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Comments on Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2)
[Release No. 34-64383; File No. 4-627]
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(Click here for meetings with SEC officials)
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| Nov. 15, 2011 | Samuel E. Wynegar, York, Pennsylvania |
| Nov. 15, 2011 | Jim Blair, Colorado Springs, Colorado |
| Oct. 13, 2011 | John J. Grimley, Institutional Sales Professional at Boutique Investment Bank, Philadelphia, Pennsylvania |
| Oct. 1, 2010 | Janet McGinness, SVP & Corporate Secretary, Legal & Government Affairs, NYSE Euronext |
| Sep. 22, 2011 | Sally E. Prescott, Plantation, Florida |
| Sep. 22, 2011 | Ho Chul Sung |
| Sep. 22, 2011 | Steven Holloway |
| Jul. 26, 2011 | Hans Brost, Palm Springs, California |
| Jul. 21, 2011 | Venkatesh A., Individual/Retail Investor, Hyderabad, India |
| Jul. 18, 2011 | Dennis Nixon, Chief Executive Officer and Chairman, International Bancshares Corporation |
| Jul. 18, 2011 | Joel H. Gilbert, El Paso, Texas |
| Jul. 17, 2011 | William L. Maltby, Burlington, North Carolina |
| Jul. 17, 2011 | Frank C. McMorrow, San Juan Capisrano, California |
| Jul. 16, 2011 | Chuck Lee, Austin, Texas |
| Jul. 15, 2011 | Robert N. Campbell, Daphne, Alabama |
| Jul. 15, 2011 | Wayne Rogers, Pomona, California |
| Jul. 15, 2011 | Michael Equitz, Medford, Oregon |
| Jul. 15, 2011 | Bobby Kochhar, Fremont, California |
| Jul. 15, 2011 | Michael F Lesser, MD, NA, Melbourne, Florida |
| Jul. 15, 2011 | Jeff Dickey, Davis, California |
| Jul. 9, 2011 | Robert H. Jenkins, CEO, 47 Degree North Ventures, Belleville, Michigan |
| Jul. 6, 2011 | Lawrence A. Yost, Plymouth, Minnesota |
| Jul. 5, 2011 | Kimberly Unger, Esq., Executive Director, The Security Traders Association of New York,Inc., New York, New York |
| Jul. 4, 2011 | William Michael Cunningham, Creative Investment Research, Inc., Washington, District of Columbia |
| Jun. 28, 2011 | Jerry A. Blair, Charlotte, North Carolina |
| Jun. 25, 2011 | Bruce H. McDonald, Littleton, Colorado |
| Jun. 24, 2011 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University |
| Jun. 24, 2011 | Judith Scott, General Counsel, Portfolio Recovery Associates, Inc., Norfolk, Virginia |
| Jun. 24, 2011 | E. A. Taylor, Santa Barbara, California |
| Jun. 23, 2011 | Donal Smith, CEO, Data Explorers Inc. |
| Jun. 23, 2011 | Manisha Kimmel, Executive Director, Financial Information Forum |
| Jun. 23, 2011 | Charles M. Jones, Robert W. Lear Professor of Finance and Economics, Columbia Business School; Adam V. Reed, Julian Price Associate Professor of Finance, University of North Carolina; and William Waller, Finance Department Ph.D. Student, University of North Carolina |
| Jun. 23, 2011 | Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA |
| Jun. 23, 2011 | The Alternative Investment Management Association Ltd., United Kingdom |
| Jun. 23, 2011 | Karrie McMillan, General Counsel, Investment Company Institute |
| Jun. 23, 2011 | Jennifer S. Choi, Associate General Counsel, Investment Adviser Association |
| Jun. 23, 2011 | James Chanos, Chairman, Coalition of Private Investment Companies, New York, New York |
| Jun. 22, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jun. 22, 2011 | Henry Jakala, Silverdale, Washington |
| Jun. 22, 2011 | Anonymous |
| Jun. 21, 2011 | Janet L. McGinness, Senior Vice President - Legal & Corporate Secretary, NYSE Euronext |
