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Comments on Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2)

[Release No. 34-64383; File No. 4-627]


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 15, 2011 Samuel E. Wynegar, York, Pennsylvania
Nov. 15, 2011 Jim Blair, Colorado Springs, Colorado
Oct. 13, 2011 John J. Grimley, Institutional Sales Professional at Boutique Investment Bank, Philadelphia, Pennsylvania
Oct. 1, 2010 Janet McGinness, SVP & Corporate Secretary, Legal & Government Affairs, NYSE Euronext
Sep. 22, 2011 Sally E. Prescott, Plantation, Florida
Sep. 22, 2011 Ho Chul Sung
Sep. 22, 2011 Steven Holloway
Jul. 26, 2011 Hans Brost, Palm Springs, California
Jul. 21, 2011 Venkatesh A., Individual/Retail Investor, Hyderabad, India
Jul. 18, 2011 Dennis Nixon, Chief Executive Officer and Chairman, International Bancshares Corporation
Jul. 18, 2011 Joel H. Gilbert, El Paso, Texas
Jul. 17, 2011 William L. Maltby, Burlington, North Carolina
Jul. 17, 2011 Frank C. McMorrow, San Juan Capisrano, California
Jul. 16, 2011 Chuck Lee, Austin, Texas
Jul. 15, 2011 Robert N. Campbell, Daphne, Alabama
Jul. 15, 2011 Wayne Rogers, Pomona, California
Jul. 15, 2011 Michael Equitz, Medford, Oregon
Jul. 15, 2011 Bobby Kochhar, Fremont, California
Jul. 15, 2011 Michael F Lesser, MD, NA, Melbourne, Florida
Jul. 15, 2011 Jeff Dickey, Davis, California
Jul. 9, 2011 Robert H. Jenkins, CEO, 47 Degree North Ventures, Belleville, Michigan
Jul. 6, 2011 Lawrence A. Yost, Plymouth, Minnesota
Jul. 5, 2011 Kimberly Unger, Esq., Executive Director, The Security Traders Association of New York,Inc., New York, New York
Jul. 4, 2011 William Michael Cunningham, Creative Investment Research, Inc., Washington, District of Columbia
Jun. 28, 2011 Jerry A. Blair, Charlotte, North Carolina
Jun. 25, 2011 Bruce H. McDonald, Littleton, Colorado
Jun. 24, 2011 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Jun. 24, 2011 Judith Scott, General Counsel, Portfolio Recovery Associates, Inc., Norfolk, Virginia
Jun. 24, 2011 E. A. Taylor, Santa Barbara, California
Jun. 23, 2011 Donal Smith, CEO, Data Explorers Inc.
Jun. 23, 2011 Manisha Kimmel, Executive Director, Financial Information Forum
Jun. 23, 2011 Charles M. Jones, Robert W. Lear Professor of Finance and Economics, Columbia Business School; Adam V. Reed, Julian Price Associate Professor of Finance, University of North Carolina; and William Waller, Finance Department Ph.D. Student, University of North Carolina
Jun. 23, 2011 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Jun. 23, 2011 The Alternative Investment Management Association Ltd., United Kingdom
Jun. 23, 2011 Karrie McMillan, General Counsel, Investment Company Institute
Jun. 23, 2011 Jennifer S. Choi, Associate General Counsel, Investment Adviser Association
Jun. 23, 2011 James Chanos, Chairman, Coalition of Private Investment Companies, New York, New York
Jun. 22, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jun. 22, 2011 Henry Jakala, Silverdale, Washington
Jun. 22, 2011 Anonymous
Jun. 21, 2011 Janet L. McGinness, Senior Vice President - Legal & Corporate Secretary, NYSE Euronext
Jun. 21, 2011 Jeffrey D. Morgan, President and CEO, National Investor Relations Institute, Vienna, Virginia
Jun. 20, 2011 Michael Taillefer
Jun. 20, 2011 James Henderson, Georgia
Jun. 20, 2011 Thomas K. Horeis, Chicago, Illinois
Jun. 18, 2011 John Schatz, West Chester, Pennsylvania
Jun. 17, 2011 Thomas A. Gorka
Jun. 17, 2011 Peter E. Meixler, Attleboro, Massachusetts
Jun. 17, 2011 David Hart, Gainesville, Florida
Jun. 16, 2011 Anonymous
Jun. 14, 2011 Joe Nappu, Lansing, Illinois
Jun. 14, 2011 Lawrence F. Glaser
Jun. 14, 2011 Kevin Overholt, Philadelphia
Jun. 12, 2011 Iwao Yagami
Jun. 11, 2011 Arthur Big, Missouri
Jun. 11, 2011 Arthur Big, Missouri
Jun. 10, 2011 Al S., Market Study, Atlanta , Georgia
Jun. 10, 2011 James Cutler
Jun. 10, 2011 L. A. Sumn, Business, Stone Mountain, Georgia
Jun. 8, 2011 Anonymous
Jun. 8, 2011 Sean Unruh, Montclair, New Jersey
Jun. 6, 2011 Calvin J. Liming, Stuarts Draft, Virginia
Jun. 6, 2011 James Ballard, Solana Beach, California
Jun. 3, 2011 Peter J.Chepucavage, International Association of Small Broker-Dealers and Advisers
Jun. 2, 2011 Jonathan E. Johnson, III, President, Overstock.com, Inc., Salt Lake City, Utah
Jun. 1, 2011 Ed Schweitzer
Jun. 1, 2011 Alan Goldenberg
May 31, 2011 Mark W. Cappone, Jr., San Antonio, Texas
May 31, 2011 Simon Dinar
May 31, 2011 Bruce H McDonald, Littleton, Colorado
May 30, 2011 Jordan Gushurst
May 30, 2011 John Crowe, Kansas
May 29, 2011 Don Herr
May 29, 2011 Ken Trzecki, Humble, Texas
May 29, 2011 Robert Ball, Georgetown, Texas
May 28, 2011 Frank D. Massie, Katy, Texas
