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Comments on NMS Plan:
National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail
[Release No. 34-74223; File No. 4-668]
[Release No. 34-70892; File No. 4-668]
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Sep. 18, 2014 | Manisha Kimmel, Managing Director, Financial Information Forum |
Mar. 27, 2014 | Timothy Cummings, Assistant Vice President, Equities and Assistant General Counsel, and Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
Feb. 24, 2014 | Tamara Schademann, BATS Exchange, Inc., et al. |
Feb. 13, 2014 | Manisha Kimmel, Executive Director, Financial Information Forum |
Jan. 31, 2014 | Tamara Schademann, BATS Exchange, Inc., et al. |
Jan. 24, 2014 | Manisha Kimmel, Executive Director, Financial Information Forum |
Dec. 23, 2013 | Anonymous |
Dec. 23, 2013 | Manisha Kimmel, Executive Director, Financial Information Forum |
Dec. 23, 2013 | Theodore R. Lazo, Managing Director & Associate General Counsel, SIFMA |
Dec. 23, 2013 | Anonymous |
Dec. 20, 2013 | Marcia Asquith, Senior Vice President and Corporate Secretary, Financial Industry Regulatory Authority, Washington, District of Columbia |
Meetings with SEC Officials
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Nov. 21, 2014 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 21, 2014, meeting with representatives of the Development Advisory Group for the Consolidated Audit Trail |
Aug. 21, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding an August 21, 2014, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
Jun. 5, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a March 20, 2014, meeting with representatives of the Financial Information Forum |
Mar. 20, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding a March 20, 2014, meeting with representatives of the Financial Information Forum |
Feb. 11, 2014 | Memorandum from the Division of Trading and Markets regarding a February 11, 2014, meeting with representatives of Galileo Global Advisors |
Feb. 11, 2014 | Memorandum from the Division of Trading and Markets regarding a February 6, 2014, meeting with representatives of the Financial Information Forum |
http://www.sec.gov/comments/4-668/4-668.shtml
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