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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers

(Release No. 34-70676; File No. SR-FINRA-2013-042)


Submitted Comments

(Click here for meetings with SEC officials)
Feb. 1, 2014 Tim Quast, President, ModernIR
Jan. 15, 2014 Brant K. Brown, Associate General Counsel, FINRA
Nov. 15, 2013 Janet McGinness, EVP and Corporate Secretary, NYSE Euronext
Nov. 12, 2013 Elizabeth K. King, Global Head of Regulatory Affairs, KCG Holdings, Jersey City, New Jersey
Nov. 12, 2013 William White, Head of Electronic Trading, Barclays Capital Inc.
Nov. 12, 2013 Manisha Kimmel, Executive Director, Financial Information Forum
Nov. 12, 2013 Ari Burstein, Senior Counsel, Securities Regulation - Capital Markets, Investment Company Institute
Nov. 12, 2013 Howard Meyerson, General Counsel, Liquidnet, Inc., New York, New York
Nov. 12, 2013 Thomas M. Carter, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
Nov. 12, 2013 Scott C. Goebel, SVP, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Nov. 11, 2013 Donald Bollerman, Head of Market Operations, IEX Group, Inc., New York, New York
Nov. 11, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Mar. 11, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 11, 2014, meeting with IEX Services LLC

 

http://www.sec.gov/comments/sr-finra-2013-042/finra2013042.shtml

Modified: 03/12/2014