Comments on NSCC Rulemaking

Notice of Filing of Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV

Submitted Comments (Click here for meetings with SEC officials)
Nov. 20, 2020	Wilson-Davis & Co., Inc.
Sep. 3, 2020	Timothy J. Cuddihy, Managing Director, DTCC Financial Risk Management
Jul. 29, 2020	James C. Snow, Chief Compliance Officer, Wilson-Davis & Co., Inc.
Jul. 21, 2020	Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc.
Jun. 30, 2020	Kim Unger, CEO & Executive Director, The Security Traders Association of New York, Inc.
Jun. 26, 2020	Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc.
May 1, 2020	James C. Snow, President/CCO, Wilson-Davis & Co., Inc.
Apr. 30, 2020	Charles Lek, Lek Securities Corporation
Apr. 23, 2020	John Busacca, Founder, The Securities Industry Professional Association
Apr. 21, 2020	Alpine Securities Corporation
Meetings with SEC Officials (Click here for submitted comments from the public)
Nov. 12, 2020	Memorandum from the Division of Trading and Markets regarding a November 12, 2020, conference call with representatives of OTC Markets Group Inc.