May 28, 2011 Raymond E. Williams, Bayside Hills, New York
May 28, 2011 Tom E., Holliston, Massachusetts
May 28, 2011 Walter W. Cruttenden, Former Chairman CEO of Two Brokerage Firms, Newport Beach, California
May 28, 2011 Reza Ganjavi
May 28, 2011 Doglas K. Gallagher, Santa Cruz, California
May 28, 2011 Norman L. Sleesman, Napoleon, Ohio
May 28, 2011 Nico Roodt, Senior Policymaker, The Hague, Netherlands
May 28, 2011 Donald L. Eddy, Placerville, California
May 28, 2011 Gary M. Jacob, Sr., Swan Lake, New York
May 27, 2011 Lynn C. Jasper, Snohomish, Washington
May 24, 2011 Kevin Rentzsch
May 24, 2011 Harry T. McNamee, Jr., Jasper, Georgia
May 20, 2011 Bruce Ballaban
May 20, 2011 Victor Y. Wong, Jersey City , New Jersey
May 19, 2011 Lord Michael Phillip
May 19, 2011 Jonathan E. Johnson, III, President, Overstock.com, Inc., Salt Lake City, Utah
May 19, 2011 Gary M. Jacob, Sr., Retail Investor, Swan Lake, New York
May 19, 2011 Michael Finch, Boulder, Colorado
May 18, 2011 John Gensen, Connecticut
May 18, 2011 Casey E. Olney
May 17, 2011 Jane M. Reichhold, Milford, Delaware
May 17, 2011 Mick Voight
May 13, 2011 Scott Wetzel
May 12, 2011 Camilla Hempleman, Minneapolis
May 12, 2011 Jeff Dickey, Davis, California
May 12, 2011 Daniel Morrill , O.D., Precision Eyecare (owner), Placerville, California
May 12, 2011 Robert Tecca, Buffalo, Minnesota
May 10, 2011 Thomas Murphy
May 10, 2011 Thomas Paul Murphy
May 10, 2011 V. Saunders
May 10, 2011 Jay C. Bexell, Kenmore, Washington
May 10, 2011 Roberta Swann, Clearwater, Georgia
May 10, 2011 George McLeod
May 10, 2011 Larry Sage
May 10, 2011 Kevin Dalton, Georgia
May 10, 2011 Daniel Witmer, Philadelphia, New York
May 10, 2011 Robert Grothe, St. Louis, Missouri
May 10, 2011 Gary M. Lieberman, New York, New York
May 10, 2011 Sally P. Edwards, Miami, Florida
May 10, 2011 Mourad Zarouri, San Diego, California
May 9, 2011 John J. Scott, Barre, Massachusetts
May 9, 2011 Arnold M. Mass, Chicago , Illinois
May 9, 2011 Jesus G. Dungca, Moorpark, California
May 9, 2011 Mark C. Dubberley, CPA, Humble, Texas
May 9, 2011 William H. James, Jr., CMC, Mortgage Bankers, Board Chair Residential Bancorp, Canton, Ohio
May 9, 2011 Philip S. Swallow, Madison Heights, Virginia
May 9, 2011 Brian Sutcliffe, Advisor, Wynnewood, Pennsylvania
May 9, 2011 Kelly D. Wilson, Owasso, Oklahoma
May 9, 2011 Joseph A. Scilla, Birmingham, Michigan
May 9, 2011 Forrest Fulford
May 9, 2011 Jon Lukomnik, Executive Director, IRRC Institute, New York, New York
May 8, 2011 Neil Moskowitz, Centerport, New York
May 8, 2011 Troy Slonecker, Eugene, Oregon
May 8, 2011 Lee R. Donais, President, CEO L.R. Donais & Company Inc., Lighthouse Point, Florida
May 8, 2011 Richard Rulewicz
May 8, 2011 Joe Semifero, Adrian, Michigan
May 7, 2011 Thomas E. Gish, Jr., Manchester, Michigan
May 7, 2011 Linda A. King/Gordon, Amcore Bank, Dixon, Illinois
May 7, 2011 Peter E. Meixler, Private Investor, Attleboro, Massachusetts
May 7, 2011 Jeff Fitzmyers
May 7, 2011 Murray N. Singbush, Casa Grande, Arizona
May 7, 2011 Jaspal S. Mahal, San Diego, California
May 7, 2011 Dr. Arnold Orlander, Boynton Beach, Florida
May 6, 2011 Jeff Dane, Bells, Texas
May 6, 2011 Jan Sargent, Maryville, Tennessee
May 6, 2011 Eugene F. Harris, Jr., Washougal, Washington
May 6, 2011 Suzanne H. Shatto, Seattle, Washington
May 6, 2011 Karen Polege, St. Paul, Minnesota
May 6, 2011 David Gonzales, Austin, Texas
May 6, 2011 H. Eugene Vance, none, none, Princeton, Maine
May 6, 2011 John Bird, Manor, Texas
May 6, 2011 Robert Bourget, Massachusetts
May 6, 2011 John A. Nierode, Sussex
May 6, 2011 Naphtali M. Hamlet, Seattle, Washington
May 6, 2011 Blaine L. Parker, Indiana
May 6, 2011 George W. Cobble, Eleanor, West Virginia
May 6, 2011 Laura H. Hearne, Manassas, Virginia
May 6, 2011 John B. Lyons, Oakland, Maryland
May 6, 2011 Scott E. Wilbur, Towson, Maryland
May 6, 2011 Jack R. McGee, Navarre, Florida
May 6, 2011 Tom D., CPA, Gilbertsville, Pennsylvania
May 6, 2011 Alfredo Gamon, Miami, Florida
May 6, 2011 Christine Lambrechts, Ft. Lauderdale, Florida
May 6, 2011 Mark A. Mac, Plainville, Massachusetts
May 6, 2011 Peter A. Miller, CEO, Nice, France
May 6, 2011 Mark W. Hamburg, Rancho Palos Verdes, California
May 6, 2011 Ruairi O Nuallain, Director, Battle For Trademarks Ltd., Dublin, Ireland
May 5, 2011 Daniel A. Friedman, Kirby, Arkansas
May 5, 2011 John Smith, pseudonym
May 5, 2011 John H. Mathisen, MA MBA, Godalming, United Kingdom
May 5, 2011 Sanjeev Mahalawat, Cupertino, California
May 4, 2011 Alan S. Cameron, Narragansett, Rhode Island
May 4, 2011 Howard B. Haftel, Lincroft, New Jersey
May 4, 2011 Eric Engen
May 4, 2011 Romeo K. Aboo, Dania, Florida
May 4, 2011 Shelley Teepe

