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Proposed Rule: Elimination of Flash Order Exception From Rule 602 of Regulation NMS

[Release No. 34-60684; File No. S7-21-09]


Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC
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. 3, 2010 William J. Brodsky, Chairman and Chief Executive Officer, CBOE, Chicago, Illinois
Nov. 18, 2010 John C. Nagel, Managing Director and Deputy General Counsel, Head of Global Compliance, Citadel Investment Group, L.L.C.
Nov. 12, 2010 Memorandum from the Division of Trading and Markets regarding a November 9, 2010, meeting with representatives of the Chicago Board Options Exchange
Nov. 12, 2010 Memorandum from the Division of Trading and Markets regarding a November 9, 2010, meeting with representatives of IMC Financial
Oct. 29, 2010 Janet L. Kissane, SVP, Legal and Corporate Secretary, NYSE Euronext
Oct. 22, 2010 Chris Barnard, Germany
Sep. 29, 2010 John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Sep. 7, 2010 Memorandum from the Office of Commissioner Paredes regarding a September 7, 2010, meeting with representatives of the Chicago Board Options Exchange
Sep. 7, 2010 Memorandum from the Division of Trading and Markets regarding a September 7, 2010, meeting with representatives of the Chicago Board Options Exchange
Aug. 31, 2010 Memorandum from the Office of Commissioner Aguilar regarding an August 27, 2010, meeting with representatives of NASDAQ OMX PHLX
Aug. 24, 2010 Jerry O'Connell, Chief Compliance Officer, Susquehanna International Group, LLP, Bala Cynwyd, Pennsylvania
Aug. 23, 2010 Memorandum from the Office of Commissioner Aguilar regarding an August 23, 2010, meeting with representatives of GETCO LLC and NYSE Euronext
Aug. 23, 2010 Memorandum from the Office of Commissioner Paredes regarding an August 23, 2010, meeting with representatives of GETCO
Aug. 20, 2010 Memorandum from the Office of Commissioner Walter regarding an August 16, 2010, meeting with representatives of Nasdaq OMX
Aug. 19, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 19, 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. 15, 2010 Steve Jackson, Media, Pennsylvania
Aug. 11, 2010 Steven M. Vannelli, Investment Advisor, San Francisco, California
Aug. 11, 2010 Thomas H. Brasso, Jr., Owasso, Oklahoma
Aug. 10, 2010 Thomas F. Price, Managing Director, Operations,Technology & BCP, Securities Industry and Financial Markets Association
Aug. 10, 2010 John A. McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Aug. 9, 2010 Christopher Nagy, Managing Director Order Strategy, TD AMERITRADE, Inc.
Aug. 9, 2010 William J. Brodsky, Chairman and CEO, Chicago Board Options Exchange, Chicago, Illinois
Aug. 9, 2010 Janet McGinness Kissane, SVP & Corporate Secretary, Legal & Government Affairs, NYSE Euronext
Aug. 9, 2010 Joan C. Conley, Senior VP and Corporate Secretary, The NASDAQ OMX Group, Rockville, Maryland
Aug. 6, 2010 John C. Nagel, Managing Director and Deputy General Counsel, Head of Global Compliance, Citadel Investment Group, L.L.C.
Aug. 5, 2010 Sen. Edward E. Kaufman, United States Senate
Jul. 30, 2010 Memorandum from the Office Commissioner Walter regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange
Jul. 29, 2010 Joel and Sherry Baccigalopi
Jul. 29, 2010 Memorandum from the Office of the Chairman regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange
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. 27, 2010 Memorandum from the Division of Trading and Markets regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange
Jul. 27, 2010 Memorandum from the Office of Commissioner Aguilar regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange
Jul. 26, 2010 Tim G. Mooring
Jul. 21, 2010 Shane Hertel, Director Of Operations, Sigdestad Financial, San Diego, California
Jul. 18, 2010 Bryant Washington
Jul. 15, 2010 George Noble
Jul. 15, 2010 Harry Morton, individual investor, Midland, Michigan
Jul. 12, 2010 John R. Marecek
Jul. 10, 2010 Steven M. Vannelli
Jul. 8, 2010 Norman P. Quinn
Jul. 8, 2010 George B. Determann, Louisville, Kentucky
Jun. 10, 2010 Frances Borda
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 a March 31, 2010 Meeting with Representatives of NYSE Euronext
Apr. 7, 2010 Memorandum from the Office of Commissioner Paredes regarding a March 31, 2010 Meeting with Representatives of NYSE Euronext
