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Comments on Concept Release on Equity Market Structure

[Release No. 34-61358; File No. S7-02-10]


Jun. 19, 2014 William Thayer
Jun. 13, 2014 Mary Ann Burns, Executive Vice President, Industry Relations and Chief Operating Officer, FIA
Apr. 4, 2014 Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC
Apr. 1, 2014 Esiquiel Gonzalez II
Jan. 13, 2014 James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania
Nov. 22, 2013 Richard Steiner, Global Equities Liaison to Regulatory & Government Affairs, RBC Capital Markets
Oct. 2, 2013 Sal Arnuk, Partner Themis Trading LLC, Chatham, New Jersey
Sep. 6, 2013 Memorandum from the Office of the Chairman regarding a September 3, 2013, meeting with representatives of Fidelity
Jul. 31, 2013 M.A. Stein
Jun. 28, 2013 Raymond M. Tierney, President and CEO, and Gary Stone, Chief Strategy Officer, Bloomberg Tradebook LLC
Jun. 21, 2013 David Shutvet
Jun. 19, 2013 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of TD Ameritrade
Jun. 5, 2013 Frederick M. Connolly
Jun. 4, 2013 Edward Luhrs
May 29, 2013 Memorandum from the Office of the Chairman regarding a May 28, 2013, meeting with representatives of DirectEdge
May 22, 2013 Memorandum from the Division of Trading and Markets regarding a May 22, 2013, meeting with representatives of Morgan Stanley
May 7, 2013 Memorandum from the Office of the Chairman regarding an April 30, 2013, meeting with representatives of Barclays
May 1, 2013 Memorandum from the Office of the Chairman regarding a May 1, 2013, meeting with representatives of NASDAQ OMX Group, NYSE Euronext, and BATS Global Markets, Inc.
Apr. 17, 2013 Suzanne Shatto
Apr. 10, 2013 Memorandum from the Office of the Chairman regarding an April 9, 2013 meeting with representatives of NASDAQ OMX Group, NYSE Euronext, and BATS Global Markets, Inc.
Feb. 27, 2013 Richard Abraham, Individual Trader, Havertown, Pennsylvania
Jan. 30, 2013 Suzanne Shatto
Jan. 29, 2013 Suzanne Shatto
Jan. 9, 2013 Suzanne Shatto
Dec. 26, 2012 Suzanne Shatto
Dec. 12, 2012 H.(Hank) A. Kiely, Stock Market Trader, Tulsa, Oklahoma
Dec. 12, 2012 Suzanne Shatto
Dec. 10, 2012 Suzanne Shatto
Nov. 21, 2012 Suzanne Shatto
Nov. 2, 2012 Niall H. O'Malley, Portfolio Manager, Blue Point Investment Management, Baltimore, Maryland
Oct. 27, 2012 Dan Price
Oct. 24, 2012 M.A. Stein
Oct. 24, 2012 M.A. Stein
Oct. 12, 2012 Suzanne Shatto
Aug. 21, 2012 Suzanne Hamlet Shatto
Aug. 13, 2012 Suzanne Shatto
Aug. 7, 2012 Suzanne Shatto
Ju1. 30, 2012 Suzanne Shatto
Jul. 24, 2012 David Adorney
Jul. 17, 2012 Suzanne Hamlet Shatto
Jul. 12, 2012 Suzanne Hamlet Shatto
Jul. 3, 2012 Thomas Brasso
Jun. 21, 2012 Suzanne Shatto
May 23, 2012 Suzanne Shatto
May 21, 2012 Suzanne Shatto
May 17, 2012 Anonymous
May 11, 2012 Suzanne Hamlet Shatto
Apr. 27, 2012 Suzanne Shatto
Apr. 24, 2012 Richard Gorelick, CEO, RGM Advisors, LLC, and Cameron Smith, President, Quantlab Financial, LLC
Apr. 19, 2012 Suzanne Hamlet Shatto
Apr. 18, 2012 Memorandum from the Office of Commissioner Walter regarding a February 1, 2012 meeting with representatives of Direct Edge
Apr. 13, 2012 Suzanne Hamlet Shatto
Apr. 12, 2012 Memorandum from the Office of the Chairman regarding an April 12, 2012 meeting with representatives of NASDAQ and NYSE Euronext
Mar. 29, 2012 Suzanne Hamlet Shatto
Mar. 26, 2012 Suzanne Hamlet Shatto
Feb. 23, 2012 Suzanne Hamlet Shatto
Feb. 18, 2012 Suzanne Shatto
Feb. 10, 2012 Suzanne Hamlet Shatto
Feb. 2, 2012 Memorandum from the Office of Commissioner Aguilar regarding a February 1, 2012, meeting with representatives of Direct Edge
Jan. 24, 2012 Memorandum from the Office of the Chairman regarding a January 18, 2012, meeting with representatives of the Netherlands Authority for the Financial Markets
Dec. 16, 2011 Eugene Giaquinto, Independent Trader
Dec. 16, 2011 Steve Thill
Dec. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of the Managed Funds Association
Nov. 30, 2011 Dennis Dick, CFA, Bright Trading LLC, Las Vegas, Nevada
Nov. 30, 2011 Laura Kenney
Nov. 28, 2011 Ken Voorhies
Nov. 3, 2011 R. T. Leuchtkafer
Oct. 31, 2011 Sal L. Arnuk, Partner, Themis Trading LLC, Chatham, New Jersey
Oct. 27, 2011 Steven Kim
Oct. 11, 2011 Karen Sendik
Oct. 4, 2011 Memorandum from the Office of the Chairman regarding an October 4, 2011, meeting with representatives of Quantlab Financial and RGM Advisors
Oct. 3, 2011 Stephen M. Barnes, J.D., Salt Lake City, Utah
Sep. 20, 2011 Robert W. Bruce, Jr.
