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Comments on National Market System Plan to Implement a Tick Size Pilot Program On a One-Year Pilot Basis

See also: Comments on SEC Regulatory Initiatives Under the JOBS Act; Title I — Tick Size Study

[Release No. 34-73551; File No. 4-657]


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 24, 2015 Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York
Jan. 23, 2015 Senators Mark R. Warner and Pat Toomey, U.S. Senate
Jan. 20, 2015 Brendon Weiss, Co-Head, Government Affairs, Intercontinental Exchange, NYSE
Jan. 16, 2015 Thomas Wittman, Executive Vice President, The NASDAQ OMX Group, Philadelphia, Pennsylvania
Jan. 5, 2015 John Nagel, Esq., Managing Director and Sr. Deputy General Counsel, Citadel LLC, Chicago, Illinois
Jan. 5, 2015 James P. Selway, III, Managing Director, Head of Electronic Brokerage, ITG Inc.
Dec. 31, 2014 Michael Jacejko, Chief Executive Manager, Birch Bay Capital, LLC, Blaine, Washington
Dec. 30, 2014 Andrew B. Stevens, General Counsel, IMC Chicago, LLC d/b/a IMC Financial Markets, Chicago, Illinois
Dec. 22, 2014 James G. Ongena, Senior Vice President and General Counsel, Chicago Stock Exchange
Dec. 22, 2014 Christopher Nagy and Dave Lauer, KOR Group LLC
Dec. 22, 2014 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Dec. 22, 2014 Paul J. Jiganti, Managing Director, Market Structure and Client Advocacy, TD Ameritrade and John S. Markle, Deputy General Counsel – Retail and Clearing Operations, TD Ameritrade
Dec. 22, 2014 Mao Ye, Assistant Professor of Finance, University of Illinois, Urbana-Champaign
Dec. 22, 2014 Raymond M. Tierney III, President and Chief Executive Officer, Bloomberg Tradebook LLC and Gary Stone, Chief Strategy Officer, Bloomberg Tradebook LLC
Dec. 22, 2014 Dennis Dick, CFA, Head, Equity Market Structure, Bright Trading LLC
Dec. 22, 2014 Scott C. Goebel, Senior Vice President, General Counsel, Fidelity Management & Research Co., Fidelity Investments
Dec. 22, 2014 Kimberly Unger, CEO and Executive Director, Security Traders Association of New York, Inc.
Dec. 22, 2014 Jeff Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc.
Dec. 22, 2014 Ari Burstein, Senior Counsel, Investment Company lnstitute
Dec. 22, 2014 Tom Quaadman, Vice President, U.S. Chamber of Commerce
Dec. 22, 2014 Manisha Kimmel, Managing Director, Financial Information Forum
Dec. 22, 2014 Adam Sussman, Head of Market Structure, Liquidnet, Inc.
Dec. 22, 2014 Richie Prager, Managing Director, Head of Trading & Liquidity Strategies, BlackRock, Inc.; Hubert De Jesus, Managing Director, Co-Head of Market Structure & Electronic Trading, BlackRock, Inc.; Supurna Vedbrat, Managing Director, Co-Head of Market Structure & Electronic Trading, BlackRock, Inc.; and Joanne Medero, Managing Director, Government Relations & Public Policy, BlackRock, Inc.
Dec. 22, 2014 Daniel Keegan, Managing Director, Head of Equities for the Americas, Citigroup Global Markets Inc.
Dec. 22, 2014 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Dec. 22, 2014 Kurt N. Schacht, CFA, Managing Director, Standards and Financial Market Integrity, CFA Institute and James C. Allen, CFA, Head, Capital Markets Policy - Americas, CFA Institute
Dec. 22, 2014 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Dec. 22, 2014 Daniel G. Weaver, PhD, Professor of Finance, Director, Master of Financial Analysis Program, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers, The State University of New Jersey
Dec. 22, 2014 Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Dec. 22, 2014 Eric Swanson, General Counsel & Secretary, BATS Global Markets, Inc.
Dec. 22, 2014 Bobby Franklin, President & CEO, National Venture Capital Association
Dec. 22, 2014 Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Dec. 22, 2014 E. Cartier Esham, Executive Vice President, Emerging Companies, Biotechnology Industry Organization (BIO)
Dec. 19, 2014 Douglas A. Cifu, Chief Executive Officer, Virtu Financial
Dec. 19, 2014 John McCarthy, General Counsel, KCG Holdings, Inc.
Dec. 19, 2014 John Daley, Chairman of the Board, Security Traders Association and Jim Toes, President &: CEO Security Traders Association, New York, New York
Dec. 19, 2014 R. Glenn Hubbard, Co-Chair; John L. Thornton, Co-Chair; and Hal S. Scott, Director; Committee on Capital Markets Regulation
Dec. 19, 2014 Alan F. Hill, CEO, and William K. Jones, Executive Chairman, JonesTrading Institutional Services LLC, Westlake Village, California
Dec. 19, 2014 Rob Flatley, CEO, and Dave Weisberger, MD, Head of Market Structure Analysis, CoreOne Technologies LLC
Dec. 19, 2014 Tim Buckley, Managing Director and Chief Investment Officer, The Vanguard Group, Inc.
Dec. 19, 2014 Simon D. Yates, CEO, Two Sigma Securities, LLC, New York, New York
Dec. 19, 2014 Sal Arnuk and Joseph Saluzzi, Partners and Co-Founders, Themis Trading LLC, Chatham, New Jersey
Dec. 18, 2014 Eduardo A. Repetto, Co-Chief Executive Officer and Co-Chief Investment Officer, Dimensional Fund Advisors
Dec. 18, 2014 Scott Kupor, Managing Partner, Andreessen Horowitz, and Jeffrey M. Solomon, Chief Executive Officer, Cowen and Company, Inc.; Co-Chairs, Equity Capital Formation Task Force, New York, New York
Dec. 12, 2014 John Endean, President, American Business Conference
Dec. 10, 2014 Lawrence Tabb, Founder & CEO, TABB Group, Westborough, Massachusetts
Dec. 8, 2014 Tim Quast, President, ModernNetworks IR LLC
Dec. 3, 2014 Dave Weild, Chairman & CEO, IssuWorks, Inc., Former Vice Chairman of The Nasdaq Stock Market
Dec. 2, 2014 David Shields, Vice Chairman & Co-CEO, Wellington Shields & Co.
Nov. 20, 2014 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Nov. 18, 2014 Joseph Galinskie, Boca Raton, Florida
Nov. 17, 2014 Rep. Sean P. Duffy, U.S. House of Representatives
Nov. 13, 2014 Richard B. Gorelick, Chief Executive Officer, RGM Advisors, LLC
Nov. 11, 2014 David Adorney, Professional Equity Trader, riverside, Connecticut

