorandum from the Division of Trading and Markets regarding a March 10, 2009 conference call with representatives of the Investment Company Institute |
| Feb. 27, 2009 | Nicole Harner Williams, Vice President, Associate General Counsel, Penson Financial Services, Inc. |
| Feb. 26, 2009 | Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Feb. 24, 2009 | Stuart J. Kaswell, Executive Vice President & General Counsel, Managed Funds Association |
| Feb. 23, 2009 | Jeff Bell, Executive Vice President, Clearing and Technology Group, Wedbush Morgan Securities, Los Angeles, California |
| Feb. 23, 2009 | Michael A. Barth, Executive Vice President, OES MarketGroup, Newark, New Jersey |
| Feb. 19, 2009 | Ted Myerson, President, FTEN, Inc. |
| Feb. 19, 2009 | Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York |
| Feb. 17, 2009 | John N. Jacobs, Director of Operations, Lime Brokerage LLC, New York, New York |
| Feb. 5, 2009 | Harvey Cloyd, Chief Executive Officer, Electronic Transaction Clearing, Inc. |
http://www.sec.gov/comments/sr-nasdaq-2008-104/nasdaq2008104.shtml
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