Jul. 25, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 21, 2011, meeting with representatives of The NASDAQ OMX Group
Jul. 22, 2011 Sal Arnuk and Joseph Saluzzi, Themis Trading LLC, Chatham, New Jersey
Jul. 19, 2011 Harold R. Lanier, Fairhope, Alabama
May 20, 2011 Howard Meyerson, General Counsel, and Vlad Khandros, Corporate Strategy Director, Liquidnet, Inc.
May 11, 2011 Dennis Dick, CFA, Bright Trading LLC, Las Vegas, Nevada
Apr. 14, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an April 7, 2011, meeting with representatives of JonesTrading Institutional Services, LLC
Apr. 12, 2011 Memorandum from the Office of the Chairman regarding an April 11, 2011, meeting with representatives of the Buy-Side Equity Trader Roundtable
Apr. 11, 2011 William J. Brodsky, Chairman & CEO, CBOE Holdings; Robert Greifeld, CEO & President The Nasdaq OMX Group; and Duncan L. Niederauer, CEO & Director, NYSE Euronext
Apr. 7, 2011 Memorandum from the Office of the Chairman regarding an April 5, 2011 meeting with members of the Board of SIFMA
Mar. 7, 2011 Memorandum from the Division of Trading and Markets regarding a March 4, 2011, meeting with representatives of Morgan Stanley
Feb. 24, 2011 Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs
Feb. 10, 2011 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies
Feb. 14, 2011 Andrew Alter, Esq., General Counsel, BNP Paribas Securities Corp.
Feb. 14, 2011 R. T. Leuchtkafer
Feb. 10, 2011 Memorandum from the Office of the Chairman regarding a February 10, 2011, meeting with representatives of Hudson River Trading and the Sternhell Group
Feb. 2, 2011 Nathan White, CFA, CIO, Paragon Wealth Management, Provo, Utah
Jan. 16, 2011 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
Jan. 14, 2011 Memorandum from the Office of Commissioner Walter regarding a January 14, 2011 meeting with representatives of Headlands Technologies LLC
Jan. 14, 2011 Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with representatives of Headlands Technologies LLC
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 17, 2010, meeting with representatives of BNY ConvergEx Group, LLC
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC
Dec. 16, 2010 Memorandum from the Office of Commissioner Walter regarding a December 16, 2010, meeting with representatives of Credit Suisse
Dec. 15, 2010 Rick T.
Dec. 15, 2010 Yanning Sun, Chicago, Illinois
Dec. 15, 2010 Susan Li, Student
Dec. 14, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding a November 30, 2010 meeting with representatives of TD Ameritrade
Dec. 13, 2010 John Doe
Dec. 13, 2010 Elijah P. Socha, Schaumburg, Illinois
Dec. 13, 2010 Chris H
Dec. 12, 2010 John Flaherty, Student
Dec. 11, 2010 Leland Teschler, Bright Trading
Dec. 8, 2010 Avery Zuck
Dec. 8, 2010 Memorandum from the Office of the Chairman regarding a December 8, 2010, meeting with representatives of GETCO, LLC
Dec. 8, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of GETCO, LLC
Dec. 7, 2010 Scott J. Matthews, South Bend, Indiana
Nov. 12, 2010 Memorandum from the Office of Commissioner Aguilar regarding a November 10, 2010, meeting with representatives of NASDAQ OMX
Oct. 31, 2010 R. T. Leuchtkafer
Oct. 19, 2010 O. Mason Hawkins, CFA, Chairman & CEO; Richard W. Hussey, Vice President & COO; Deborah L. Craddock, CFA, Vice President & Head of Trading; Jeffrey D. Engelberg, CFA, Vice President & Senior Trader; and W. Douglas Schrank, Senior Trader, Southeastern Asset Management, Inc.
Oct. 8, 2010 Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable
Oct. 8, 2010 Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum
Oct. 4, 2010 Memorandum from the Office of the Chairman regarding an October 4, 2010, meeting with representatives of Investment Company Institute
Oct. 1, 2010 Robert W. Gottesman, Chief Executive Officer; Charles Rosenthal, Senior Managing Director; and Neal K. Stearns, Senior Managing Director; First Manhattan Co.
