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Comments on Regulation Systems Compliance and Integrity

[Release No. 34-69077; File No. S7-01-13]


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 25, 2013 William O'Brien, CEO, Direct Edge, Jersey City, New Jersey
Sep. 17, 2013 Dr. Bill Curtis, Director, Consortium for IT Software Quality, Fort Worth, Texas
Sep. 12, 2013 Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York
Sep. 9, 2013 Ari Gabinet, General Counsel, OppenheimerFunds, New York, New York
Sep. 4, 2013 Benjamin Londergan, CEO, Group One Trading LP, Chicago, Illinois
Sep. 3, 2013 James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania
Aug. 6, 2013 Thomas S. Vales, Chief Executive Officer, TMC Bonds LLC
Jul. 30, 2013 Eric Swanson, SVP, General Counsel and Secretary, BATS Global Markets, Inc., et al.
Jul. 26, 2013 Roger Anerella, Managing Director, Global Head of Securities Execution Services, UBS Investment Bank
Jul. 25, 2013 Elizabeth K. King, Global Head of Regulatory Affairs, KCG Holdings, Inc., Jersey City, New Jersey
Jul. 22, 2013 Anthony J. Saliba, Chief Executive Officer, LiquidPoint, LLC
Jul. 17, 2013 Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jirí Król, Deputy CEO, Head of Government and Regulatory Affairs, Alternative Investment Management Association
Jul. 12, 2013 Karrie McMillan, General Counsel, Investment Company Institute
Jul. 11, 2013 James P. Selway, III, P. Mats Goebels and Sudhanshu Arya, ITG Inc.
Jul. 11, 2013 Mary Ann Burns, Futures Industry Association Principal Traders Group, Washington, District of Columbia
Jul. 10, 2013 Eric J. Swanson, Secretary, BATS Global Markets
Jul. 9, 2013 Janet McGinness, EVP & Corporate Secretary, NYSE Euronext
Jul. 8, 2013 Jeffrey Wallis, Managing Partner, SunGard Consulting Services, New York, New York
Jul. 8, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Jul. 8, 2013 David Lauer, Market Structure and Technology Architecture Consultant, Step Ahead Technologies, LLC
Jul. 8, 2013 Norman M. Reed, Omgeo LLC, New York, New York
Jul. 8, 2013 Joseph Adamczyk, Executive Director, Associate General Counsel, CME Group Inc.
Jul. 8, 2013 Scott C. Goebel, General Counsel, Fidelity Management and Research Co., Boston, Massachusetts
Jul. 8, 2013 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Jul. 8, 2013 Robert V. Binder, Olenick and Associates; Keith Fishe, TradeForecaster Global Markets, LLC; Rajeev Ranjan, Federal Reserve Bank of Chicago; Zach Ziliak, Ziliak Law, LLC; and Benjamin E. Van Vliet, Ph.D., Illinois Institute of Technology, Chicago, Illinois
Jul. 8, 2013 Howard Meyerson, General Counsel, Liquidnet, Inc., New York, New York
Jul. 8, 2013 Dr. Bill Curtis, Director, Consortium for IT Software Quality
Jul. 8, 2013 Marcia E. Asquith, Senior Vice President and Corporate Secretary, FINRA
Jul. 8, 2013 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors
Jul. 8, 2013 Lev Lesokhin, Executive Vice President, Strategy and Markets, CAST, Inc., New York, New York
Jul. 8, 2013 Dennis M. Kelleher, President & CEO; Stephen W.Hall, Securities Specialist; Katelynn 0. Bradley, Attorney; and David Frenk, Director of Research; Better Markets, Inc.
Jul. 8, 2013 R.T. Leuchtkafer
Jul. 8, 2013 Courtney D. McGuinn, Operations Director, FIX Protocol Ltd., New York, New York
Jul. 8, 2013 Michael Simon, Secretary, International Securities Exchange, LLC
Jul. 8, 2013 Timothy J. Mahoney, CEO, BIDS Trading, L.P., New York, New York
Jul. 8, 2013 Raymond Tamayo, Chief Information Officer, Options Clearing Corporation
Jul. 8, 2013 Larry E. Thompson, Managing Director and General Counsel, The Depository Trust Clearing Corporation
Jul. 8, 2013 Manisha Kimmel, Executive Director, Financial Information Forum
Jul. 8, 2013 Rob Flatley, Chief Executive Officer and President, CoreOne Technologies
Jul. 5, 2013 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Jul. 1, 2013 Thomas V. D'Ambrosio, Chairman, Committee on Futures and Derivatives, New York City Bar Association
Jun. 28, 2013 Jay M. Goldstone, Chairman, Municipal Securities Rulemaking Board, Alexandria, Virginia
Jun. 19, 2013 Raymond M. Tierney III, President and Chief Executive Officer, Bloomberg Tradebook LLC