| Jun. 21, 2011 | Jeffrey D. Morgan, President and CEO, National Investor Relations Institute, Vienna, Virginia |
| Jun. 20, 2011 | Michael Taillefer |
| Jun. 20, 2011 | James Henderson, Georgia |
| Jun. 20, 2011 | Thomas K. Horeis, Chicago, Illinois |
| Jun. 18, 2011 | John Schatz, West Chester, Pennsylvania |
| Jun. 17, 2011 | Thomas A. Gorka |
| Jun. 17, 2011 | Peter E. Meixler, Attleboro, Massachusetts |
| Jun. 17, 2011 | David Hart, Gainesville, Florida |
| Jun. 16, 2011 | Anonymous |
| Jun. 14, 2011 | Joe Nappu, Lansing, Illinois |
| Jun. 14, 2011 | Lawrence F. Glaser |
| Jun. 14, 2011 | Kevin Overholt, Philadelphia |
| Jun. 12, 2011 | Iwao Yagami |
| Jun. 11, 2011 | Arthur Big, Missouri |
| Jun. 11, 2011 | Arthur Big, Missouri |
| Jun. 10, 2011 | Al S., Market Study, Atlanta , Georgia |
| Jun. 10, 2011 | James Cutler |
| Jun. 10, 2011 | L. A. Sumn, Business, Stone Mountain, Georgia |
| Jun. 8, 2011 | Anonymous |
| Jun. 8, 2011 | Sean Unruh, Montclair, New Jersey |
| Jun. 6, 2011 | Calvin J. Liming, Stuarts Draft, Virginia |
| Jun. 6, 2011 | James Ballard, Solana Beach, California |
| Jun. 3, 2011 | Peter J.Chepucavage, International Association of Small Broker-Dealers and Advisers |
| Jun. 2, 2011 | Jonathan E. Johnson, III, President, Overstock.com, Inc., Salt Lake City, Utah |
| Jun. 1, 2011 | Ed Schweitzer |
| Jun. 1, 2011 | Alan Goldenberg |
| May 31, 2011 | Mark W. Cappone, Jr., San Antonio, Texas |
| May 31, 2011 | Simon Dinar |
| May 31, 2011 | Bruce H McDonald, Littleton, Colorado |
| May 30, 2011 | Jordan Gushurst |
| May 30, 2011 | John Crowe, Kansas |
| May 29, 2011 | Don Herr |
| May 29, 2011 | Ken Trzecki, Humble, Texas |
| May 29, 2011 | Robert Ball, Georgetown, Texas |
| May 28, 2011 | Frank D. Massie, Katy, Texas |
| May 28, 2011 | Raymond E. Williams, Bayside Hills, New York |
| May 28, 2011 | Tom E., Holliston, Massachusetts |
| May 28, 2011 | Walter W. Cruttenden, Former Chairman CEO of Two Brokerage Firms, Newport Beach, California |
| May 28, 2011 | Reza Ganjavi |
| May 28, 2011 | Doglas K. Gallagher, Santa Cruz, California |
| May 28, 2011 | Norman L. Sleesman, Napoleon, Ohio |
| May 28, 2011 | Nico Roodt, Senior Policymaker, The Hague, Netherlands |
| May 28, 2011 | Donald L. Eddy, Placerville, California |
| May 28, 2011 | Gary M. Jacob, Sr., Swan Lake, New York |
| May 27, 2011 | Lynn C. Jasper, Snohomish, Washington |
| May 24, 2011 | Kevin Rentzsch |
| May 24, 2011 | Harry T. McNamee, Jr., Jasper, Georgia |
| May 20, 2011 | Bruce Ballaban |
| May 20, 2011 | Victor Y. Wong, Jersey City , New Jersey |
| May 19, 2011 | Lord Michael Phillip |
| May 19, 2011 | Jonathan E. Johnson, III, President, Overstock.com, Inc., Salt Lake City, Utah |
| May 19, 2011 | Gary M. Jacob, Sr., Retail Investor, Swan Lake, New York |
| May 19, 2011 | Michael Finch, Boulder, Colorado |
| May 18, 2011 | John Gensen, Connecticut |
| May 18, 2011 | Casey E. Olney |
| May 17, 2011 | Jane M. Reichhold, Milford, Delaware |
| May 17, 2011 | Mick Voight |
| May 13, 2011 | Scott Wetzel |
| May 12, 2011 | Camilla Hempleman, Minneapolis |
| May 12, 2011 | Jeff Dickey, Davis, California |
| May 12, 2011 | Daniel Morrill , O.D., Precision Eyecare (owner), Placerville, California |
| May 12, 2011 | Robert Tecca, Buffalo, Minnesota |
| May 10, 2011 | Thomas Murphy |
| May 10, 2011 | Thomas Paul Murphy |
| May 10, 2011 | V. Saunders |
| May 10, 2011 | Jay C. Bexell, Kenmore, Washington |
