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Comments on NMS Plans

National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.

(File No. 4-631)


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 21, 2014 Martha Redding, Chief Counsel, New York Stock Exchange LLC, et al.
Jul. 17, 2013 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Jul. 17, 2013 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Jul. 10, 2013 Kimberly Unger, Esq., Chief Executive Officer and Executive Director, Security Traders Association of New York, Inc.
Jul. 10, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Mar. 22, 2013 Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Feb. 21, 2013 William Derbyshire
Feb. 19, 2013 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Jan. 17, 2013 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Dec. 13, 2012 Manisha Kimmel, Executive Director, Financial Information Forum
Nov. 30, 2012 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Oct. 4, 2012 Thomas Price, Managing Director, SIFMA
May 24, 2012 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Feb. 27, 2012 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Nov. 18, 2011 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Nov. 2, 2011 Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext
Jul. 22, 2011 Sal L. Arnuk, Joe Saluzzi and Paul Zajac, Themis Trading LLC, Chatham, New Jersey
Jul. 19, 2011 Peter Skopp, President, Molinete Trading Inc, Miami Beach, Florida
Jul. 5, 2011 Andrew Small, Executive Director and General Counsel, Scottrade, Inc.
Jun. 24, 2011 John A. McCarthy, General Counsel, GETCO, Chicago, Illinois
Jun. 24, 2011 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Jun. 23, 2011 Kimberly Unger, Esq., Executive Director, STANY (The Security Traders Association of New York, Inc.), New York, New York
Jun. 23, 2011 Jose Marques, Managing Director, Global Head of Equity Trading, Deutsche Bank Securities, Inc.
Jun. 23, 2011 Jamie Selway, Managing Director, and Patrick Chi, Chief Compliance Officer, ITG Inc.
Jun. 22, 2011 Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA
Jun. 22, 2011 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Jun. 22, 2011 Joseph N. Cangemi, Chairman, and Jim Toes, President and CEO, Security Traders Association, New York, New York
Jun. 22, 2011 Craig S. Donohue, Chief Executive Officer, CME Group, Inc.
Jun. 22, 2011 Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Jun. 22, 2011 Karrie McMillan, General Counsel, Investment Company Institute
Jun. 22, 2011 George U. Sauter, Managing Director and Chief Investment Officer, The Vanguard Group, Inc., The Vanguard Group, Inc.
Jun. 21, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jun. 17, 2011 Peter J. Driscoll, Investment Professional, Chicago, Illinois
Jun. 2, 2011 Steve Wunsch, Wunsch Auction Associates, LLC, New York, New York

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Dec. 1, 2011 Memorandum from the Division of Trading and Markets regarding a December 1, 2011, meeting with representatives of the Security Traders Association
Sep. 14, 2011 Memorandum from the Division of Trading and Markets regarding a September 7, 2011, meeting with representatives of the Security Traders Association
Sep. 8, 2011 Memorandum from the Office of Commissioner Paredes regarding a September 7, 2011, meeting with representatives of the Security Traders Association

 

http://www.sec.gov/comments/4-631/4-631.shtml

Modified: 03/03/2014