SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on NASDAQ Rulemaking

Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) to Add Securities Included in the Russell 1000 Index ("Russell 1000") and Specified Exchange Traded Products ("ETP") to the Pilot Rule

[Release No. 34-62414; File No. SR-NASDAQ-2010-079]


Sep. 29, 2010 Memorandum from the Office of Commissioner Aguilar regarding an September 28, 2010, meeting with representatives of EWT, LLC
Sep. 20, 2010 Michael A. Petronella, President, CME Group Index Services, LLC
Aug. 26, 2010 Thomas Moran, The NASDAQ OMX Group, Rockville, Maryland
Aug. 18, 2010 Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of NASDAQ OMX Group
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. 23, 2010 Geva Patz, Android Alpha Fund LLC, New York, New York
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 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, Washington, District of Columbia
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. 19, 2010 Alexander M. Cutler, Chair, Business Roundtable Corporate Leadership Initiative
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-nasdaq-2010-079/nasdaq2010079.shtml

Modified: 11/05/2010