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Dec. 15, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of the Hong Kong Securities and Futures Commission
Dec. 14, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 11, 2011, meeting with representatives of the American Bankers Association, the U.S. Chamber of Commerce, Georgetown University, Park National Bank, Zions Bancorporation, New York Community Bancorp and Issuer Advisory Group
Dec. 14, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 21, 2011, meeting with representatives of Bank of America, UBS, Deutsche Bank, Convergex, Morgan Keegan, Stern Agee and SIFMA
Dec. 14, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 13, 2011, meeting with representatives of NASDAQ, NYSE, FINRA, NASDAQomx, CBOE, BATS, and NSX
Dec. 14, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 14, 2011, meeting with representatives of JP Morgan Relationship Management
Dec. 14, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 4, 2011, meeting with representatives of Bank of America, Pershing/BNY Mellon, National Financial Services/Fidelity, Goldman Sachs, and Morgan Stanley
Dec. 14, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 18, 2011, meeting with representatives of Bank of America, Goldman Sachs, JP Morgan, Citadel, Knight, Barclays, and SIFMA
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 22, 2011, meeting with representatives of the Australian Securities and Investments Commission (ASIC)
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of BaFin
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a March 22, 2011, meeting with representatives of Data Explorers
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 31, 2011, meeting with representatives of Delaware Value, the Investment Company Institute, Invesco, American Association of Individual Investors, Dodge and Cox, and TD Ameritrade
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 24, 2011, meeting with representatives of Bank of America, Goldman Sachs, Citi, Timber Hill, Wolverine Trading, Susquehanna International Group and SIFMA
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of the Comisión Nacional del Mercado de Valores (CNMV)
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 17, 2011, meeting with representatives of the Autorité des Marchés Financiers (AMF)
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 15, 2011, meeting with representatives of the UK Financial Services Authority (FSA)
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 15, 2011, meeting with representatives of Overstock.com
Oct. 26, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 4, 2011, meeting with representatives of Thomson Reuters, Data Explorers, SunGard, FTEN, Bloomberg, Capital IQ, Short Squeeze and Sandler O’Neill
Oct. 19, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 28, 2011, meeting with representatives of AQR, GETCO, Kynikos Associates, Hussman Strategic Growth, Forward Tactical Growth, and Camden Leveraged Arbitrage
Oct. 19, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 5, 2011, meeting with representatives of the Managed Funds Association, Maverick Capital and Lone Pine Capital

 

http://www.sec.gov/comments/4-627/4-627.shtml


Modified: 10/16/2014