Sep. 29, 2010 Sean Murphy, Managing Partner, Grace Hall Trading, LLC
Sep. 29, 2010 Memorandum from the Office of the Chairman regarding a September 29, 2010, meeting with representatives of Rich Feuer Group and EWT, LLC
Sep. 29, 2010 Memorandum from the Office of Commissioner Aguilar regarding an September 28, 2010, meeting with representatives of EWT, LLC
Sep. 29, 2010 Memorandum from the Office of the Chairman regarding a September 21, 2010, meeting with representatives of NYSE
Sep. 21, 2010 Memorandum from the Office of Commissioner Paredes regarding an September 21, 2010, meeting with representatives of Pipeline Trading Systems
Sep. 20, 2010 John L. Jacobs, Vallejo, California
Sep. 16, 2010 Konstantin Ivanov, professional trader, Zaporozhye, Ukraine
Sep. 14, 2010 Liam Connell, Chief Executive Officer, Allston Trading, LLC; Richard B. Gorelick, Chief Executive Officer, RGM Advisors, LLC; Adam Nunes, President, HRT Financial LLC, Hudson River Trading LLC; and Cameron Smith, General Counsel, Quantlab Financial, LLC
Sep. 13, 2010 Harold R. Lanier, Fairhope, Alabama
Sep. 10, 2010 Timothy Rodenski, Independent Trader, Newburgh, New York
Sep. 8, 2010 Mitchell J. Milias, Vice Chairman, PRIMECAP Management Company, Pasadena, California
Aug. 31, 2010 Memorandum from the Office of Commissioner Paredes regarding an August 31, 2010, meeting with representatives of Liquidnet
Aug. 31, 2010 Anonymous
Aug. 30, 2010 Clive Williams, Andrew M. Brooks and Christopher P. Hayes, T. Rowe Price
Aug. 27, 2010 Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC
Aug. 20, 2010 Memorandum from the Office of Commissioner Walter regarding an August 16, 2010, meeting with representatives of Nasdaq OMX
Aug. 18, 2010 Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of NASDAQ OMX Group
Aug. 16, 2010 Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq
Aug. 5, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Aug. 5, 2010 Sen. Edward E. Kaufman, United States Senate
Aug. 4, 2010 Memorandum from the Division of Trading and Markets regarding an August 4, 2010, meeting with representatives of the CME Group
Jul. 29, 2010 Memorandum from the Office of Commissioner Aguilar regarding a July 27, 2010, meeting with representatives of Instinet Incorporated, Instinet, LLC and Nomura Holding America, Inc.
Jul. 29, 2010 Memorandum from the Office of the Chairman regarding a July 19, 2010, meeting with representatives of Bank of America/Merrill Lynch
Jul. 28, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 28, 2010, meeting with representatives of Instinet, LLC and Promontory Financial Group, LLC
Jul. 27, 2010 Ed Carbone
Jul. 26, 2010 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Jul. 22, 2010 Memorandum from the Office of Commissioner Walter regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Jul. 22, 2010 Memorandum from the Division of Trading and Markets regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Jul. 19, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 13, 2010, meeting with representatives of CME Group Inc.
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 8, 2010, meeting with representatives of Headlands Technologies LLC
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 14, 2010, meeting with representatives of the Securities Traders Association
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Jul. 19, 2010 David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP
Jul. 15, 2010 R. T. Leuchtkafer
Jul. 14, 2010 Memorandum from the Office of Commissioner Aguilar regarding a July 13, 2010, meeting with representatives of the Securities Traders Association
Jul. 13, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Jul. 9, 2010 Bob Berg
Jul. 9, 2010 John A. McCarthy, General Counsel, GETCO, LLC; Christopher R. Concannon, Partner, Virtu Financial, LLC; and Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Jul. 9, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 8, 2010, meeting with representatives of Headlands Technologies
Jul. 6, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Jul. 1, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding a June 22, 2010 meeting with representatives of Nasdaq OMX
Jul. 1, 2010 Memorandum from the Office of Commissioner Walter regarding a June 22, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Jun. 28, 2010 Memorandum from the Office of the Chairman regarding a June 24, 2010, meeting with representatives of Virtu Financial LLC
Jun. 28, 2010 Memorandum from the Office of the Chairman regarding a June 22, 2010, meeting with representatives of NASDAQ
Jun. 28, 2010 Justin Hudock, Trader, Massachusetts
Jun. 25, 2010 Greg Tusar, Managing Director, Goldman Sachs Execution & Clearing, L.P and Matthew Lavicka, Managing Director, Goldman, Sachs & Co.
Jun. 23, 2010 Robert A. Bright, Chief Executive Officer, Dennis Dick, CFA, Trading Member, Diane Anderson, Compliance Officer, Bright Trading LLC, Las Vegas, Nevada
Jun. 23, 2010 Memorandum from the Division of Trading and Markets regarding a June 23, 2010, meeting with representatives of the CFA Institute
Jun. 22, 2010 Memorandum from the Division of Trading and Markets regarding a June 22, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Jun. 22, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 22, 2010, meeting with representatives of The NASDAQ OMX Group
Jun. 22, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 22, 2010, meeting with representatives of Virtu Financial, LLC
Jun. 22, 2010 Kurt N. Schacht, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute
Jun. 21, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 17, 2010, telephone call with a representative of Southeastern Asset Management, Inc.
Jun. 21, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 16, 2010, meeting with representatives of Knight Capital Group Inc.