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Mar. 2, 2015 Memorandum from the Office of the Chair regarding a February 25, 2015, meeting with representatives of OTC Markets
Mar. 2, 2015 Memorandum from the Office of the Chair regarding a February 25, 2015, meeting with representatives of Intercontinental Exchange (ICE)
Feb. 2, 2015 Memorandum from the Division of Trading and Markets regarding a January 30, 2015, meeting with representatives of RGM Advisors, LLC and Squire Patton Boggs, LLP
Dec. 26, 2014 Memorandum from the Office of the Chair regarding a December 15, 2014, meeting with representatives of the New York Stock Exchange LLC
Dec. 18, 2014 Memorandum from the Division of Trading and Markets regarding a December 17, 2014, meeting with representatives of the National Venture Capital Association et al.
Nov. 17, 2014 Memorandum from the Division of Trading and Markets regarding a November 14, 2014, meeting with representatives of The Vanguard Group
Nov. 17, 2014 Memorandum from the Division of Trading and Markets regarding a November 14, 2014, meeting with representatives of TD Ameritrade and Williams & Jensen

Comments on Decimalization Roundtable

[Release No. 34-68510; File No. 4-657]


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 26, 2014 Brian A. Johnson, Executive Director for Research, Committee on Capital Markets Regulation
Sep. 23, 2014 John Daley, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
Sep. 20, 2014 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Sep. 15, 2014 Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC
Sep. 9, 2014 Theodore R. Lazo Managing Director and Associate General Counsel, SIFMA
Aug. 25, 2014 Brendon J. Weiss Vice President, NYSE Group, Inc.
Apr. 4, 2014 Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC
Mar. 12, 2014 Yolanda Clark, Los Angeles, California
Jan. 21, 2014 James J. Maguire, Sr., Short Hills, New Jersey
Nov. 20, 2013 Joseph Saluzzi, Partner, Themis Trading LLC, Chatham, New Jersey
Oct. 31, 2013 Paul Jiganti, Managing Director, Market Structure and Client Advocacy, TD Ameritrade, Columbia, Maryland
Oct. 22, 2013 Daniel Keegan, Managing Duector, Head of Equities for the Americas, Citigroup Global Markets Inc.
May 29, 2013 Ernest F. Callipari, Equity Trader, Nanuet, New York
May 1, 2013 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
Apr. 23, 2013 David Weisberger, Executive Principal, Two Sigma Securities, New York, New York
Mar. 1, 2013 Eric A. De La Pena, BSIS, San Francisco, California
Mar. 1, 2013 Cheryl M. Solgat, Castro Valley, California
Feb. 5, 2013 Jeffrey M. Solomon, Chief Executive Officer, Cowen and Company
Feb. 5, 2013 Colin Clark, Senior Vice President, NYSE Euronext
Feb. 4, 2013 Patrick J. Healy, CEO, Issuer Advisory Group
Feb. 4, 2013 Tim Quast, President, ModernIR
Feb. 4, 2013 Paul Jiganti, Managing Director, Market Structure Client Advocacy, TD Ameritrade, Inc., Chicago, Illinois
Feb. 4, 2013 Christopher Nagy, President, KOR Trading LLC, Omaha, Nebraska
Feb. 4, 2013 James J. Maguire, Short Hills, New Jersey
Feb. 1, 2013 Suzanne Hamlet Shatto
Feb. 1, 2013 Matthew Harper, Watkinsvillle, Georgia
Feb. 1, 2013 Autorité des marchés minanciers (AMF)
Jan. 29, 2013 David Weild, Senior Advisor, Grant Thornton LLP
Jan. 29, 2013 Chris Isaacson, SVP & COO, and Eric Swanson, Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Jan. 24, 2013 Leslie Seff, President, Matthew B. Management, Inc.
Jan. 2, 2013 Khalil Dayri, Antares Technologies, and Mathieu Rosenbaum, Laboratory of Probability and Random Models, University Pierre and Marie Curie (Paris 6), Paris, France
Dec. 28, 2012 Todd Cuomo, Commack, New York
Dec. 23, 2012 William Derbyshire

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Feb.24, 2015 Memorandum from the Office of the Chair regarding a February 23, 2015, meeting with representatives of Fidelity Investments
Mar. 28, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a March 27, 2014, meeting with representatives of KOR Group
Nov. 20, 2013 Memorandum from the Division of Trading and Markets regarding a November 18, 2013, meeting with representatives of Two Sigma Securities, LLC
Nov. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 5, 2013, meeting with a representative of TD Ameritrade
Jun. 19, 2013 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with a representative of TD Ameritrade
May 21, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association

 

http://www.sec.gov/comments/4-657/4-657.shtml


Modified: 03/03/2015