|
|
 |
Comments on NMS Plan
Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
[Release No. 34-77724; File No. 4-698]
4-698 comments for funding model amendment
4-698 comments for limited liability amendment
4-698 comments for CAT Reporter Agreement Amendment
4-698 comments revised linkage timeline amendment
4-698 comments for CAT Cost Savings Amendment
|
|
(Click here for meetings with SEC officials)
|
| May 6, 2024 | Cheryl Paul |
| Aug. 30, 2022 | David A. |
| Aug. 4, 2021 | Anonymous |
| Jul. 6, 2021 | Brian Der Garabedian |
| Jul. 6, 2021 | Adam Poole, Engineer |
| Jul. 6, 2021 | Christopher David Campbell |
| Jul. 6, 2021 | Christopher J. Smith |
| Jul. 6, 2021 | F. Brandt |
| Jul. 6, 2021 | David M Diaz |
| Jul. 6, 2021 | Matthew Elmore |
| Jul. 5, 2021 | Rianna R. Vilaire, Retail Investor |
| Jul. 5, 2021 | Dan Heise, Licensed Insurance Producer |
| Jul. 5, 2021 | Greg Gurta |
| Jul. 5, 2021 | Justin F. |
| Jul. 5, 2021 | Jeremy Harper |
| Jul. 5, 2021 | Alan K. |
| Jul. 5, 2021 | Trenton Vogt |
| Jul. 5, 2021 | Anonymous |
| Jul. 5, 2021 | Rob Doherty |
| Sep. 25, 2018 | Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc. |
| Nov. 30, 2017 | William H. Hebert, Managing Director, Financial Information Forum |
| Nov. 13, 2017 | Michael Simon, Authorized Representative, CAT NMS, LLC |
| Oct. 23, 2017 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| May 8, 2017 | Bats Exchange, Inc., et al. |
| Nov. 14, 2016 | Bats Exchange, Inc., et al. |
| Nov. 2, 2016 | Bats Exchange, Inc., et al. |
| Oct. 14, 2016 | Rep. Scott Garrett, et al., Members of Congress |
| Oct. 7, 2016 | Bats Exchange, Inc., et al. |
| Sep. 23, 2016 | Bats Exchange, Inc., et al. |
| Sep. 2, 2016 | Bats Exchange, Inc., et al. |
| Aug. 12, 2016 | Anonymous |
| Jul. 25, 2016 | John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association |
| Jul. 21, 2016 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Jul. 21, 2016 | Joanne Moffic-Silver, Chicago Board Options Exchange, Chicago, Illinois |
| Jul. 20, 2016 | John McCarthy, General Counsel, KCG Holdings, Inc. |
| Jul. 20, 2016 | Industry Participants of the Development Advisory Group |
| Jul. 18, 2016 | Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc. |
| Jul. 18, 2016 | Bloomberg, L.P. |
| Jul. 18, 2016 | Mark Husler, CEO, UnaVista, and Jonathan Jachym, Head of North America Regulatory Strategy & Government Relations, London Stock Exchange Group, London, United Kingdom |
| July 18, 2016 | Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
| Jul. 18, 2016 | Mary Lou Von Kaenel, Managing Director, Financial Information Forum |
| Jul. 18, 2016 | Anonymous |
| Jul. 18, 2016 | Theodore R. Lazo, Managing Director and Associate General Counsel, and Ellen Greene, Managing Director, Financial Services Operations, SIFMA |
| Jul. 18, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
| Jul. 18, 2016 | Larry E. Thompson, Vice Chairman and General Counsel, DTCC, New York, New York |
| Jul. 18, 2016 | David W. Blass, General Counsel, Investment Company Institute , Washington, District of Columbia |
| Jul. 18, 2016 | Wachtel & Co. Inc. |
| Jul. 18, 2016 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jul. 18, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Jul. 15, 2016 | Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia |
| Jul. 15, 2016 | Kelvin To, Founder and President, Data Boiler Technologies, LLC |
| Jul. 14, 2016 | Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York |
| Jul. 12, 2016 | Kathleen Weiss Hanley, Bolton-Perella Chair in Finance, Lehigh University, and Jay R. Ritter, Joseph B. Cordell Eminent Scholar Chair, University of Florida |
Meetings with SEC Officials
(Click here for submitted comments from the public)
|
| Nov. 10, 2016 | Memorandum from the Division of Trading and Markets regarding a November 10, 2016 meeting with representatives of Better Markets |
| Oct. 26, 2016 | Memorandum from the Division of Trading and Markets regarding an October 5, 2016, meeting with representatives of the Financial Information Forum |
| Oct. 12, 2016 | Memorandum from the Office of the Chair regarding an October 12, 2016, meeting with representatives of Better Markets |
| Oct. 12, 2016 | Memorandum from the Office of the Chair regarding an August 11, 2016, meeting with representatives of the New York Stock Exchange (NYSE) |
| Sep. 26, 2016 | Memorandum from the Office of the Chair regarding a September 26, 2016, meeting with representatives of the D.E. Shaw Group, Millennium Management LLC, Davidson Kempner Capital Management, and the Managed Funds Association |
| Sep. 13, 2016 | Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of Thomson Reuters and clients |
| Sep. 13, 2016 | Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
| Sep. 13, 2016 | Memorandum from the Division of Trading and Markets regarding a September 8, 2016 meeting with representatives of the Better Markets |
| Aug. 19, 2016 | Memorandum from the Division of Trading and Markets regarding an August 16, 2016 meeting with representatives of the Financial Services Roundtable |
| Aug. 19, 2016 | Memorandum from the Division of Trading and Markets regarding an August 15, 2016, meeting with representatives of FINRA |
| Aug. 1, 2016 | Memorandum from the Division of Trading and Markets regarding a July 26, 2016, meeting with representatives of the Financial Industry Regulatory Authority |
http://www.sec.gov/comments/4-698/4-698.shtml
|