Jun. 17, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 16, 2010, meeting with representatives of Knight Capital Group, Inc.
Jun. 17, 2010 Memorandum from the Division of Trading and Markets regarding a June 16, 2010, meeting with representatives of Tradeworx, Inc.
Jun. 10, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 10, 2010, meeting with representatives of NYSE Euronext
Jun. 10, 2010 Wilhelm R. Tschol, Investor, Speicher, Switzerland
Jun. 9, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Jun. 9, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of Direct Edge
Jun. 9, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
Jun. 9, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
Jun. 8, 2010 Memorandum from the Division of Trading and Markets regarding a June 8, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Jun. 8, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 8, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Jun. 4, 2010 Memorandum from the Office of the Chairman regarding a Meeting with Representatives of High Frequency Trading Firms
Jun. 2, 2010 Anonymous
Jun. 1, 2010 Memorandum from the Office of Commissioner Aguilar regarding a May 19, 2010, meeting with representatives of ESP Technologies, Inc.
Jun. 1, 2010 Memorandum from the Office of Commissioner Aguilar regarding a May 25, 2010, meeting with representatives of NYSE Euronext
May 26, 2010 Ullrich Fischer, Bright Trading, Delta, Canada
May 27, 2010 Richard R. Tullo, Jr., Trading Analyst, Cranford, New Jersey
May 27, 2010 R. T. Leuchtkafer
May 27, 2010 Ed Carbone, Investor/Trader
May 25, 2010 Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of U.S. Listings and Cash Execution, Head of Government Affairs and Public Advocacy, Global Legal Department, and NYSE Euronext
May 26, 2010 Desmond J. Conlan, CQE, Investor, Winona Lake, Indiana
May 26, 2010 Mark Turlington, Trader
May 25, 2010 Mark Neumann, Matthews, North Carolina
May 25, 2010 Peter Weisz, Las Vegas, Nevada
May 25, 2010 Michael McCaslin, Greenville, Texas
May 25, 2010 Colton Dick, Professional Trader, Bright Trading
May 25, 2010 Johnathan A. Bacon, Bright , Gold Beach, Oregon
May 25, 2010 Leland Teschler Teschler, cleveland, Ohio
May 25, 2010 Troy Hanninen, Missoula, Montana
May 25, 2010 Richard R. Tullo, Jr., Trading Analyst, Cranford, New Jersey
May 25, 2010 Joseph A. Smith, Aldan, Pennsylvania
May 24, 2010 Ed Naylor
May 24, 2010 Justin L. Helbig, Commercial Real Estate Broker, Oakland , California
May 24, 2010 Jerome K. Ruffin, Fayetteville, North Carolina
May 24, 2010 Bradley Schultz, TalkingTechnicals.com
May 21, 2010 Memorandum from the Office of Commissioner Paredes regarding a May 19, 2010 meeting with representatives of Electronic Securities Processing (ESP) LLC and ESP Technologies Corp.
May 21, 2010 Jeffrey S. Wecker, CEO, Lime Brokerage LLC
May 20, 2010 Andrew Small, General Counsel, Scottrade, Inc.
May 20, 2010 William Silver, Investment Manager, New York, New York
May 20, 2010 Anonymous
May 19, 2010 Jerry Kehoe
May 19, 2010 Patrick McQuaid, Registered Representative (former), Morgan Stanley, Rogers, Arkansas
May 19, 2010 David Glad
May 19, 2010 Reto Francioni and Andreas Preuß, Deutsche Börse
May 19, 2010 Carlos Rodrguez, Madrid, Spain
May 19, 2010 D. L., Mission, Texas
May 18, 2010 Jonah Gertzweiller, CFA,CPA, NYC, New York
May 18, 2010 Joe Lafrance
May 18, 2010 Edwin A. Schweitzer, Ph. D., Sun City West, Arizona
May 18, 2010 James K. Rutledge, New York City, New York
May 17, 2010 Allan Cass
May 14, 2010 W. Hardy Callcott, Bingham McCutchen LLP
May 13, 2010 R. T. Leuchtkafer
May 13, 2010 Lawrence Black
May 12, 2010 Patrick D. Armstrong and Daniel W. Tandy, Co-Presidents, Alliance of Floor Brokers, New York, New York
May 11, 2010 Jason Fournier, Investor, Nevada
May 11, 2010 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
May 11, 2010 Daniel Weaver, Ph.D., Professor of Finance, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers University
May 10, 2010 Kimberly Unger, Esq., Executive Director, Security Traders Association of New York , New York, New York
May 7, 2010 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
May 7, 2010 Raymond M. Tierney III, Bloomberg L.P.
May 6, 2010 Dennis Dick, CFA, Bright Trading LLC
May 6, 2010 R. T. Leuchtkafer
Apr. 30, 2010 Daniel Keegan, Managing Director, Citigroup Global Markets Inc.
