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Comments on NSCC Rulemaking
Notice of Filing of Advance Notice to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
(Release No. 34-68621; File No. SR-NSCC-2012-810)
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| Apr. 4, 2013 | Julian Rainero, Bracewell & Giuliani LLP, on behalf of ConvergEx Execution Solutions LLC |
| Mar. 21, 2013 | Murray C. Pozmanter, Managing Director, National Securities Clearing Corporation |
| Mar. 18, 2013 | Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York |
| Feb. 25, 2013 | Murray C. Pozmanter, Managing Director, National Securities Clearing Corporation |
| Jan. 25, 2013 | Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York |
Meetings with SEC Officials
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| Mar. 22, 2013 | Memorandum from the Division of Trading and Markets regarding a March 20, 2013, meeting with representatives of Lek Securities Corporation |
http://www.sec.gov/comments/sr-nscc-2012-810/nscc2012810.shtml
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