Comments on Proposed Rule: Exemption for Certain Exchange Members

[Release No. 34-95388; File No. S7-05-15]

Submitted Comments (Click here for meetings with SEC officials)
Jan. 16, 2023 Kens Bane, Retail Investor
Jan. 2, 2023 Sean Hunt
Nov. 4, 2022 U.S. Senator Thom Tillis
Oct. 31, 2022 Cullin Coyle
Oct. 6, 2022 Erik Wittman, Deputy Head of Enforcement, Nasdaq, Inc.
Oct. 5, 2022 Jim Toes, President, and Kate McAllister, Chair of Board, STA
Sep. 30, 2022 Tom Merritt, Deputy General Counsel, Virtu Financial, Inc.
Sep. 27, 2022 Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc.
Sep. 27, 2022 Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative
Sep. 27, 2022 Joanna Mallers, FIA Principal Traders Group
Sep. 27, 2022 Stephen W. Hall, Legal Director and Securities Specialist, and Scott Farnin, Legal Counsel, Better Markets, Inc.
Sep. 27, 2022 Angelo Evangelou, Chief Policy Officer, and Greg Hoogasian, Chief Regulatory Officer, Cboe Global Markets, Inc.
Sep. 27, 2022 Eric Chern, Co-Founder, Chicago Trading Company
Sep. 27, 2022 Akuna Securities LLC, Belvedere Trading, Chicago Trading Company, Volant Trading
Sep. 26, 2022 Chasse R. Thomas
Sep. 26, 2022 Tom Simpson, CEO, PEAK6 Capital Management LLC
Sep. 26, 2022 John Kinahan, CEO, Group One Trading, LP
Sep. 3, 2022 W. Hardy Callcott
Aug. 24, 2022 Steve Givot
Aug. 19, 2022 Anonymous
Aug. 17, 2022 Stephen Medaris Bull
Aug. 16, 2022 Kenneth Hill, Scientist
Aug. 12, 2022 Cody Honeycutt
Aug. 12, 2022 Jeffry Ford, Senior Investor
Aug. 12, 2022 J. Ki, Physician
Aug. 12, 2022 Dylan Crosby
Aug. 12, 2022 Anthony R.
Aug. 12, 2022 Alexander Warren
Aug. 12, 2022 Joe Edwards
Aug. 12, 2022 Sean Lin, Individual Investor
Aug. 12, 2022 Carl Hoopingarner II, Director of Studies, Pathfinders
Aug. 12, 2022 Michael Charles Brady, Public School Teacher
Aug. 12, 2022 Joseph Crowe
Aug. 12, 2022 Valentin Elsaesser, Field Forester, Pine County, MN
Aug. 5, 2022 Jason Drips
Aug. 4, 2022 Alexander MacCartney
Aug. 1, 2022 Henry M. Phillip
Aug. 1, 2022 Anonymous

Meetings with SEC Officials (Click here for submitted comments from the public)
Aug. 15, 2023 Memorandum from the Office Of the Chair regarding a June 15, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group
Jul. 18, 2023 Memorandum from the Division of Trading and Markets regarding a June 20, 2023 conference call with representatives of the Financial Industry Regulatory Authority, Inc.
Jul. 14, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Jun. 16, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Jun. 16, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 9, 2023 meeting with representatives of CBOE
Jun. 9, 2023 Memorandum from the Division of Trading and Markets regarding an April 25, 2023, conference call with representatives of the Financial Industry Regulatory Authority, Inc.
Jun. 9, 2023 Memorandum from the Division of Trading and Markets regarding an April 12, 2023, conference call with representatives of the Financial Industry Regulatory Authority, Inc.
May 16, 2023 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 16, 2023, meeting with representatives of Cboe Global Markets
Sep. 19, 2022 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 19, 2022 Videoconference with Representatives of BlackRock
Sep. 13, 2022Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 13, 2022 meeting with representatives of CBOE

 

Comments on Proposed Rule: Exemption for Certain Exchange Members

[Release No. 34-74581; File No. S7-05-15]

