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Comments on Proposed Rule: Risk Management Controls for Brokers or Dealers with Market Access

[Release No. 34-61379; File No. S7-03-10]


Sep. 10, 2010 Timothy Rodenski, Independent Trader, Newburgh, New York
Aug. 11, 2010 Reps. Kenny Marchant, Randy Neugebauer, and Pete Sessions, U.S. House of Representatives
Aug. 5, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Jul. 30, 2010 Memorandum from the Office of Commissioner Walter regarding a July 27, 2010, meeting with representatives of Instinet, LLC
Jul. 29, 2010 Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of FTEN, Inc.
Jul. 29, 2010 Memorandum from the Office of the Chairman regarding a July 28, 2010, meeting with representatives of Instinet, Nomura and Promontory Financial
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 Division of Trading and Markets regarding a July 28, 2010, meeting with representatives of the SIFMA Equity Options Trading Committee
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. 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 July 8, 2010, meeting with representatives of Headlands Technologies LLC
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Jun. 21, 2010 Memorandum from the Division of Trading and Markets regarding a June 17, 2010, meeting with representatives of J.P. Morgan
Jun. 9, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
May 28, 2010 Steven Vannelli
May 20, 2010 Memorandum from the Division of Trading and Markets regarding a May 19, 2010, conference call with representatives of Rosenblatt Securities Inc.
May 13, 2010 Michael Mediano
May 6, 2010 John M. Damgard, President, Futures Industry Association
Apr. 26, 2010 Richard D. Berliand, Managing Director and Head of Prime Services and Market Structure Group, J.P. Morgan and John J. Hogan, Managing Director and Chief Risk Officer, Investment Bank, J.P. Morgan
Apr. 20, 2010 Christopher Carter, Conshohocken, Pennsylvania
Apr. 16, 2010 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Apr. 15, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Lime Brokerage LLC
Apr. 14, 2010 Edward J. Joyce, President and Chief Operating Officer, Chicago Board Options Exchange, Incorporated, Chicago, Illinois
Apr. 9, 2010 Joseph M. Velli, Chairman and CEO, BNY ConvergEx Group, LLC, New York, New York
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. 5, 2010 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York
Apr. 1, 2010 John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Mar. 31, 2010 Edward Wedbush, President, Wedbush Securities Inc. and Jeff Bell, Executive Vice President, Wedbush Securities Inc.
Mar. 31, 2010 Jose Marques, Managing Director, Global Head of Electronic Equity Trading, Deutsche Bank Securities Inc.
Mar. 30, 2010 Andrew C. Small, General Counsel, Scottrade, Inc.
Mar. 30, 2010 J. Ronald Morgan, Managing Director, Goldman, Sachs & Co. and Tim T. Furey, Managing Director, Goldman Sachs Execution & Clearing, L.P.
Mar. 29, 2010 Ted Myerson, Chief Executive Officer; Doug Kittelsen, Chief Technology Officer; and M. Gary LaFever, General Counsel; FTEN, Inc.
Mar. 29, 2010 Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC
Mar. 29, 2010 Gary DeWaal, Newedge Group
Mar. 29, 2010 Sandor G. Lehoczky, Managing Director, Jane Street Holding, LLC
Mar. 29, 2010 P. Mats Goebels, Managing Director, General Counsel, Investment Technology Group, Inc.
Mar. 29, 2010 John N. Jacobs, Chief Operations Officer and Director of Operations, Lime Brokerage LLC
Mar. 29, 2010 Nicole Harner Williams, Vice President, Associate General Counsel, Penson Financial Services, Inc.
Mar. 29, 2010 Ari Burstein, Senior Counsel, Investment Company Institute
Mar. 29, 2010 Janet M. Kissane, Senior Vice President Legal & Corporate Secretary, Office of the General Counsel, NYSE Euronext, on behalf of the New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca Inc.
Mar. 29, 2010 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
Mar. 29, 2010 Kimberly Unger, Executive Director, Security Traders Association of New York, Inc.
Mar. 29, 2010 Timothy J. Mahoney, Chief Executive Officer; Marybeth Shay, Senior Managing Director, Sales and Marketing; and Vivian A. Maese, General Counsel and Corporate Secretary; BIDS Trading, L.P.
Mar. 26, 2010 Kevin Cuttica, Chief Executive Officer, and David DeArmey, Chief Operating Officer, Sun Trading LLC
Mar. 26, 2010 Jeffrey S. Davis, Vice President and Deputy General Counsel, NASDAQ OMX
Mar. 26, 2010 Eric W. Hess, Esq., General Counsel, Direct Edge Holdings LLC, Jersey City, New Jersey
Mar. 26, 2010 Christopher Lee, Global Head of Market Access, Fortis Bank Nederland and Paul Willis, Global Compliance Officer, Fortis Bank Nederland, London, United Kingdom
Mar. 25, 2010 David A. Marshall, Senior Vice President Financial Markets Group, Federal Reserve Bank of Chicago
Mar. 25, 2010 Marcia E. Asquith, Senior Vice President and Corporate Secretary, Financial Industry Regulatory Authority
Mar. 24, 2010 Ryan Thatcher, Corporate Accountant, Baker Perkins, Inc.
Mar. 24, 2010 Jesse Lawrence, Director and Managing Counsel, Pershing LLC, Jersey City, New Jersey
Mar. 22, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Tradeworx, Inc.
Mar. 21, 2010 Eric J. Swanson, SVP & General Counsel, BATS Exchange, Inc.
Mar. 18, 2010 Memorandum from the Division of Trading and Markets regarding a March 18, 2010, meeting with representatives of BIDS Trading
Mar. 16, 2010 Douglas J. Engmann, President and C. Mark Bold, Senior Adviser, Engmann Options, Inc., San Francisco, California
Mar. 13, 2010 D. Furr
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 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 18, 2010, Meeting with Representatives of Proprietary Trading Firms
Mar. 8, 2010 Memorandum from the Division of Trading and Markets regarding a March 5, 2010, conference call with representatives of Pershing LLC
Feb. 26, 2010 Memorandum from the Division of Trading and Markets regarding a February 25, 2010, meeting with representatives of Pershing LLC
Feb. 21, 2010 Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York
Feb. 15, 2010 Matthew K. Samelson, Principal, Woodbine Associates, Stamford, Connecticut
Feb. 11, 2010 Evan Berquist, Stanford, California
Feb. 3, 2010 Michael Gareri, CEO, Microtrade Networks, Inc. member FINRA/SIPC, Irvine, California
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
Feb. 1, 2010 Donald L. Withrow, Jr., President and CEO, WithTrader, LLC, Cypress, Texas
Jan. 29, 2010 Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley
Jan. 29, 2010 Memorandum from the Office of Commissioner Aguilar regarding a January 22, 2010 meeting with representatives of Barclays Capital
Jan. 26, 2010 Scott B. Hennessey, Cary, Illinois
Jan. 20, 2010 Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group

 

http://www.sec.gov/comments/s7-03-10/s70310.shtml

Modified: 12/28/2010