Apr. 30, 2010 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business
Apr. 30, 2010 Suhas Daftuar, Managing Director, Hudson River Trading LLC, New York, New York
Apr. 30, 2010 Brett F. Mock, Chairman, and John C. Giesea, President and CEO, Security Traders Association
Apr. 30, 2010 Kimberly Unger, Esq., Executive Director, Security Traders Association of New York, Inc., New York, New York
Apr. 30, 2010 Joan C. Conley, Senior Vice President and Corporate Secretary, The NASDAQ OMX Group, Inc., Rockville, Maryland
Apr. 29, 2010 Memorandum from the Division of Risk, Strategy, and Financial Innovation regarding a meeting with representatives of NASDAQ OMX
Apr. 29, 2010 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Apr. 29, 2010 Joseph M. Velli, Chairman and Chief Executive Officer, BNY ConvergEx Group, LLC, New York, New York
Apr. 29, 2010 Edward J. Joyce, President, Chicago Board Options Exchange, Incorporated, Chicago, Illinois
Apr. 28, 2010 O. Mason Hawkins, Richard W. Hussey, Deborah L. Craddock, Jeffrey D. Engelberg, and W. Douglas Schrank, Southeastern Asset Management, Inc.
Apr. 28, 2010 John Ingrilli, Managing Director, COO, UBS Equities - Americas, Stamford, Connecticut
Apr. 28, 2010 Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Tradeworx, Tradeworx, Thesys, and Sutherland Asbill & Brennan
Apr. 28, 2010 Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Liquidnet and Morgan Lewis
Apr. 28, 2010 Eric W. Hess, Esq., General Counsel for Direct Edge, Jersey City, New Jersey
Apr. 28, 2010 John A. McCarthy, General Counsel, GETCO, LLC, Chicago, Illinois
Apr. 26, 2010 Dennis Dick, CFA, Bright Trading LLC
Apr. 25, 2010 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Apr. 23, 2010 Liam Connell, Chief Executive Officer, Allston Trading, LLC; Richard B. Gorelick, Chief Executive Officer, RGM Advisors, LLC; Adam Nunes, President, HRT Financial LLC, Hudson River Trading, LLC; and Cameron Smith, General Counsel, Quantlab Financial, LLC
Apr. 23, 2010 Janet M. Kissane, SVP - Legal & Corporate Secretary, Office of the General Counsel, NYSE Euronext
Apr. 23, 2010 Marcia E. Asquith, Senior Vice President and Corporate Secretary, Financial Industry Regulatory Authority
Apr. 22, 2010 Scott Garrett, Member of Congress
Apr. 22, 2010 Grant Thornton LLP
Apr. 21, 2010 Gary Alan DeWaal, Senior Managing Director and Group General Counsel, Newedge
Apr. 21, 2010 Donald R. Wilson, Jr., DRW Trading Group
Apr. 21, 2010 Timothy Quast, Modern Networks IR LLC, Denver, Colorado
Apr. 21, 2010 Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC
Apr. 21, 2010 Eric J. Swanson, General Counsel, BATS Exchange, Inc., Lenexa, Kansas
Apr. 21, 2010 David T. Hirschmann, President and CEO, Center for Capital Markets Competitiveness, Washington, District of Columbia
Apr. 21, 2010 Jonathan D. Corpina, President, Organization of Independent Floor Brokers; Jennifer Lee, Vice President, Organization of Independent Floor Brokers; and Stephen O'Shaughnessy, Director, Organization of Independent Floor Brokers
Apr. 21, 2010 Greg O'Connor, Compliance Manager, Wolverine Trading, LLC
Apr. 21, 2010 Steve Gaston, Chief Compliance Officer, IMC Financial Markets
Apr. 21, 2010 Susan Ameel, ESP Technologies Corporation, New York, New York
Apr. 21, 2010 Dan Mathisson, Managing Director, Credit Suisse Securities (USA) LLC, New York, New York
Apr. 21, 2010 Wesley Barker, Margin Specialist, Morgan Keegan & Co.
Apr. 21, 2010 Karrie McMillan, General Counsel, Investment Company Institute
Apr. 21, 2010 P. Mats Goebels, Managing Director, General Counsel, Investment Technology Group, Inc.
Apr. 21, 2010 David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP
Apr. 21, 2010 Ciamac C. Moallemi, Assistant Professor, Graduate School of Business, Columbia University, New York, New York
Apr. 21, 2010 Andrew S. Margolin, Associate General Counsel, Bank of America Merrill Lynch
Apr. 21, 2010 Anonymous
Apr. 21, 2010 Michael Gitlin, Head of Global Trading, T. Rowe Price Associates, Inc.; David Oestreicher, Chief Legal Counsel, T. Rowe Price Associates, Inc.; and Christopher P. Hayes, Sr. Legal Counsel, T. Rowe Price Associates, Inc.
Apr. 21, 2010 Sal L. Arnuk, co-founder, Themis Trading and Joseph Saluzzi, Partner, Themis Trading LLC
Apr. 21, 2010 Carlos Mauricio Mirandola, JSD Candidate, Columbia Law School
Apr. 21, 2010 Manoj Narang, CEO, Tradeworx, Inc., Red Bank, New Jersey
Apr. 21, 2010 Parastu Malik, Student, Yale School of Management and Daniel Margolskee, Student, Yale Law School
Apr. 21, 2010 Steve L. Richert, Retail Investor/Trader, Cheyenne, Wyoming
Apr. 21, 2010 Christopher Nagy, Managing Director Order Strategy, Co-Head of Government Relations, TD Ameritrade and John S. Markle, Deputy General Counsel, Co-Head of Government Relations, TD Ameritrade
Apr. 21, 2010 William P. Conlin
Apr. 21, 2010 George U. Sauter, Managing Director and Chief Investment Officer, The Vanguard Group, Inc.
