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Comments on Regulation Systems Compliance and Integrity
[Release No. 34-69077; File No. S7-01-13]
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(Click here for meetings with SEC officials)
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| Sep. 22, 2014 | Alex Albert, Intercontinental Exchange |
| Sep. 12, 2014 | Richie Prager, Managing Director, Head of Trading & Liquidity Strategies, et al., BlackRock, Inc. |
| 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
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 29, 2014 | Memorandum from the Office of the Investor Advocate regarding an October 28, 2014 meeting with representatives of IEX Group, Inc. and IEX Services LLC |
| Oct. 29, 2014 | Memorandum from the Office of the Investor Advocate regarding an October 27, 2014 meeting with representatives of NASDAQ OMX |
| Oct. 29, 2014 | Memorandum from the Office of the Investor Advocate regarding an October 27, 2014 meeting with representatives of the New York Stock Exchange |
| 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
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