Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption from the Information Review Requirement of Amended Rule 15c2-11(a)(1)(i) and the Recordkeeping Requirement of Amended Rule 15c2-11(d)(1)(i)(A) under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market
[Release Nos. 34-90769; File No. S7-20-20]
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| Sep. 15, 2022 | Donna Peters-Imbrogo, Chair, Canadian Bond Investors Association |
| Feb. 7, 2022 | Nick Ahlers |
| Jan. 25, 2022 | Austin Craig, Financial Writer |
| Sep. 20, 2021 | Michael D. Tofias, Private Investor |
| Aug. 2, 2021 | Writser Cleveringa |
| Aug. 1, 2021 | Brad Christensen, None |
| Aug. 1, 2021 | Dan Schum |
| Aug. 1, 2021 | Tim L. |
| Jul. 27, 2021 | Jim Rivest |
| Jul. 27, 2021 | Marcus Frampton, CFA, CAIA, FRM, Private Investor, Juneau, Alaska |
| Jul. 15, 2021 | Joe Helmer, CFA, Caldwell Sutter Capital, Sausalito CA |
| Jul. 15, 2021 | Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc. |
| Jul. 15, 2021 | Joseph Helmer |
| Feb. 12, 2021 | Robert E. Buckholz, Chair, Federal Regulation of Securities Committee
ABA Business Law Section |
| Feb. 11, 2021 | Dan Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate
General Counsel, OTC Markets Group Inc. |
| Feb. 10, 2021 | Gregory L. Wright, President and Head of Banking, Zanbato Securities LLC |
| Jan. 12, 2021 | James E. Mitchell, General Partner, Mitchell Portfolio Management |
| Jan. 9, 2021 | Marcus Frampton, CFA, CAIA, FRM, Juneau, Alaskas |
| Jan. 2, 2021 | Peter Quagliano |
| Dec. 22, 2020 | Destiny McCowen |