Submitted Comments (Click here for meetings with SEC officials)
Nov. 15, 2016 Reps. Bill Foster and Randy Hultgren, Members of Congress
Sep. 23, 2016 Joanne Moffic-Silver, Executive Vice President, General Counsel and Corporate Secretary, Chicago Board Options Exchange; Elizabeth K. King, Secretary and General Counsel, New York Stock Exchange; and Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX Group, Inc.
Jul. 13, 2016 Eric Chern, Chief Executive Officer, CTC Trading Group, L.L.C., et al.
Sep. 15, 2015 Elliot Grossman, Managing Director, Dinosaur Securities, LLC
Jun. 10, 2015 Angelo Evangelou, Associate General Counsel, CBOE, Chicago, Illinois
Jun. 4, 2015 Mark E. Gannon, Chief Compliance Officer, Lakeshore Securities, LP
Jun. 4, 2015 Elizabeth K. King, Secretary and General Counsel, New York Stock Exchange, and Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX Group, Inc.
Jun. 2, 2015 Marcia E. Asquith, Senior Vice President and Corporate Secretary, FINRA
Jun. 1, 2015 Gregory F. Hold, CEO, Hold Brothers Capital LLC, New York, New York
Jun. 1, 2015 Adam Nunes, Head of Business Development, Hudson River Trading LLC, New York, New York
Jun. 1, 2015 Jay Coppoletta, Chief Legal Officer, PEAK6 Capital Management LLC
Jun. 1, 2015 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Jun. 1, 2015 James Ongena, Senior Vice President and General Counsel, Chicago Stock Exchange, Chicago, Illinois
Jun. 1, 2015 Mary Ann Burns, Chief Operating Officer, FIA Principal Traders Group, Washington, District of Columbia
Jun. 1, 2015 Frank A. Bednarz, Global Co-Head of Trading, CTC Trading Group, L.L.C., Chicago, Illinois
May 29, 2015 Mark Schepps, General Counsel and Senior Director of Compliance, PTR, Inc.
May 29, 2015 Mark Schepps, General Counsel and Senior Director of Compliance, D & D Securities, Inc.
May 22, 2015 Claudia Crowley, IEX Services LLC, New York, New York
May 20, 2015 Chris Barnard, Germany
May 6, 2015 Mary Ann Burns, COO, FIA, Washington, District of Columbia
Apr. 24, 2015 Keith Miller
Apr. 16, 2015 Keith Miller
Apr. 16, 2015 Michelle Pav
Mar. 28, 2015 Ryan W. Porter, Founder, High Amplitude Capital Trading (HatCap), Seattle, Washington

Meetings with SEC Officials (Click here for submitted comments from the public)

Jul. 18, 2023 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 18, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group
Jun. 16, 2023 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Jun. 15, 2023 Memorandum from the Office of the Chair regarding a June 15, 2023 meeting with representatives of FINRA
May 20, 2016 Memorandum from the Division of Trading and Markets regarding a May 18, 2016, meeting with representatives of NYSE/ICE, CBOE, Delta Strategy Group, Chicago Trading Company (CTC), NASDAQ, and Optiver
May 18, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a May 17, 2016, meeting with representatives of Chicago Trading Company
Mar. 16, 2016 Memorandum from the Office of the Chair regarding a March 8, 2016, meeting with representatives of Optiver
Mar. 8, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a March 8, 2016, meeting with representatives of Delta Stategy Group
Feb. 10, 2016 Memorandum from the Division of Trading and Markets regarding a February 3, 2016, meeting with representatives of Virtu Financial, LLC
Aug. 17, 2015 Memorandum from the Division of Trading and Markets regarding an August 4, 2015, conference call with representatives of Susquehanna International Group, LLP
Aug. 7, 2015 Memorandum from the Office of the Chair regarding an August 6, 2015, meeting with representatives of CTC Trading Group and Optiver
Jul. 27, 2015 Memorandum from the Division of Trading and Markets regarding a July 27, 2015, meeting with representatives of Delta Strategy Group, CTC Trading Group, Optiver, Peak6 Investments, and Belvedere Trading
Jul. 27, 2015 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 27, 2015, meeting with representatives of Optiver Trading, Peak6 Trading, and Delta Strategy Group
Jul. 27, 2015 Memorandum from the Office of Commissioner Kara Stein regarding a July 27, 2015, meeting with representatives of Optiver Trading, Peak6 Trading, and Delta Strategy Group
May 28, 2015 Memorandum from the Division of Trading and Markets regarding a May 28, 2015, conference call with representatives of Delta Strategy Group
Apr. 8, 2015 Memorandum from the Division of Trading and Markets regarding an April 7, 2015, conference call with representatives of Susquehanna International Group, LLP

Rel No.: 34-95388

How to Submit Comments