|
|
 |
Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
[Release No. 34-52416; File No. SR-FINRA-2010-033]
|
| Sep. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an September 28, 2010, meeting with representatives of EWT, LLC |
| Aug. 27, 2010 | Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC |
| Aug. 4, 2010 | Memorandum from the Division of Trading and Markets regarding an August 4, 2010, meeting with representatives of the CME Group |
| Aug. 3, 2010 | Memorandum from the Division of Trading and Markets regarding an August 3, 2010, meeting with representatives of SIFMA |
| Jul. 30, 2010 | Craig Donohue, Chief Executive Officer, CME Group Inc. |
| 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 Office of Commissioner Aguilar regarding a July 27, 2010, meeting with representatives of Instinet Incorporated, Instinet, LLC and Nomura Holding America, Inc. |
| Jul. 27, 2010 | Paul Schott Stevens, President and CEO, The Investment Company Institute |
| Jul. 21, 2010 | Jose Marques, Managing Director, Global Head of Electronic Equity Trading, Deutsche Bank Securities Inc., New York, New York |
| Jul. 19, 2010 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University |
| 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 | Ira P. Shapiro, Managing Director, BlackRock, Inc., San Francisco, California |
| Jul. 19, 2010 | Karrie McMillan, General Counsel, Investment Company Institute |
| 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 | David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP |
| Jul. 18, 2010 | Patrick J. Healy, CEO, Issuer Advisory Group, LLC, Washington, District of Columbia |
| Jul. 15, 2010 | Julie S. Sweet, General Counsel, Secretary, Chief Compliance Officer, Accenture plc |
| 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 Aguilar regarding a July 13, 2010, meeting with representatives of the CME Group |
| Jul. 8, 2010 | Peter Skopp, President, Molinete Trading Inc. |
| Jun. 25, 2010 | Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Jun. 23, 2010 | Craig S. Donohue, Chief Executive Officer, CME Group, Inc. |
| Jun. 22, 2010 | Paul Schott Stevens, President & CEO, Investment Company Institute |
http://www.sec.gov/comments/sr-finra-2010-033/finra2010033.shtml
|
