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Short Sale Disclosure:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Submitted Comments

(Click here for meetings with SEC officials)
Apr. 27, 2014 Lee R. Donais, President & C.E.O, L.R. Donais & Company Inc., Lighthouse Point, Florida
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)
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


Modified: 04/28/2014