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)
|
| May 5, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar, regarding a May 5, 2015, meeting with representatives of the Intercontinental Exchange (ICE) |
| May 1, 2015 | Memorandum from the Office of the Chair, regarding an April 24, 2015, meeting with representatives of The NASDAQ Stock Market LLC (NASDAQ) |
| Apr. 9, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar, regarding an April 9, 2015, meeting with a representative of Intercontinental Exchange (ICE) |
| Mar. 19, 2015 | Memorandum from the Division of Trading and Markets, regarding a March 17, 2015, meeting with representatives of Rosenblatt Securities Inc. et al. |
| 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. 25, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 25, 2015, meeting with representatives of OTC Markets Group, Inc. |
| Feb. 24, 2015 | Memorandum from the Office of the Chair regarding a February 23, 2015, meeting with representatives of Fidelity Investments |
| Feb. 13, 2015 | Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of Charles Schwab |
| 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 |
| Nov. 14, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 14, 2014, meeting with representatives of Vanguard Group, Inc. |
| Sep. 30, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a September 30, 2014, meeting with representatives of the Managed Funds Association (MFA) |
