Comments on Bats BZX Rulemaking
Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standard
[Release No. 34-79450; File No. SR-BatsBZX-2016-80]
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(Click here for meetings with SEC officials)
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| Jul. 11, 2017 | Dorothy Donohue, Acting General Counsel, Investment Company Institute |
| Mar. 3, 2017 | Kyle Murray, Assistant General Counsel, Bats Global Markets |
| Mar. 3, 2017 | Kyle Murray, Assistant General Counsel, Bats Global Markets |
| Feb. 23, 2017 | Matthew B. Farber, Assistant General Counsel, First Trust Advisors L.P. |
| Feb. 15, 2017 | Kevin McCarthy, Senior Managing Director, Nuveen Fund Advisors, LLC |
| Feb. 15, 2017 | Ryan Louvar, General Counsel, WisdomTree Asset Management, Inc. |
| Feb. 14, 2017 | Peter K. Ewing, Senior Vice President, Northern Trust Investments, Inc. |
| Feb. 14, 2017 | Samara Cohen, Joanne Medero, and Deepa Damre; BlackRock, Inc. |
| Feb. 13, 2017 | James E. Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors |
| Feb. 10, 2017 | Steven Price, SVP, Director of Distribution Services and Chief Compliance Officer, ALPS Distributors, Inc. |
| Feb. 10, 2017 | Anna Paglia, Head of Legal, Invesco PowerShares Capital Management LLC |
| Jan. 12, 2017 | David W. Blass, General Counsel, Investment Company Institute |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Feb. 28, 2017 |
Memorandum from the Division of Trading and Markets regarding a February 24, 2017, meeting with representatives of the Investment Company Institute, Invesco PowerShares Capital Management LLC, and State Street Global Advisors
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| Feb. 16, 2017 |
Memorandum from the Division of Trading and Markets regarding a February 13, 2017, telephonic meeting with representatives of the Investment Company Institute
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