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Comments on Commission Notice:
Technology and Trading Roundtable
[File No. 4-652]
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(Click here for meetings with SEC officials)
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| Nov. 1, 2012 | Arsalan Shahid, Program Director, Financial Information Forum, New York, New York |
| Oct. 24, 2012 | David Weisberger, Executive Principal, Two Sigma Securities, LLC |
| Oct. 23, 2012 | Scott Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Company |
| Oct. 23, 2012 | Karrie McMillan, General Counsel, Investment Company Institute |
| Oct. 23, 2012 | Brian F. Mannix, GWU Regulatory Studies Center, Washington, District of Columbia |
| Oct. 22, 2012 | James P. Selway III, Managing Director, Head of Liquidity Management, and Sudhanshu Arya, Managing Director, Head of Technology for Liquidity Management, ITG Inc. |
| Oct. 19, 2012 | Courtney Doyle McGuinn, Operations Director, FIX Protocol Ltd., New York, New York |
| Oct. 18, 2012 | Adam Nunes, President, Hudson River Trading LLC, New York, New York |
| Oct. 2, 2012 | Ralph S. Saul |
| Oct. 2, 2012 | Dave Lauer, Market Structure and HFT Consultant, Better Markets, Inc. |
| Oct. 1, 2012 | Lou Steinberg, Managing Director, Chief Technology Officer, TD Ameritrade |
| Oct. 1, 2012 | Elizabeth K. King, Head of Regulatory Affairs, GETCO LLC |
| Oct. 1, 2012 | Richard Gorelick, RGM Advisors, Cameron Smith, Quantlab, and Peter Nabicht, Allston Trading |
| Oct. 1, 2012 | Jamil Nazarali, Head of Citadel Execution Services, Citadel LLC |
| Oct. 1, 2012 | Christopher Nagy, President, KOR Trading LLC |
| Sep. 28, 2012 | David Scales |
| Sep. 28, 2012 | Jaffray Woodriff, CEO, Quantitative Investment Management, Charlottesville, Virginia |
| Sep. 28, 2012 | Peter Chepucavage, Plexus Consulting Group |
| Sep. 28, 2012 | Nasser A. Sharara, Managing Direct, Product Management, Raptor Trading Systems, Columbia, Maryland |
| Sep. 28, 2012 | Erik Johnson, Instituional Equity Sales Trader, B Riley Co., San Francisco, California |
| Sep. 28, 2012 | Sal Arnuk, Themis Trading LLC, Chatham, New Jersey |
| Sep. 28, 2012 | Micah Hauptman, Financial Campaign Coordinator, Public Citizen, Washington, District of Columbia |
| Sep. 28, 2012 | William D. Jackson, Managing Director, Equity Trading, Avondale Partners, LLC, Nashville, Tennessee |
| Sep. 28, 2012 | Andrew DeBellis, Blacklick, Ohio |
| Sep. 28, 2012 | Joseph M. Mecane, NYSE Euronext; Richard G. Ketchum, FINRA; Eric Noll, Nasdaq OMX, Inc.; Christopher A. Isaacson, BATS Global Markets, Inc.; Bryan Harkins, DirectEdge; David Herron, Chicago Stock Exchange; Murray Pozmanter, The Depository Trust & Clearing Corporation; Bank of America Merrill Lynch; Citadel LLC; Citigroup Global Markets Inc.; Deutsche Bank Securities Inc.; GETCO; Goldman, Sachs & Co/Goldman Sachs Execution and Clearing; IMC Chicago LLC; ITG, Inc.; Jane Street; J.P. Morgan Securities LLC; RBC Capital Markets, LLC; RGM Advisors, LLC; Two Sigma Securities; UBS Securities LLC; Virtu Financial; Wells Fargo Securities |
| Sep. 27, 2012 | David A. White, Wilmington, North Carolina |
| Sep. 27, 2012 | Eric Swanson, BATS Global Markets, Inc., Lenexa, Kansas |
| Sep. 27, 2012 | Patricia Reynolds, Atlanta, Georgia |
| Sep. 27, 2012 | Douglas E. Taylor, CFP, Williston, North Dakota |
| Sep. 26, 2012 | Timothy Quast, President, ModernNetworks IR LLC, Denver, Colorado |
| Sep. 25, 2012 | R. T. Leuchtkafer |
| Sep. 24, 2012 | William Michael Cunningham, MBA, MA, Social Investing Advisor, Washington, District of Columbia |
| Sep. 23, 2012 | Patrick J. Healy, CEO Issuer Advisory Group LLC, Chevy Chase, Maryland |
| Sep. 17, 2012 | Jerome Simonoff, CEO Chax, Inc., Los Angeles, California |
| Sep. 11, 2012 | Stuart Venters |
| Sep. 10, 2012 | David M. Aferiat, Managing Partner, Trade Ideas LLC, Atlanta, Georgia |
| Sep. 5, 2012 | James J. Angel, Ph.D., CFA, Georgetown University and the Wharton School, University of Pennsylvania |
| Aug. 31, 2012 | Jason Slavicek |
| Aug. 30, 2012 | Mohammad N. Islam, Managing Director, Unipex Consultancy Ltd., Dhaka, Bangladesh |
| Aug. 14, 2012 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Nov. 13, 2012 | Memorandum from the Office of Commissioner Paredes regarding a November 13, 2012, meeting with representatives of Capstone LLC, et al. |
| Aug. 31, 2012 | Memorandum from the Office of Commissioner Parades regarding an August 30, 2012, meeting with representatives of GETCO |
http://www.sec.gov/comments/4-652/4-652.shtml
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