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Comments on NASDAQ Rulemaking

Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability

(Release No. 34-67507; File No. SR-NASDAQ-2012-090)


Submitted Comments

(Click here for meetings with SEC officials)
Dec. 7, 2012 Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX
Nov. 23, 2012 Mark Shelton, Group Managing Director, General Counsel UBS Americas, UBS Securities LLC
Nov. 23, 2012 Tim Mann
Nov. 23, 2012 Douglas G. Thompson, Jr., Michael G. McLellan, and Robert O. Wilson, Finkelstein Thompson LLP; Christopher Lovell, Victor E. Stewart and Fred T. Isquith, Lovell Stewart Halebian Jacobson LLP; and Jacob H. Zamansky and Edward H. Glenn, Jr., Zamansky & Associates LLC
Nov. 21, 2012 Jeremy Abelson, MJA Capital
Nov. 20, 2012 Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Nov. 13, 2012 John Robinson
Sep. 17, 2012 Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX
Aug. 29, 2012 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Aug. 23, 2012 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business, Washington, D.C.
Aug. 22, 2012 Douglas G. Thompson, Jr., Michael G. McLellan, and Robert O. Wilson, Finkelstein Thompson LLP; Christopher Lovell, Victor E. Stewart, and Fred T. Isquith, Lovell Stewart Halebian Jacobson LLP; Jacob H. Zamansky and Edward H. Glenn, Jr., Zamansky & Associates LLC
Aug. 22, 2012 Andrew J. Entwistle, Esq. and Vincent R. Cappucci, Esq., Entwistle & Cappucci LLP
Aug. 22, 2012 Mark Shelton, General Counsel, UBS Americas
Aug. 22, 2012 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Aug. 22, 2012 Daniel Keegan, Managing Director, Citigroup Global Markets Inc.
Aug. 22, 2012 Benjamin Bram, Watermill Institutional Trading LLC, New York, New York
Aug. 21, 2012 John C. Nagel, Managing Director and General Counsel, Citadel Securities
Aug. 21, 2012 Eugene P. Torpey, Chief Compliance Officer, Vandham Securities Corp.
Aug. 20, 2012 Sis DeMarco, Chief Compliance Officer, Triad Securities Corp.

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jan. 7, 2013 Memorandum from the Division of Trading and Markets regarding a January 7, 2013, meeting with representatives of UBS Securities LLC
Oct. 25, 2012 Memorandum from the Division of Trading and Markets regarding an October 25, 2012, meeting with representatives of NASDAQ OMX
Sept. 21, 2012 Memorandum from the Division of Trading and Markets regarding a September 19, 2012, meeting with representatives from Citigroup Global Markets Inc.
Sept. 13, 2012 Memorandum from the Office of Commissioner Troy A. Paredes regarding a September 11, 2012, meeting with representatives of NASDAQ OMX
Aug. 30, 2012 Memorandum from the Division of Trading and Markets regarding an August 29, 2012, telephone conversation with a representative of Knight Capital Group, Inc.

 

http://www.sec.gov/comments/sr-nasdaq-2012-090/nasdaq2012090.shtml

Modified: 10/16/2014