| May 10, 2011 | Roberta Swann, Clearwater, Georgia |
| May 10, 2011 | George McLeod |
| May 10, 2011 | Larry Sage |
| May 10, 2011 | Kevin Dalton, Georgia |
| May 10, 2011 | Daniel Witmer, Philadelphia, New York |
| May 10, 2011 | Robert Grothe, St. Louis, Missouri |
| May 10, 2011 | Gary M. Lieberman, New York, New York |
| May 10, 2011 | Sally P. Edwards, Miami, Florida |
| May 10, 2011 | Mourad Zarouri, San Diego, California |
| May 9, 2011 | John J. Scott, Barre, Massachusetts |
| May 9, 2011 | Arnold M. Mass, Chicago , Illinois |
| May 9, 2011 | Jesus G. Dungca, Moorpark, California |
| May 9, 2011 | Mark C. Dubberley, CPA, Humble, Texas |
| May 9, 2011 | William H. James, Jr., CMC, Mortgage Bankers, Board Chair Residential Bancorp, Canton, Ohio |
| May 9, 2011 | Philip S. Swallow, Madison Heights, Virginia |
| May 9, 2011 | Brian Sutcliffe, Advisor, Wynnewood, Pennsylvania |
| May 9, 2011 | Kelly D. Wilson, Owasso, Oklahoma |
| May 9, 2011 | Joseph A. Scilla, Birmingham, Michigan |
| May 9, 2011 | Forrest Fulford |
| May 9, 2011 | Jon Lukomnik, Executive Director, IRRC Institute, New York, New York |
| May 8, 2011 | Neil Moskowitz, Centerport, New York |
| May 8, 2011 | Troy Slonecker, Eugene, Oregon |
| May 8, 2011 | Lee R. Donais, President, CEO L.R. Donais & Company Inc., Lighthouse Point, Florida |
| May 8, 2011 | Richard Rulewicz |
| May 8, 2011 | Joe Semifero, Adrian, Michigan |
| May 7, 2011 | Thomas E. Gish, Jr., Manchester, Michigan |
| May 7, 2011 | Linda A. King/Gordon, Amcore Bank, Dixon, Illinois |
| May 7, 2011 | Peter E. Meixler, Private Investor, Attleboro, Massachusetts |
| May 7, 2011 | Jeff Fitzmyers |
| May 7, 2011 | Murray N. Singbush, Casa Grande, Arizona |
| May 7, 2011 | Jaspal S. Mahal, San Diego, California |
| May 7, 2011 | Dr. Arnold Orlander, Boynton Beach, Florida |
| May 6, 2011 | Jeff Dane, Bells, Texas |
| May 6, 2011 | Jan Sargent, Maryville, Tennessee |
| May 6, 2011 | Eugene F. Harris, Jr., Washougal, Washington |
| May 6, 2011 | Suzanne H. Shatto, Seattle, Washington |
| May 6, 2011 | Karen Polege, St. Paul, Minnesota |
| May 6, 2011 | David Gonzales, Austin, Texas |
| May 6, 2011 | H. Eugene Vance, none, none, Princeton, Maine |
| May 6, 2011 | John Bird, Manor, Texas |
| May 6, 2011 | Robert Bourget, Massachusetts |
| May 6, 2011 | John A. Nierode, Sussex |
| May 6, 2011 | Naphtali M. Hamlet, Seattle, Washington |
| May 6, 2011 | Blaine L. Parker, Indiana |
| May 6, 2011 | George W. Cobble, Eleanor, West Virginia |
| May 6, 2011 | Laura H. Hearne, Manassas, Virginia |
| May 6, 2011 | John B. Lyons, Oakland, Maryland |
| May 6, 2011 | Scott E. Wilbur, Towson, Maryland |
| May 6, 2011 | Jack R. McGee, Navarre, Florida |
| May 6, 2011 | Tom D., CPA, Gilbertsville, Pennsylvania |
| May 6, 2011 | Alfredo Gamon, Miami, Florida |
| May 6, 2011 | Christine Lambrechts, Ft. Lauderdale, Florida |
| May 6, 2011 | Mark A. Mac, Plainville, Massachusetts |
| May 6, 2011 | Peter A. Miller, CEO, Nice, France |
| May 6, 2011 | Mark W. Hamburg, Rancho Palos Verdes, California |
| May 6, 2011 | Ruairi O Nuallain, Director, Battle For Trademarks Ltd., Dublin, Ireland |
| May 5, 2011 | Daniel A. Friedman, Kirby, Arkansas |
| May 5, 2011 | John Smith, pseudonym |
| May 5, 2011 | John H. Mathisen, MA MBA, Godalming, United Kingdom |
| May 5, 2011 | Sanjeev Mahalawat, Cupertino, California |
| May 4, 2011 | Alan S. Cameron, Narragansett, Rhode Island |
| May 4, 2011 | Howard B. Haftel, Lincroft, New Jersey |