Apr. 2, 2010 Memorandum from the Office of the Chairman regarding a March 31, 2010 Meeting with Representatives of NYSE ARCA Options and NYSE’s Global Legal Department
Mar. 24, 2010 Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of Bright Trading LLC
Mar. 12, 2010 Memorandum from the Division of Trading and Markets regarding a February 23, 2010, Meeting with Representatives of NASDAQ OMX Group Inc.
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 February 3, 2010, Meeting with Representatives of SIFMA Options Committee
Mar. 8, 2010 Memorandum from the Office of Commissioner Aguilar regarding a February 18, 2010, Meeting with Representatives of Proprietary Trading Firms
Feb. 18, 2010 Matt Amsden
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. 13, 2010 Kim N. Vincent, Burnaby, Canada
Jan. 5, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 9, 2009 meeting with representatives of Direct Edge Holdings, LLC
Jan. 5, 2010 Memorandum from the Office of Commissioner Aguilar regarding a December 1, 2009 meeting with representatives of Chicago Board Options Exchange
Dec. 17, 2009 Edward E. Kaufman, U.S. Senator
Dec. 14, 2009 George Ruhana, CEO, OptionsHouse, LLC
Dec. 10, 2009 Memorandum from the Office of the Chairman regarding a December 9, 2009 Meeting with Representatives of Direct Edge
Dec. 8, 2009 Anthony J. Saliba, Chief Executive Officer, LiquidPoint, LLC, Chicago, Illinois
Dec. 8, 2009 Ryan Fisher, New York, New York
Dec. 8, 2009 Ken Blanton
Dec. 4, 2009 Memorandum from the Division of Trading and Markets concerning an October 28, 2009, meeting with representatives of NYSE Euronext
Dec. 4, 2009 Memorandum from the Division of Trading and Markets concerning an October 19, 2009, meeting with representatives of Morgan Stanley
Dec. 4, 2009 Memorandum from the Division of Trading and Markets concerning a December 2, 2009, meeting with representatives of Knight Capital
Dec. 4, 2009 Memorandum from the Division of Trading and Markets concerning an October 28, 2009, meeting with representatives of Direct Edge
Dec. 4, 2009 Lawrence Harris, Professor of Finance and Business Economics, USC Marshall School of Business, Los Angeles, California
Dec. 1, 2009 Thomas F. Price, Managing Director, Securities Industry and Financial Markets Association, New York, New York
Nov. 28, 2009 Jack G. Levy, Jr., Indianapolis, Indiana
Nov. 25, 2009 Peter Bottini, EVP Trading and Customer Service, and Hillary Victor, Associate General Counsel, optionsXpress, Inc., Chicago, Illinois
Nov. 23, 2009 Douglas J. Engmann, President, Engmann Options, Inc.
Nov. 23, 2009 Michael Vitek, President and COO, X-Change Financial Access LLC
Nov. 23, 2009 John A. McCarthy, General Counsel, Global Electronic Trading Company LLC
Nov. 23, 2009 Janet M. Kissane, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Nov. 23, 2009 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Nov. 23, 2009 Christopher Nagy, Managing Director Order Strategy, TD AMERITRADE, Inc.
Nov. 23, 2009 Karrie McMillan, General Counsel, Investment Company Institute
Nov. 23, 2009 Tony McCormick, CEO, Boston Options Exchange, Chicago, Illinois
Nov. 23, 2009 Richard S. Rosenblatt, CEO, Rosenblatt Securities Inc.
Nov. 23, 2009 Michael J. Simon, Secretary, International Securities Exchange, LLC, New York, New York
Nov. 21, 2009 S. F., Connecticut
Nov. 20, 2009 George Gasparini, President, Casey Securities, LLC
Nov. 20, 2009 Eric Hess, General Counsel, Direct Edge Holdings LLC
Nov. 20, 2009 John C. Nagel, Managing Director and Deputy General Counsel, Head of Global Compliance, Citadel Investment Group, L.L.C.
Nov. 20, 2009 Eric Swanson, BATS Exchange, Inc., Lenexa, Kansas
Nov. 20, 2009 David W. Colwick, Esq., LL.M Candidate, Banking, Corporate and Finance Law, New York, New York
Nov. 18, 2009 William J. Brodsky, Chairman and CEO, Chicago Board Options Exchange, Inc., Chicago, Illinois
Nov. 17, 2009 Memorandum from the Office of Commissioner Aguilar concerning an October 19, 2009, meeting with representatives of Morgan Stanley
Nov. 17, 2009 William A. Thayer, San Diego, California
Nov. 16, 2009 William E. McDonnell, Jr., CCO, Atherton Lane Advisers, LLC, Menlo Park, California
Nov. 12, 2009 Rex Urich DVM, Bend, Oregon
Nov. 12, 2009 Kenton C. Blanton, Fremont, California
Nov. 8, 2009 Bob O., Plymouth, Minnesota
