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Comments on NASDAQ Rulemaking

Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products

(Release No. 34-67411; File No. SR-NASDAQ-2012-043)


Submitted Comments

Sept. 7, 2012 Jurij Trypupenko, Esq., NASDAQ Stock Market LLC
Aug. 30, 2012 Joan C. Conley, Senior Vice President & Corporate Secretary, NASDAQ OMX LLC
Aug. 16, 2012 Andrew Stevens, Legal Counsel, IMC Chicago, LLC d/b/a IMC Financial Markets
Aug. 16, 2012 Ari Burstein, Senior Counsel, Investment Company Institute, Washington, District of Columbia
Aug. 16, 2012 F. William McNabb, Chairman and Chief Executive Officer, Vanguard
Aug. 16, 2012 James E. Ross, State Street Global Advisors
Aug. 15, 2012 Stanislav Dolgopolov, Assistant Adjunct Professor, UCLA School of Law, Los Angeles, California
Jul. 11, 2012 Joseph Cavatoni, Managing Director, and Joanne Medero, Managing Director, BlackRock, Inc.

Meetings with SEC Officials

Oct. 18, 2012 Memorandum from the Division of Trading and Markets regarding a September 11, 2012, meeting with representatives of NASDAQ OMX Group

 

Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program

(Release No. 34-66765; File No. SR-NASDAQ-2012-043)


Submitted Comments

(Click here for meetings with SEC officials)
Jul. 6, 2012 Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX LLC
Jul. 3, 2012 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jun. 20, 2012 Rey Ramsey, Mullins, President and CEO, TechNet, Washington, District of Columbia
Jun. 11, 2012 Gary L. Gastineau, ETF Consultants LLC, Short Hillls, New Jersey
May 4, 2012 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
May 3, 2012 Gus Sauter, Managing Director and Chief Investment Officer, Vanguard
May 3, 2012 Ari Burstein, Senior Counsel, Investment Company Institute
May 2, 2012 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
May 2, 2012 Albert J. Menkveld, Associate Professor of Finance, VU University Amsterdam
Apr. 29, 2012 Amber Anand, Associate Professor of Finance, Syracuse University, Syracuse, New York
Apr. 26, 2012 Timothy Quast, Managing Director, Modern Networks IR LLC, Denver, Colorado
Apr. 26, 2012 Daniel G. Weaver, Ph.D., Professor of Finance, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers Business School, Rutgers University
Apr. 19, 2012 Mark Connell, Attorney, Normandy Beach , New Jersey
Apr. 18, 2012 Anonymous, Amherst, Massachussetts
Apr. 18, 2012 Kathryn Keita, Investor Relations Officer for a large-cap company, Hopkinton, Massachusetts
Apr. 15, 2012 Dezso J. Szalay, Commercial Trader, Chicago, Illinois
Apr. 14, 2012 Jeremiah OConnor, III, Trader, Chicago, Illinois
Apr. 14, 2012 Christopher J. Csicsko, Fort Wayne, Indiana
Apr. 13, 2012 Frank Choi

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jun. 29, 2012 Memorandum from the Division of Trading and Markets regarding a June 27, 2012, meeting with representatives of various ETF Companies

 

http://www.sec.gov/comments/sr-nasdaq-2012-043/nasdaq2012043.shtml

Modified: 10/16/2014