| May 4, 2011 | Eric Engen |
| May 4, 2011 | Romeo K. Aboo, Dania, Florida |
| May 4, 2011 | Shelley Teepe |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 15, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of the Hong Kong Securities and Futures Commission |
| Dec. 14, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 11, 2011, meeting with representatives of the American Bankers Association, the U.S. Chamber of Commerce, Georgetown University, Park National Bank, Zions Bancorporation, New York Community Bancorp and Issuer Advisory Group |
| Dec. 14, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 21, 2011, meeting with representatives of Bank of America, UBS, Deutsche Bank, Convergex, Morgan Keegan, Stern Agee and SIFMA |
| Dec. 14, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 13, 2011, meeting with representatives of NASDAQ, NYSE, FINRA, NASDAQomx, CBOE, BATS, and NSX |
| Dec. 14, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 14, 2011, meeting with representatives of JP Morgan Relationship Management |
| Dec. 14, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 4, 2011, meeting with representatives of Bank of America, Pershing/BNY Mellon, National Financial Services/Fidelity, Goldman Sachs, and Morgan Stanley |
| Dec. 14, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 18, 2011, meeting with representatives of Bank of America, Goldman Sachs, JP Morgan, Citadel, Knight, Barclays, and SIFMA |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 22, 2011, meeting with representatives of the Australian Securities and Investments Commission (ASIC) |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of BaFin |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a March 22, 2011, meeting with representatives of Data Explorers |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 31, 2011, meeting with representatives of Delaware Value, the Investment Company Institute, Invesco, American Association of Individual Investors, Dodge and Cox, and TD Ameritrade |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 24, 2011, meeting with representatives of Bank of America, Goldman Sachs, Citi, Timber Hill, Wolverine Trading, Susquehanna International Group and SIFMA |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of the Comisión Nacional del Mercado de Valores (CNMV) |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 17, 2011, meeting with representatives of the Autorité des Marchés Financiers (AMF) |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 15, 2011, meeting with representatives of the UK Financial Services Authority (FSA) |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 15, 2011, meeting with representatives of Overstock.com |
| Oct. 26, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 4, 2011, meeting with representatives of Thomson Reuters, Data Explorers, SunGard, FTEN, Bloomberg, Capital IQ, Short Squeeze and Sandler O’Neill |
| Oct. 19, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 28, 2011, meeting with representatives of AQR, GETCO, Kynikos Associates, Hussman Strategic Growth, Forward Tactical Growth, and Camden Leveraged Arbitrage |
| Oct. 19, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 5, 2011, meeting with representatives of the Managed Funds Association, Maverick Capital and Lone Pine Capital |
http://www.sec.gov/comments/4-627/4-627.shtml
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