Apr. 21, 2010 Patrick D. Armstrong and Daniel W. Tandy, Co-Presidents, Alliance of Floor Brokers, New York, New York
Apr. 21, 2010 Justin M. Greatorex, Shayna A. Hutchins, Amanda M. Scarnati, and Jason J. Wawro
Apr. 21, 2010 Berkowitz, Trager & Trager, LLC
Apr. 21, 2010 Craig S. Donohue, Chief Executive Officer, CME Group Inc.
Apr. 20, 2010 Daniel Weaver, Ph.D., Professor of Finance, Rutgers University, Piscataway, New Jersey
Apr. 20, 2010 John Knuff, General Manager, Equinix, Inc.
Apr. 20, 2010 Donald L. Calvin, Chairman ISEEE, Former EVP and Office of the Chairman, NYSE; Robert E. Aber, Vice Chairman, ISEEE, Former SVP and General Counsel, NASDAQ; and William Foster, Vice Chairman, ISEEE, Former CEO, New Zealand Stock Exchange, Former COO, Abu Dhabi Securities Market
Apr. 20, 2010 Peter Johnson
Apr. 20, 2010 Jennifer S. Choi, Assistant General Counsel, Investment Adviser Association
Apr. 20, 2010 Jay deHart, M.D.
Apr. 19, 2010 Alan R. Shapiro, President and Chairman, The Transaction Auditing Group, Inc.
Apr. 19, 2010 Thomas Moses, MBA, Santa Ana, California
Apr. 17, 2010 Kris McConnell
Apr. 17, 2010 Jeffrey A. Blaker
Apr. 16, 2010 W. Brian Arthur, External Professor, Santa Fe Institute; Robert Axtell, Center for Social Complexity, Krasnow Institute for Advanced Study, George Mason University; Alfred R. Berkeley III, Chairman, Pipeline Financial Group, Inc.; Paul Borrill, Founder, CEO, Replicus Software Corporation; Michael W. Brown, Former Microsoft CFO and past Nasdaq Chairman; Daniel Ciuriak, Former Deputy Chief Economist, Foreign Affairs and International Trade, Canada; K.C. Cole, Professor, Annenberg School for Communication and Journalism University of Southern California; Vince Darley, Ocado Ltd.; J. Doyne Farmer, Professor, Santa Fe Institute; Richard Freeman, Herbert Ascherman Professor of Economics, Harvard University; Jim Herriot, NextGenAeroSciences; Cars Hommes, Professor and Chair, Department of Quantitative Economics, University of Amsterdam; Kenneth Judd, Paul H. Bauer Senior Fellow, Hoover Institution; Stuart Kauffman, Distinguished Finnish Professor and University of Vermont; William R. Kinney, Jr., Charles and Elizabeth Prothro Regents Chair in Business, University of Texas at Austin; Robert E. Litan, Kauffman Foundation and The Brookings Institution; Thomas Lux, Department of Economics University of Kiel and Kiel Institute for the World Economy, Kiel, Germany; Pia N. Malaney, Economist, PhD; Alexander Outkin, Member of the International Association of Financial Engineers; Zoe-Vonna Palmrose, PricewaterhouseCoopers Professor of Auditing and Professor of Accounting University of Southern California and former SEC Deputy Chief Accountant; Bruce K. Sawhill, NextGenAeroSciences; Glenn Shafer, Board of Governors Professor, Rutgers Business School Newark and New Brunswick and Professor in the Computer Learning Research Centre, Royal Holloway College at the University of London; Lee Smolin, Founding Member, Perimeter Institute for Theoretical Physics; Shyam Sunder, James L. Frank Professor of Accounting, Economics, and Finance Yale School of Management, Yale University; Leigh Tesfatsion Professor of Economics, Mathematics, and Electrical and Computer Engineering Iowa State University; and Eric R. Weinstein, Natron Group
Apr. 16, 2010 Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the Nasdaq OMX
Apr. 16, 2010 R. T. Leuchtkafer
Apr. 16, 2010 Matt Jones
Apr. 15, 2010 Pascal N. Levensohn, Founder & Managing Partner
Apr. 15, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Lime Brokerage LLC
Apr. 15, 2010 Gene DeFelice, Senior Vice President, General Counsel & Secretary, SAVVIS, Inc.