Jun. 3, 2013 James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania
May 23, 2013 Scott Cooper, Vice President, Government Relations and Public Policy, American National Standards Institute
May 23, 2013 Cynthia Fuller, Executive Director, on behalf of Accredited Standards Committee X9, Inc. Financial Industry Standards
May 17, 2013 Mike Crapo, U.S. Senator
May 16, 2013 Donald P. Byrne, Esquire, Chair, Regulatory Review Committee, Center for Plain Language, Silver Spring, Maryland
May 15, 2013 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
May 10, 2013 Eric Swanson, SVP, General Counsel and Secretary, BATS Global Markets, Inc., et al.
May 7, 2013 Manisha Kimmel, Executive Director, Financial Information Forum
Apr. 26, 2013 Ahmed Abouzeid
Apr. 25, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Apr. 19, 2013 John J. Rapa, President/Chief Executive Officer, Tellefsen and Company, L.L.C., Northborough, Massachusetts
Apr. 9, 2013 David Courtright, J.D. Candidate '14, Dekalb, Illinois
Apr. 8, 2013 Anonymous
Apr. 3, 2013 Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey
Mar. 11, 2013 Tony Stephenson, Director, iComply
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jun. 3, 2014 Memorandum from the Division of Trading and Markets regarding a June 2, 2014 meeting with representatives of the Securities Industry and Financial Markets Association
Feb. 3, 2014 Memorandum from the Division of Trading and Markets regarding a January 16, 2014 meeting with representatives of several SROs
Nov. 20, 2013 Memorandum from the Office of the Chair regarding a November 19, 2013 meeting with representatives of OTC Markets Group, Inc.
Nov. 20, 2013 Memorandum from the Division of Trading and Markets regarding a November 19, 2013 meeting with representatives of OTC Markets Group, Inc.
Nov. 5, 2013 Memorandum from the Division of Trading and Markets regarding an October 29, 2013 meeting with representatives of NYSE Euronext
Oct. 29, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013 meeting with representatives of NYSE Euronext
Oct. 10, 2013 Memorandum from the Division of Trading and Markets regarding an October 8, 2013 meeting with representatives of ITG Inc.
Oct. 8, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 8, 2013 meeting with representatives of ITG Inc.
Oct. 3, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 3, 2013 meeting with representatives of Tradeworx, Inc.
Oct. 1, 2013 Memorandum from the Division of Trading and Markets regarding a September 25, 2013 phone call with representatives of Citigroup
Sep. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013 meeting with representatives of DirectEdge
Jul. 12, 2013 Memorandum from the Division of Trading and Markets regarding a June 28, 2013 meeting with representatives of CAST
Jun. 19, 2013 Memorandum from the Division of Trading and Markets regarding a June 13, 2013 meeting with representatives of the Financial Information Forum
May 29, 2013 Memorandum from the Office of the Chairman regarding a May 28, 2013, meeting with representatives of DirectEdge
May 21, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association
May 14, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 14, 2013, meeting with representatives of Direct Edge
May 6, 2013 Memorandum from the Office of Commissioner Daniel M. Gallagher regarding an April 16, 2013, meeting with representatives of the BATS Global Markets, Inc.
May 2, 2013 Memorandum from the Division of Trading and Markets regarding an April 25, 2013, meeting with representatives of FINRA
Apr. 16, 2013 Memorandum from the Division of Trading and Markets regarding an April 15, 2013, meeting with representatives of GETCO LLC and Knight Capital Group
Apr. 16, 2013 Memorandum from the Division of Trading and Markets regarding an April 11, 2013, meeting with representatives of BATS Exchange, Inc.
Apr. 8, 2013 Memorandum from the Division of Trading and Markets regarding an April 5, 2013, teleconference with representatives of Rosenblatt Securities
Apr. 5, 2013 Memorandum from the Division of Trading and Markets regarding an April 5, 2013, teleconference with representatives of the Municipal Securities Rulemaking Board

 

http://www.sec.gov/comments/s7-01-13/s70113.shtml

Modified: 06/04/2014