Comments on FICC Rulemaking
Notice of Filing of Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
[Release No. 34-80234; File No. SR-FICC-2017-002]
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| Nov. 1, 2017 | Theodore Bragg, Vice President, Strategic Planning, Nasdaq |
| Oct. 12, 2017 | Robert E. Pooler, Chief Financial Officer, Ronin Capital, LLC |
| Oct. 10, 2017 | Alan Levy, Managing Director, Industrial and Commercial Bank of China Financial Services, LLC |
| Oct. 6, 2017 | Timothy J. Cuddihy, Managing Director, Financial Risk Management, Fixed Income Clearing Corporation |
| Oct. 6, 2017 | Robert E. Pooler, Chief Financial Officer, Ronin Capital, LLC |
| Jun. 27, 2017 | Alan Levy, Managing Director, Industrial and Commercial Bank of China Financial Services LLC, et al. |
| Jun. 19, 2017 | Robert E. Pooler, Chief Financial Officer, Ronin Capital, LLC |
| May 24, 2017 | Alan B. Levy, Managing Director, Industrial and Commercial Bank of China Financial Services LLC, et al. |
| Apr. 25, 2017 | Timothy J. Cuddihy, Managing Director, Financial Risk Management, Fixed Income Clearing Corporation |
| Apr. 10, 2017 | Robert E. Pooler, Jr., CFO, Ronin Capital, LLC |
Meetings with SEC Officials
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| Jun. 19, 2017 |
Memorandum from the Division of Trading and Markets regarding a June 15, 2017, meeting with representatives of the Industrial and Commercial Bank of China Financial Services LLC, Ronin Capital LLC, Rosenthal Collins Group LLC, and Cadwalader, Wickersham & Taft LLP
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| Jun. 2, 2017 |
Memorandum from the Division of Trading and Markets regarding a June 2, 2017, meeting with representatives of South Street Securities, LLC
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