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Comments on NASDAQ Rulemaking

Notice of Filing of Proposed Rule Change to Adopt a Modified Sponsored Access Rule

(Release No. 34-59275; File No. SR-NASDAQ-2008-104)


Nov. 23, 2009 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Nov. 19, 2009 Memorandum from the Division of Trading and Markets regarding a November 19, 2009 conference call with representatives of SIFMA and SIFMA Member Firms
Nov. 19, 2009 Memorandum from the Division of Trading and Markets regarding a November 18, 2009 meeting with representatives of BNY ConvergEx
Jun. 30, 2009 John N. Jacobs, Chief Operations Officer, Lime Brokerage LLC, New York, New York
Jun. 15, 2009 Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York
May 11, 2009 Memorandum from the Division of Trading and Markets regarding an April 30, 2009 meeting with representatives of SIFMA and SIFMA Member Firms
Apr. 29, 2009 Gary LaFever, Chief Corporate Development Officer, FTEN, Inc.
Apr. 20, 2009 Memorandum from the Division of Trading and Markets regarding an April 16, 2009 meeting with representatives of FTEN
Mar. 19, 2009 Memorandum from the Division of Trading and Markets regarding a March 10, 2009 conference call with representatives of the Investment Company Institute
Feb. 27, 2009 Nicole Harner Williams, Vice President, Associate General Counsel, Penson Financial Services, Inc.
Feb. 26, 2009 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Feb. 24, 2009 Stuart J. Kaswell, Executive Vice President & General Counsel, Managed Funds Association
Feb. 23, 2009 Jeff Bell, Executive Vice President, Clearing and Technology Group, Wedbush Morgan Securities, Los Angeles, California
Feb. 23, 2009 Michael A. Barth, Executive Vice President, OES MarketGroup, Newark, New Jersey
Feb. 19, 2009 Ted Myerson, President, FTEN, Inc.
Feb. 19, 2009 Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Feb. 17, 2009 John N. Jacobs, Director of Operations, Lime Brokerage LLC, New York, New York
Feb. 5, 2009 Harvey Cloyd, Chief Executive Officer, Electronic Transaction Clearing, Inc.

 

http://www.sec.gov/comments/sr-nasdaq-2008-104/nasdaq2008104.shtml

Modified: 12/04/2009