Nov. 6, 2009 Seth Merrin, CEO, Liquidnet, New York, New York
Nov. 3, 2009 Raghavan Guruswami, Ph.D, Hyderabad, India
Nov. 2, 2009 Memorandum from the Office of Commissioner Aguilar concerning an October 16, 2009, meeting with representatives of the International Securities Exchange
Nov. 1, 2009 Dennis B. Fowler, Anderson, South Carolina
Oct. 30, 2009 Jess L. Haberman, West Orange, New Jersey
Oct. 30, 2009 Heinz Geyer, London, United Kingdom
Oct. 29, 2009 Wallace Ungles
Oct. 29, 2009 Bob G. Mall
Oct. 29, 2009 Laurent Mayer, Atherton, California
Oct. 28, 2009 Sue Schneider
Oct. 27, 2009 Matthew A. Haley, Great Falls, Virginia
Oct. 27, 2009 Steven U. Leitner, Esquire, New York, New York
Oct. 27, 2009 Dave R. Kliman, Glen Cove, New York
Oct. 27, 2009 David Blumenthal
Oct. 25, 2009 Timothy J. Moeller
Oct. 24, 2009 Evan Sabattus
Oct. 22, 2009 Memorandum from the Office of Commissioner Aguilar regarding a September 24, 2009, meeting with representatives of Goldman Sachs
Oct. 22, 2009 Memorandum from the Office of the Chairman regarding an October 16, 2009, meeting with representatives of the International Securities Exchange
Oct. 20, 2009 George Determann
Oct. 19, 2009 Memorandum from the Office of Commissioner Paredes concerning an October 19, 2009, meeting with representatives of Morgan Stanley
Oct. 19, 2009 Thomas H. Brasso, Jr., Owasso, Oklahoma
Oct. 16, 2009 Peter J. Chepucavage, The International Association of Small Broker Dealers and Advisors
Oct. 16, 2009 Memorandum from the Division of Trading and Markets regarding an October 16, 2009, meeting with representatives of the International Securities Exchange
Oct. 16, 2009 Memorandum from the Office of Commissioner Casey regarding an October 16, 2009, meeting with representatives of the International Securities Exchange
Oct. 14, 2009 Joseph Affrunti, Great River, New York
Oct. 12, 2009 Mark Nielson, Ph.D., MacroEcon LLC
Oct. 10, 2009 Mark Nielson, Ph.D., MacroEcon LLC, New York
Oct. 9, 2009 Paul M. Graham, Seattle, Washington
Oct. 7, 2009 David Kim
Oct. 7, 2009 Michael E. Russell, Largo, Florida
Oct. 6, 2009 Richard S. Zbyszynski, MBA, Freehold, New Jersey
Oct. 6, 2009 Jeffrey Gross
Oct. 5, 2009 W. Hardy Callcott
Oct. 4, 2009 Bhanu Saini, Purdue University, Columbia University, New York, New York
Oct. 3, 2009 Robert L. Annear, Jr., Engineering, Portland, Oregon
Oct. 3, 2009 Jerry Flores, San Jose, California
Oct. 2, 2009 Memorandum from the Office of the Chairman regarding a September 30, 2009 meeting with repensentatives form the Managed Funds Association
Sep. 30, 2009 Michael Trocchio, Individual Investor
Sep. 30, 2009 William A. Thayer, Certified Financial Planner (retired), San Diego, California
Sep. 29, 2009 Robert Baron
Sep. 29, 2009 Walter Chanter, III, Sharholder, Lake Oswego, Oregon
Sep. 26, 2009 Roy Malis, Certified Financial Planner, Wyncote, Pennsylvania
Sep. 25, 2009 Scott Lederman, Livingston, New Jersey
Sep. 25, 2009 Angelo P. Datis, Los Angeles, California
Sep. 25, 2009 Jeffrey L. Stang
Sep. 24, 2009 Jeffrey Hunt Mantel, The Mantel Group
Sep. 24, 2009 Charles Pierson, III
Sep. 24, 2009 Ken Yu, Shenzhen, China
Sep. 24, 2009 J. J. Tucson
Sep. 24, 2009 Kirill Miroshnychenko, Kyiv, Ukraine
Sep. 23, 2009 Garth Illingworth, Ph. D., University of California
Sep. 23, 2009 Douglas Johnson, Raleigh, North Carolina
Sep. 23, 2009 Matt Knickerbocker
Sep. 22, 2009 Jerry Charlton, Calgary, Canada
Sep. 21, 2009 Michael Doyle, Youngstown, Ohio
Sep. 20, 2009 Anonymous
Sep. 20, 2009 Richard S. Barkley, Phoenixville, Pennsylvania
Sep. 19, 2009 Ted Wolf
Sep. 19, 2009 Junius W. Peake, Monfort Distinguished Professor Emeritus of Finance, University of Northern Colorado, Greeley, Colorado
Sep. 19, 2009 Bobby Johnson, CPA, Huffman, Texas
Sep. 19, 2009 Edward J. Culotta, Cumming, Georgia
Sep. 19, 2009 Christopher J. Wiltse, Lethbridge, Canada
Sep. 18, 2009 Paul Balliet, Cuyahoga Falls, Ohio
Sep. 18, 2009 Greg B. Gilbert, President, Infinity Financial Services
Sep. 18, 2009 Kevin P. Quinn, Los Angeles, California
Sep. 18, 2009 Aadil Farid, Naperviile, Illinois
Sep. 18, 2009 Robert Haley, Network Engineer, Shelbyville, Kentucky
Sep. 18, 2009 Adam Gretzinger, Beaverton, Oregon
Sep. 18, 2009 Richard Gorton, SMTS, AMD, Framingham, Massachusetts
Sep. 18, 2009 Allen A. She, Washington, District of Columbia

 

http://www.sec.gov/comments/s7-21-09/s72109.shtml

Modified: 10/16/2014