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Short Sale Disclosure:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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(Click here for meetings with SEC officials)
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| Feb. 7, 2011 | Richard H. Baker,
President and CEO, Managed Funds Association |
| Feb. 2, 2011 | Data Explorers |
| Jan. 1, 2011 | Suzanne H. Shatto |
| Dec. 16, 2010 | Helen Highsmith, Newport News, Virginia |
| Oct. 1, 2010 | Janet McGinness, SVP & Corporate Secretary, Legal & Government Affairs, NYSE Euronext |
| Sep. 22, 2010 | Richard H. Baker, President and CEO, Managed Funds Association |
| Sep. 21, 2010 | Clyde Grady |
| Sep. 20, 2010 | D. J. Heaton, Kalamazoo, Michigan |
| Sep. 16, 2010 | Clyde Grady, II |
| Sep. 14, 2010 | Ed Schweitzer |
| Sep. 12, 2010 | Mel Solomon, New Jersey |
| Sep. 8, 2010 | Ed Schweitzer |
| Sep. 8, 2010 | Ed Schweitzer |
| Sep. 7, 2010 | Wayne R. Szymanski, Sterling Heights, Michigan |
| Aug. 30, 2010 | Joe Jefferis, Compliance Accountant, Dayton, Ohio |
| Aug. 29, 2010 | Hank Thompson, Berlin, Connecticut |
| Aug. 26, 2010 | Sam Roy |
| Aug. 25, 2010 | Peter Costa, Hazlet, New Jersey |
| Aug. 20, 2010 | Robert Sears, Holly Springs, North Carolina |
| Aug. 18, 2010 | Brent Banninga, Carmel, Indiana |
| Aug. 10, 2010 | William Wuepper, Marquette, Michigan |
| Aug. 9, 2010 | Pamela R. Lambert, Registered Rep, Chicago, Illinois |
| Aug. 3, 2010 | Peter Chepucavage, Plexus Consulting Group |
| Jul. 29, 2010 | Joel and Sherry Baccigalopi |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia |
| Jul. 28, 2010 | Jack G. Tebo, retired CEO, Meadows of Dan, Virginia |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jan. 5, 2011 | Memorandum from the Division of Trading and Markets regarding a January 5, 2011 meeting with representatives from the Managed Funds Association |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
http://www.sec.gov/comments/df-title-ix/short-sale-disclosure/short-sale-disclosure.shtml
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