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Comments on Proposed Rule on Large Trader Reporting System

[Release No. 34-61908; File No. S7-10-10]


Feb. 26, 2013 Memorandum from the Office of Commissioner Paredes regarding a February 26, 2013, meeting with representatives of SIFMA and SIFMA Member Firms
Feb. 13, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Apr. 18, 2012 Memorandum from the Office of Commissioner Walter regarding a February 29, 2012 meeting with representatives of Security Traders Association and the Financial Information Forum
Mar. 29, 2012 Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA
Mar. 26, 2012 Sean Davy, Managing Director, SIFMA
Jan. 25, 2012 Manisha Kimmel, Executive Director, Financial Information Forum
Sep. 14, 2011 Memorandum from the Division of Trading and Markets regarding a September 7, 2011, meeting with representatives of the Security Traders Association
Sep. 8, 2011 Memorandum from the Office of Commissioner Paredes regarding a September 7, 2011, meeting with representatives of the Security Traders Association
Dec. 15, 2010 Sean R., South Bend, Indiana
Dec. 14, 2010 Matthew J. Olen
Oct. 21, 2010 Guido Ravoet, Secretary General, European Banking Federation, and Claude-Alain Margelisch, Chief Executive Officer, Swiss Bankers Association, Basel, Switzerland
Oct. 20, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Securities Industry and Financial Markets Association
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. 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. 19, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America
Jun. 28, 2010 John McCarthy, General Counsel, GETCO LLC
Jun. 24, 2010 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Jun. 22, 2010 Lisa Bleier, Vice President and Senior Counsel, Center for Securities, Trust and Investments, American Banker Association
Jun. 22, 2010 Steven M. Hoffman, Vice President and Counsel, Wellington Management Company, LLP
Jun. 22, 2010 Karrie McMillan, General Counsel, Investment Company Institute
Jun. 22, 2010 Anne Tuttle, EVP and General Counsel, Financial Engines, Palo Alto, California
Jun. 22, 2010 David Oestreicher, Chief Legal Counsel, and Christopher P. Hayes, Senior Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Jun. 22, 2010 Brian F. Gredder, Associate Investment Counsel, Howard Hughes Medical Institute
Jun. 22, 2010 Anonymous
Jun. 22, 2010 Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Jun. 22, 2010 Jan Jacobson, Senior Counsel, Retirement Policy, American Benefits Council
Jun. 22, 2010 Jennifer S. Choi, Associate General Counsel, Investment Adviser Association
Jun. 22, 2010 Lucy Williams, Group Compliance Director, Prudential PLC, London, United Kingdom
Jun. 21, 2010 David L. Goret, Lowenstein Sandler, Attorneys at Law
Jun. 17, 2010 Wheeler
Jun. 16, 2010 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jun. 10, 2010 Montague Guild, Investor, Los Angeles, California
Jun. 10, 2010 Cavan N. Bray, Stock and Options Trader and Invester, Individual Account, Brunswick, Georgia
Jun. 3, 2010 Carolyn K. Warren, Clearwater, Florida
Jun. 2, 2010 Dan D. Shelburne, Individual Investor, Westlake Village, California
Jun. 1, 2010 D. Lu, Wellsburg, West Virginia
May 31, 2010 Ron Kelly, Lewes, Delaware
May 28, 2010 Paul Drescher, Registered Principal, Foothill Securities, Inc., Soquel
