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Comments on NYSE Rulemaking
Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities
[Release No. 34-65672; File No. SR-NYSE-2011-55]
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(Click here for meetings with SEC officials)
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| Apr. 26, 2012 | James Toes, President & CEO, and Jennifer Green Setzenfand, Chairman, Security Traders Association, New York, New York |
| Apr. 10, 2012 | Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, Legal & Government Affairs, NYSE Euronext |
| Mar. 23, 2012 | Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA |
| Mar. 21, 2012 | Kurt Schacht, CFA, Managing Director; James Allen, CFA, Head, Capital Markets Policy; Rhodri Preece, CFA, Director, Capital Markets Policy; CFA Institute |
| Mar. 20, 2012 | Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext |
| Mar. 7, 2012 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Jan. 3, 2012 | Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext |
| Dec. 29, 2011 | Al Patten |
| Dec. 7, 2011 | Ann L. Vlcek, Managing Director and
Associate General Counsel, Securities Industry and Financial Markets Association |
| Dec. 6, 2011 | Eric Swanson, Secretary, BATS Global Markets, Inc., Lenexa, Kansas |
| Dec. 1, 2011 | Thomas Dercks, Manhattan, New York |
| Dec. 1, 2011 | Dr. Larry J. Paden, Ph.D., J.D., Bright Trading, Pryor, Oklahoma |
| Nov. 30, 2011 | Mike Stewart, Head of Global Equities, UBS, New York, New York |
| Nov. 30, 2011 | Bosier Parsons, Bright Trading LLC, Colorado Springs, Colorado |
| Nov. 30, 2011 | Suhas Daftuar, Hudson River Trading LLC, New York, New York |
| Nov. 30, 2011 | Laura Kenney |
| Nov. 30, 2011 | Christopher Nagy, Managing Director, Order Routing and Market Data Strategy, TD Ameritrade |
| Nov. 30, 2011 | Bodil Jelsness, Oslo, Norway |
| Nov. 30, 2011 | Robert A. Bright, Chief Executive Officer, and Dennis Dick, CFA, Market Structure Consultant, Bright Trading LLC, Las Vegas, Nevada |
| Nov. 30, 2011 | David Green, Bright Trading, Santa Cruz, California |
| Nov. 30, 2011 | Kurt Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute |
| Nov. 29, 2011 | Wayne Koch, Trader, Bright Trading, Rockford, Illinois |
| Nov. 29, 2011 | Aaron Shafter, President, Great Mountain Capital Management LLC, Lincolnwood, Illinois |
| Nov. 29, 2011 | Jordan Wollin, Las Vegas, Nevada |
| Nov. 28, 2011 | James J. Angel, Associate Professor of Finance, McDonough School of Business, Georgetown University |
| Nov. 28, 2011 | Ullrich Fischer, CTO, PairCo, Surrey, Canada |
| Nov. 28, 2011 | J. Fournier |
| Nov. 28, 2011 | Kevin Basic |
| Nov. 28, 2011 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Nov. 28, 2011 | A. Joseph, Spring Lake, Michigan |
| Nov. 28, 2011 | William Wuepper |
| Nov. 28, 2011 | Ken Voorhies |
| Nov. 27, 2011 | James F. Johannes, Washington |
| Nov. 4, 2011 | Garrett N. Cook |
| Oct. 17, 2011 | Sal L. Arnuk, Joe Saluzzi, and Paul Zajac, Themis Trading LLC, Chatham, New Jersey |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jul. 31, 2012 | Memorandum from the Division of Trading and Markets regarding a July 24, 2012, meeting with representatives of CFA Institute |
| Mar. 13, 2012 | Memorandum from the Office of Commissioner Walter regarding a March 12, 2012, meeting with representatives of NYSE Euronext |
| Jan. 25, 2012 | Memorandum from the Division of Trading and Markets regarding a January 24, 2012, telephonic meeting with representatives of SIFMA and SIFMA members |
| Nov. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of Knight Capital Group, Inc. |
| Nov. 19, 2011 | Memorandum from the Office of the Chairman regarding a November 17, 2011, meeting with representatives of NYSE Euronext |
| Nov. 16, 2011 | Memorandum from the Office of Commissioner Walter regarding a November 2, 2011, meeting with representatives of NYSE Euronext |
http://www.sec.gov/comments/sr-nyse-2011-55/nyse201155.shtml
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