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Comments on NASDAQ Rulemaking

Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares

(Release No. 34-72350; File No. SR-NASDAQ-2014-020)


Submitted Comments

Oct. 31, 2014 Thomas E. Faust, Jr., Chairman and Chief Executive Officer, Eaton Vance Corp., Boston, Massachusetts
Oct. 30, 2014 Daniel J. McCabe, Chief Executive Officer, Precidian Investments LLC
Sep. 12, 2014 Jonathan Cayne, Sr. Associate General Counsel, NASDAQ OMX LLC, Rockville, Maryland
Jul. 3, 2014 Thomas E. Faust Jr., Chairman & Chief Executive Officer, Eaton Vance Corp.

Meetings with SEC Officials

Oct. 31, 2014 Memorandum from the Office of Commissioner Kara Stein regarding an October 31, 2014, telephone call with Nick Dunbar

 

Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares

(Release No. 34-71657; File No. SR-NASDAQ-2014-020)


Apr. 1, 2014 Eric W. Noll, President and Chief Executive Officer, ConvergEx Group, LLC
Apr. 1, 2014 Avi Nachmany, Co-Founder, Director of Research, E.V.P., Strategic Insight, New York NY, New York
Mar. 31, 2014 Robert S. Tull, Jr., Consultant to Financial Service companies and governments, Levittown, Pennsylvania
Mar. 27, 2014 Christopher L. Davis, President, Money Management Institute

 

http://www.sec.gov/comments/sr-nasdaq-2014-020/nasdaq2014020.shtml

Modified: 10/31/2014