May 28, 2010 Julia J. Cauthorn, President, Texan Capital Management, Inc., Houston, Texas
May 27, 2010 Lawrence H. Anvik, President, FASR Inc., Guilford, Connecticut
May 27, 2010 Pat Tedesco, Tuscaloosa, Alabama
May 26, 2010 Wheeler
May 26, 2010 Keith Clough
May 26, 2010 Harry E. Chamblin, MBA, Decatur, Illinois
May 26, 2010 Nick Werle
May 26, 2010 Nick Werle
May 26, 2010 Norris W. Beach, Illinois
May 25, 2010 Scotland C. Settle, Trader and Investor, Aptos, California
May 25, 2010 John Chapin
May 25, 2010 Jonathan D. London, Minneapolis, Minnesota
May 24, 2010 Lee R. Donais, L.R. Donais Company Inc., Lighthouse Point, Florida
May 23, 2010 Robert Meijer, Principal, Major Monitors, San Diego, California
May 20, 2010 Frank Waddell, New York, New York
May 20, 2010 Robert J. Moore, Houston, Texas
May 20, 2010 Anonymous, Wausau, Wisconsin
May 20, 2010 Darrell G. Ferguson, Victoria, Texas
May 19, 2010 Anne Sheehan, Director, Corporate Governance, California State Teachers' Retirement System
May 19, 2010 Peter Shawhan
May 19, 2010 Dan T. Nguyen, Wausau, Wisconsin
May 18, 2010 Alan K. Scheff, CEO, SIG, Branch Manager, RJFS, Scheff Investment Group LLC
May 18, 2010 Chris Smith, Toledo, Ohio
May 18, 2010 Jonathan R. Parker, Plano, Texas
May 18, 2010 Nicholas V. Nomm, San Jose, California
May 18, 2010 Jeffery Rose, Houston, Texas
May 14, 2010 James Calhoon, Retail Investor, Addison, Texas
May 13, 2010 James K. Rutledge
May 13, 2010 Michael Mediano, Chief Investment Officer
May 13, 2010 Nina Orton, Holbrook
May 11, 2010 Alex Gaal
May 11, 2010 Linden Campbell
May 11, 2010 Andrew E. Irwin, Greensboro, North Carolina
May 11, 2010 John W. Smith, Jr., Olympic Valley, California
May 9, 2010 Pamela W. Wooton, Medford, Oregon
May 9, 2010 G. Walsh
May 8, 2010 Perry Dictos
May 8, 2010 Mustafa Yalcinoglu, Columbus, Ohio
May 8, 2010 Fred Hallman
May 8, 2010 Nicholas V. Nomm, San Jose, California
May 7, 2010 Charles Simison, Spanish Fort, Alabama
May 7, 2010 Robert J. Moore, Houston, Texas
May 6, 2010 Memorandum from the Office of Commissioner Paredes regarding an April 23, 2010 meeting with representatives of the Financial Industry Regulatory Authority
May 5, 2010 D. F.
May 4, 2010 Ed Schweitzer
Apr. 28, 2010 Dan D. Shelburne, Apple Investor, Westlake Village, California
Apr. 27, 2010 Courtney Albright, Bloomsburg, Pennsylvania
Apr. 27, 2010 Maxim Golant, Student Bloomsburg University
Apr. 27, 2010 Mary Lou Thomas
Apr. 26, 2010 Cynthia Myers
Apr. 26, 2010 Patrick Graziano
Apr. 26, 2010 Matthew D. Kline
Apr. 26, 2010 Peter Schwartz, Accounting, Hoboken, New Jersey
Apr. 26, 2010 Kevin M. Capuder, Lecturer in Economics, Metropolitan University Prague, Prague, Czech Republic
Apr. 23, 2010 D. L.
Apr. 23, 2010 Memorandum from the Office of Commissioner Aguilar regarding a Meeting with Representatives of FINRA
Apr. 23, 2010 Donald McLeod, Blacksburg, Virginia
Apr. 23, 2010 Edwin A. Johnson, Lincoln, Nebraska
Apr. 21, 2010 Smith James, Graduate Engineer, London, United Kingdom
Apr. 19, 2010 Allison Chen
Apr. 15, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Lime Brokerage LLC
Apr. 15, 2010 John R. Harris, Chief Executive Officer, BondMart Technologies, Inc., Millington, New Jersey
Apr. 14, 2010 Anonymous
Apr. 14, 2010 Anonymous

 

http://www.sec.gov/comments/s7-10-10/s71010.shtml

Modified: 03/18/2013