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Comments on NSCC Rulemaking

Notice of Filing of Proposed Rule Change Relating to Trade Submission Requirements and Fees and Pre-Netting

(Release No. 34-53742; File No. SR-NSCC-2006-04)



Jun. 30, 2008 Memorandum from the Division of Trading and Markets regarding a June 30, 2008, meeting with representatives from Knight Capital Group, Automated Trading Desk, BNY/ConvergeX, BATS, Wedbush Morgan Securities, and NSCC
Apr. 30, 2008 Memorandum from the Division of Trading and Markets regarding a April 29, 2008, meeting with representatives from Knight Capital Group, Automated Trading Desk, BNY/ConvergeX, Citadel Investment Group, Direct Edge ECN, GETCO LLC, Penson Financial Services, Inc., and Wedbush Morgan Securities
Mar. 4, 2008 Memorandum from the Division of Trading and Markets regarding a February 29, 2008, teleconference with staff from Wedbush Morgan Securities
Feb. 28, 2008 Memorandum from the Division of Trading and Markets regarding a February 28, 2008, meeting with staff from Citigroup Global Markets, Inc.
Feb. 28, 2008 Memorandum from the Division of Trading and Markets regarding a February 28, 2008, teleconference with staff from BATS Trading, Inc.
Feb. 28, 2008 Memorandum from the Division of Trading and Markets regarding a February 26, 2008, teleconference with staff from UBS Securities, LLC
Nov. 6, 2007 Memorandum from the Division of Market Regulation regarding a October 2, 2007, meeting with representatives of Knight Capital Group, Automated Trading Desk, BNY Brokerage, Citadel Group, BATS Trading, Direct Edge ECN, UBS Securities, and Wedbush Morgan Securities
Nov. 6, 2007 Memorandum from the Division of Market Regulation regarding a October 15, 2007, meeting with representatives of the National Securities Clearing Corporation
Nov. 10, 2006 Jim Richards, Executive Vice President, Wedbush Morgan Securities, Los Angeles, California
Oct. 6, 2006 Steve Swanson, President and CEO, Automated Trading Desk, LLC
Sep. 27, 2006 Norman Eaker, Principal, Operations Division, Edward Jones, St. Louis, Missouri
Sep. 19, 2006 Memorandum from the Office of Commissioner Atkins regarding a September 14, 2006 meeting with representatives of the Depository Trust and Clearing Corporation
Aug. 18, 2006 Larry E. Thompson, General Counsel, National Securities Clearing Corporation
Jun. 9, 2006 Barclay M. Frey, Managing Director, BNY Brokerage Inc.
Jun. 6, 2006 Keith F. Karlawish, CFA, BB&T Asset Management
Jun. 5, 2006 Robert Alumbaugh, Chief Executive Officer, Tradebot Systems, Inc.
May 30, 2006 Steve Swanson, CEO and President, Automated Trading Desk, LLC, Mt. Pleasant, South Carolina
May 30, 2006 Leonard J. Amoruso, Senior Managing Director and Chief Compliance Officer, Knight Capital Group, Inc., Jersey City, New Jersey
May 30, 2006 Matthew Price, Executive Director, UBS Securities LLC, Stamford, Connecticut
May 25, 2006 R. J. Richards, Executive Vice President, Wedbush Morgan Securities, Los Angeles, California
May 9, 2006 Stephen Schuler, Managing Member/Co-founder, Getco Holding Company

 

 

http://www.sec.gov/comments/sr-nscc-2006-04/nscc200604.shtml

Modified: 10/16/2014