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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility

(Release No. 34-70048; File No. SR-FINRA-2013-031)


Submitted Comments

Jan. 23, 2014 Stephanie M. Dumont, Senior Vice President and D1rector of Capital Markets Policy, FINRA
Jan. 7, 2014 Janet McGinness, EVP and Corporate Secretary, New York Stock Exchange LLC
Dec. 11, 2013 Stephanie M. Dumont, Financial Industry Regulatory Authority, Washington, District of Columbia
Nov. 26, 2013 David Harris, CEO, The National Stock Exchange, Inc., New Jersey, New Jersey
Oct. 25, 2013 Stephanie M. Dumont, Senior Vice President and Director of Capital Markets Policy, Financial Industry Regulatory Authority, Washington, District of Columbia
Sep. 9, 2013 David Harris, Chairman and CEO, National Stock Exchange, Inc.

Meetings with SEC Officials

Sep. 26, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 26, 2013, meeting with representatives of the National Stock Exchange, Inc.
Jul. 31, 2013 Memorandum from the Division of Trading and Markets regarding a July 31, 2013, conference call with representatives from National Stock Exchange, Inc.

 

http://www.sec.gov/comments/sr-finra-2013-031/finra2013031.shtml

Modified: 10/16/2014