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Comments on NSCC Rulemaking

Notice of Filing of Proposed Rule Change to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs

(Release No. 34-69313; File No. SR-NSCC-2013-02)


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 5, 2013 Scott C. Goebel, SVP, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Nov. 1, 2013 James P. Selway III, Managing Director, Head of Electronic Brokerage, and Mark Solomon, Managing Director and Deputy General Counsel; Investment Technology Group, Inc., New York, New York
Sep. 11, 2013 Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Sep. 5, 2013 John Nagel, Managing Director and General Counsel, Citadel Securities, Chicago, Illinois
Aug. 20, 2013 Thompson E. Larry, Managing Director and DTCC General Counsel, New York, New York
Aug. 7, 2013 Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA
Aug. 5, 2013 John C. Nagel, Managing Director and General Counsel, Citadel Securities
Aug. 5, 2013 Paul T. Clark and Anthony C.J. Nuland, Seward & Kissel, LLP
Aug. 5, 2013 Mark Solomon, Managing Director and Deputy General Counsel, Investment Technology Group, Inc., New York, New York
Aug. 5, 2013 Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Jun. 26, 2013 Scott C. Goebel, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Jun. 24, 2013 Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA
Jun. 13, 2013 John C. Nagel, Esq., Managing Director and General Counsel, Citadel Securities, Chicago, Illinois
Jun. 10, 2013 Larry E. Thompson, Managing Director and General Counsel, DTCC, New York, New York
May 22, 2013 Christopher M. Springer, CFO, ConvergEx Execution Solutions LLC, New York, New York
May 2, 2013 Christopher M. Springer, Chief Financial Officer & Executive Managing Director, ConvergEx Execution Solutions LLC
May 1, 2013 Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Apr. 25, 2013 Julian Rainero, Bracewell & Giuliani LLP, on behalf of ITG Inc.
Apr. 25, 2013 Scott C. Goebel, Senior Vice President, General Counsel, Fidelity Management & Research Co., Boston, Massachusetts
Apr. 25, 2013 Giovanni Favretti, CFA, Managing Director, Deutsche Bank
Apr. 25, 2013 Leonard J. Amoruso, Executive Vice-President, General Counsel, Knight Capital Group, Inc., and Matthew S. Levine, Managing Director, Co-Chief Compliance Officer, Knight Capital Americas LLC
Apr. 23, 2013 Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA
Apr. 22, 2013 Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Apr. 18, 2013 John C. Nagel, Esq., Managing Director and General Counsel, Citadel Securities, Chicago, Illinois
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Oct. 2, 2013 Memorandum from the Office of Commissioner Troy A. Paredes regarding an October 2, 2013, meeting with representatives of The Depository Trust and Clearing Corporation
Sep. 17, 2013 Memorandum from the Division of Trading and Markets regarding an September 17, 2013, meeting with representatives of the National Securities Clearing Corporation
Sep. 12, 2013 Memorandum from the Division of Trading and Markets regarding an September 12, 2013, meeting with representatives of The Depository Trust and Clearing Corporation
Aug. 20, 2013 Memorandum from the Division of Trading and Markets regarding an August 20, 2013, meeting with representatives of SIFMA
Aug. 12, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 12, 2013 meeting with Representatives from ConvergEx
Aug. 12, 2013 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 25, 2013 meeting with Representatives from Citadel
Aug. 12, 2013 Memorandum from the Division of Trading and Markets regarding an August 12, 2013, meeting with staff from the U.S. House of Representatives Committee on Financial Services Subcommittee on Oversight and Investigations
Aug. 6, 2013 Memorandum from the Office of Commissioner Walter regarding a July 26, 2013, meeting with representatives of Citadel
Aug. 6, 2013 Memorandum from the Office of Commissioner Walter regarding a July 30, 2013, meeting with representatives of ConvergEx
Jul. 30, 2013 Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with representatives of ConvergEx
Jul. 19, 2013 Memorandum from the Division of Trading and Markets regarding a July 18, 2013, conference call with representatives of Charles Schwab
Jun. 25, 2013 Memorandum from the Office of Commissioner Paredes regarding a June 25, 2013, meeting with representatives of Citadel
Jun. 18, 2013 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of Citadel
Apr. 16, 2013 Memorandum from the Division of Trading and Markets regarding an April 10, 2013, meeting with representatives of Fidelity Investments and Charles Schwab

 

http://www.sec.gov/comments/sr-nscc-2013-02/nscc201302.shtml

Modified: 11/13/2013