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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

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

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)
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: 11/21/2014