Comments on Proposed Rule: Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
[Release No. 34-86901; File No. S7-13-19]
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(Click here for meetings with SEC officials)
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| Oct. 28, 2019 | Christopher Iacovella, Chief Executive Officer, American Securities Association |
| Oct. 28, 2019 | Christopher Bok, Director, Financial Information Forum (FIF) |
| Oct. 28, 2019 | Theodore R. Lazo, Managing Director and Associate General Counsel, and Ellen Greene, Managing Director, Financial Services Operations; SIFMA |
| Oct. 28, 2019 | Michael Simon, Chair, CAT NMS Plan Operating Committee |
| Oct. 28, 2019 | Thomas Tesauro, President, Fidelity Capital Markets |
| Oct. 28, 2019 | Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc. |
| May 1, 2018 | Brett Redfearn, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 28, 2019 | Memorandum from the Office of the Chairman regarding an October 28, 2019, meeting with representatives of the Managed Funds Association |
| Oct. 3, 2019 | Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 3, 2019, meeting with representatives of Nasdaq |