Apr. 14, 2010 Rick D. Leonhardt, Professional Trader, Quincy, California
Apr. 14, 2010 Cameron Alyesh
Apr. 14, 2010 Robert A. Bright Jr., Las Vegas, Nevada
Apr. 14, 2010 Klaus Johanns, Las Vegas, Nevada
Apr. 14, 2010 Mark Hansen, Las Vegas, Nevada
Apr. 14, 2010 Brian Weisbrod, Trader, Bright Trading, LLC, Redlands, California
Apr. 13, 2010 Jon Liljekrans, Bright Trading, Golden, Colorado
Apr. 13, 2010 Patrick Caito, The Woodlanads, Texas
Apr. 13, 2010 Alexey Etchein, Trader at Bright Trading, Vancouver, Canada
Apr. 13, 2010 Donald G. Parsons, Bright Trading LLC, reno, Nevada
Apr. 13, 2010 Bosier Parsons
Apr. 13, 2010 Jeffrey D. Weaver, Bright Trading LLC, Las Vegas, Nevada
Apr. 13, 2010 Troy Hanninen, Stock Trader, Missoula, Montana
Apr. 13, 2010 Mark Mastroianni
Apr. 13, 2010 David Harrison, Henderson, Nevada
Apr. 13, 2010 Jaime Mauro, Trader, Bright Trading LLC, Las Vegas NV, Branford, Connecticut
Apr. 13, 2010 Ullrich Fischer, Prop. Trader at Bright Trading , Langley, Canada
Apr. 13, 2010 Greg Campion
Apr. 13, 2010 Thomas Campion, Bright Trading, Las Vegas, Nevada
Apr. 13, 2010 Wolfgang Sauermann, Professional Securities Trader, Nashville, Tennessee
Apr. 13, 2010 Chris Garzon, Bright Trading, LLC, Las Vegas, Nevada
Apr. 13, 2010 Carolyn G. Cobourn, Bright Trading, LLC, Las Vegas, Nevada
Apr. 8, 2010 Memorandum from the Division of Trading and Markets regarding a April 6, 2010 Meeting with Representatives of Liquidnet
Apr. 8, 2010 Memorandum from the Division of Trading and Markets regarding an April 6, 2010 Meeting with Representatives of Credit Suisse
Apr. 7, 2010 Memorandum from the Office of Commissioner Aguilar regarding a March 26, 2010 Meeting with Representatives of the Managed Funds Association
Apr. 7, 2010 Memorandum from the Office of Commissioner Aguilar regarding a March 25, 2010 Meeting with Representatives of High Frequency Trading Firms
Apr. 7, 2010 Memorandum from the Office of Commissioner Aguilar regarding an March 23, 2010 Meeting with Representatives of Tradeworx, Inc.
Apr. 7, 2010 Memorandum from the Office of Commissioner Paredes regarding an April 6, 2010 Meeting with Representatives of Davis Polk & Wardwell LLP and Credit Suisse Securities (USA) LLC
Apr. 7, 2010 Steve L. Richert, Cheyenne, Wyoming
Apr. 6, 2010 Memorandum from the Office of Commissioner Walter regarding an April 6, 2010, meeting with representatives of Advanced Execution Services, Credit Suisse and Davis Polk
Apr. 6, 2010 Memorandum from the Office of the Chairman regarding an April 6, 2010 Meeting with Representatives of Credit Suisse
Apr. 5, 2010 Chanyuan P. Wang, Oracle DBA, Software Engineer, VeriSign, North Potomac, Maryland
Apr. 5, 2010 Victor Shakerchi, Las Vegas, Nevada
Apr. 5, 2010 Chris Banyai, CFA, President, Banyai Wealth Management, Tecumseh, Canada
Apr. 1, 2010 Jeff Frerichs, Las Vegas, Nevada
Apr. 1, 2010 James L. Rothenberg, Esq., Holland, Pennsylvania
Apr. 1, 2010 Jason Fournier, Bright Trading, Las Vegas, Nevada
Apr. 1, 2010 Chester S. Spatt, Ph.D, Pamela R. and Kenneth B. Dunn, Professor of Finance and Director, Center for Financial Markets, Carnegie Mellon University, Pittsburgh, Pennsylvania
Mar. 26, 2010 Memorandum from the Office of Commissioner Paredes regarding a Meeting with Representatives of the Managed Funds Association
Mar. 26, 2010 Seth Merrin, Chief Executive Officer, Liquidnet; Howard Meyerson, General Counsel, Liquidnet; and Vlad Khandros, Corporate Strategy, Liquidnet
Mar. 24, 2010 Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of Bright Trading LLC
Mar. 24, 2010 Bob Bright, Chief Executive Officer, Bright Trading LLC; Diane Anderson, Compliance Officer, Bright Trading LLC; and Dennis Dick, CFA, Trading Member, Bright Trading LLC
Mar. 22, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Tradeworx, Inc.
Mar. 18, 2010 Memorandum from the Office of Commissioner Paredes regarding a March 16, 2010, meeting with representatives of the Global Electronic Trading Company
Mar. 17, 2010 Shelly L. Scott, Student, University of California Berkeley, Haas School of Business, Berkeley, California
Mar. 15, 2010 Karim Taleb, Ph.D., Robust Methods LLC, New York, New York
Mar. 12, 2010 Memorandum from the Office of Commissioner Paredes regarding a March 11, 2010, meeting with representatives of the Security Traders Association
Mar. 12, 2010 Memorandum from the Division of Trading and Markets regarding a March 11, 2010, Meeting with Representatives of the Security Traders Association
Mar. 10, 2010 Memorandum from the Division of Trading and Markets regarding a March 1, 2010, Meeting with Representatives of Direct Edge
Mar. 10, 2010 Memorandum from the Division of Trading and Markets regarding a March 4, 2010, Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP
Mar. 10, 2010 Memorandum from the Division of Trading and Markets regarding a February 26, 2010, Telephone Conference with Representatives of the Managed Funds Association
Mar. 9, 2010 Memorandum from the Office of the Chairman regarding a Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP
Mar. 8, 2010 Memorandum from the Office of Commissioner Aguilar regarding a February 26, 2010, Telephone Conference with Representatives of Proprietary Trading Firms
Mar. 8, 2010 Memorandum from the Office of Commissioner Aguilar regarding a February 18, 2010, Meeting with Representatives of Proprietary Trading Firms
Mar. 1, 2010 Memorandum from the Office of the Chairman regarding a March 1, 2010, meeting with representatives of the London Stock Exchange Group and Patton Boggs
Mar. 1, 2010 Randall M. Woith, Frisco, Texas
Feb. 23, 2010 James J. Angel, Associate Professor, McDonough School of Business, Georgetown University; Lawrence E. Harris, Fred V. Keenan Chair in Finance, Professor of Finance and Business Economics, Marshall School of Business, University of Southern California; Chester S. Spatt, Pamela R. and Kenneth B. Dunn Professor of Finance, Director, Center for Financial Markets, Tepper School of Business, Carnegie Mellon University
Feb. 18, 2010 Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of Patton Boggs, RGM Advisors, RGM Advisors, and Quantlab
Feb. 16, 2010 Leland Teschler, Cleveland, Ohio
Feb. 16, 2010 Gerard M. Evans, Los Angeles, California
Feb. 16, 2010 Rick Smith, Encinitas, California
Feb. 16, 2010 Thomas D. Pollan, CEO, Pollan Enterprises, Charlotte, North Carolina
Feb. 16, 2010 Jack T. Martin, Mesquite, Texas
Feb. 16, 2010 John R. Allen, Ph.D., Biotechnolgy Industry, San Diego, California
Feb. 16, 2010 Justin Hudock
Feb. 14, 2010 Brian Klaus, Springfield, Oregon
Feb. 4, 2010 Anonymous
Feb. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a January 29, 2010, meeting with representatives of NYSE Euronext
Feb. 1, 2010 Memorandum from the Division of Trading and Markets regarding a January 29, 2010, meeting with representatives of Morgan Stanley & Co. Incorporated
Feb. 1, 2010 Memorandum from the Division of Trading and Markets regarding a January 27, 2010, meeting with representatives of the Investment Technology Group
Jan. 31, 2010 Harold Shapiro
Jan. 30, 2010 Shane P. Mueller, Investor, Fort Collins, Colorado
Jan. 29, 2010 Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley
Jan. 28, 2010 C. B. Garcia, Ph. D., Professor (retired), University of Chicago, Booth Business School, Rancho Santa Fe, California
Jan. 27, 2010 Memorandum from the Division of Trading and Markets regarding a January 27, 2010 meeting with representatives of the CFA Institute Center for Market Integrity
Jan. 27, 2010 Pat Ross, Boston, Massachusetts
Jan. 26, 2010 Memorandum from the Office of Commissioner Paredes regarding a January 25, 2010, meeting with representatives of BATS Exchange, Inc.
Jan. 26, 2010 Anonymous
Jan. 25, 2010 R. McKay, Hilo, Hawaii
Jan. 23, 2010 Toby L. King, McDonough, Georgia
Jan. 23, 2010 Anonymous
Jan. 22, 2010 Richard Gates, Co-Founder and Portfolio Manager, TFS Capital
Jan. 22, 2010 Chris Crawford
Jan. 20, 2010 Memorandum from the Office of Commissioner Aguilar regarding a January 19, 2010, meeting with representatives of Certain Institutional Traders
Jan. 20, 2010 Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group
Jan. 20, 2010 Jerry Ellis, Small investor, Gilbert, Arizona
Jan. 19, 2010 Anonymous
Jan. 19, 2010 Anonymous
Jan. 19, 2010 Michael Colleps
Jan. 19, 2010 John Rockwell, Individual Equities Investor, Minneapolis, Minnesota
Jan. 19, 2010 Don Wilson
Jan. 19, 2010 Thomas F. Morgan, Penn Valley, California
Jan. 19, 2010 Ted A. Bapty, Ph.D., Nashville, Tennessee
Jan. 19, 2010 Jeff Coffee, Las Vegas, Nevada
Jan. 19, 2010 Chris Ridder
Jan. 19, 2010 Brent Wheelock, Highlands Ranch, Colorado
Jan. 19, 2010 Bob Morris, Lafayette, New Jersey
Jan. 19, 2010 Ed K. Zimmer, Webb City, Missouri
Jan. 19, 2010 Tim Ayles, Napa, California
Jan. 18, 2010 Ronald G. Owens, Zirconia, North Carolina
Jan. 17, 2010 Ken L. Bachmeier, Sr., Spokane, Washington

 

http://www.sec.gov/comments/s7-02-10/s70210.shtml

Modified: 07/01/2014