SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on NYSE Rulemaking

Notice of Filing of Proposed Rule Change, as modified by Amendment No. 4, to Amend NYSE Rule 452 and Listed Company Manual Section 402.08 to Eliminate Broker Discretionary Voting for the Election of Directors and Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Votes for Material Amendments to Investment Advisory Contracts

(Release No. 34-59464; File No. SR-NYSE-2006-92)


Jun. 30, 2009 Memorandum from the Office of Commissioner Paredes regarding a June 30, 2009, meeting with a representative of Broadridge Financial Solutions Inc.
Apr. 27, 2009 Steven Gratzer
Apr. 24, 2009 Neils Holch, Executive Director, Shareholder Communications Coalition
Apr. 26, 2009 Marc Cox, Shareholder, Charlotte, North Carolina
Apr. 13, 2009 Frank Curtiss, Head of Corporate Governance, Railpen Investments
Apr. 13, 2009 Michael R. McAlevey, Vice President and Chief Corporate, Securities & Finance Counsel, General Electric Company
Apr. 3, 2009 Thomas F. Price, Managing Director, Securities Industry and Financial Markets Association, New York, New York
Apr. 3, 2009 Keith F. Higgins, Chair, Federal Regulation of Securities Committee, Section of Business Law, American Bar Association
Apr. 2, 2009 Marilyn J. Wasser, Executive Vice President & General Counsel, Realogy Corporation
Apr. 1, 2009 David E. Brown, Jr., Justin R. Howard, Mark F. McElreath, and William S. Ortwein, Alston Bird LLP, Atlanta, Georgia
Mar. 31, 2009 John Endean, President, American Business Conference
Mar. 31, 2009 Steven B. Boehm and Cynthia M. Krus, Sutherland Asbill Brennan LLP, Washington, District of Columbia
Mar. 31, 2009 Doug Pearce, Chief Executive Officer and Chief Investment Officer, British Columbia Investment Management Corporation
Mar. 30, 2009 Lewis B. Campbell, Chairman and Chief Executive Officer, Textron Inc.
Mar. 27, 2009 Sally J. Curley, Senior Vice President, Cardinal Health, Inc.
Mar. 27, 2009 Anne Sheehan, Director, Corporate Governance, California State Teachers' Retirement System's
Mar. 27, 2009 J.J. Mulva, Chairman and Chief Executive Officer, ConocoPhillips
Mar. 27, 2009 Larry S. Dohrs, Vice President, Newground Social Investment
Mar. 27, 2009 Barry M. Olliff, Chief Investment Officer, City of London Investment Company Limited
Mar. 27, 2009 Niels Holch, Executive Director, Shareholder Communications Coalition
Mar. 27, 2009 Carl T. Hagberg
Mar. 27, 2009 McKesson Corporation
Mar. 27, 2009 Anthony J. Horan, Corporate Secretary, JPMorgan Chase & Co.
Mar. 27, 2009 Stephen Griggs, Executive Director, Canadian Coalition for Good Governance
Mar. 27, 2009 R. Scott McMillen, Vice President and Associate General Counsel, The Charles Schwab Corporation
Mar. 27, 2009 James T. Breedlove, Senior Vice President, General Counsel and Secretary, Praxair, Inc.
Mar. 27, 2009 Lydia I. Beebe, Corporate Secretary and Chief Governance Officer, Chevron Corporation
Mar. 27, 2009 Robert Schifellite, President, Investor Communication Solutions, Broadridge Financial Solutions, Inc.
Mar. 27, 2009 Patrick B. Carey, Associate General Counsel & Assistant Corporate Secretary, DTE Energy Company
Mar. 27, 2009 Michael C. Connelly, Vice President and General Counsel, Xcel Energy Inc.
Mar. 27, 2009 Kenneth L. Altman, President, The Altman Group, Inc.
Mar. 27, 2009 Matthew Lepore, Vice President, Chief Counsel-Corporate Governance Assistant General Counsel, Pfizer Inc.
Mar. 27, 2009 David S. Rosenthal, Vice President, Investor Relations, Exxon Mobil Corporation
Mar. 27, 2009 Sarah Wilson, Chief Executive, Manifest- The Proxy Voting Agency
Mar. 27, 2009 David M. Dobkin
Mar. 27, 2009 Kurt N. Schacht, Managing Director, CFA Institute Centre for Financial Market lntegrity and James C. Allen, CFA, Director, Capital Markets Policy CFA Institute Centre for Financial Market Integrity
Mar. 27, 2009 Thomas F. Larkins, Vice President, Corporate Secretary and Deputy General Counsel, Honeywell International Inc.
Mar. 27, 2009 Scott Renwick, Senior Vice President, General Counsel, Unitrin, Inc., Chicago, Illinois
Mar. 27, 2009 E.J. Wunsch, Assistant Secretary and Associate General Counsel, The Procter & Gamble Company
Mar. 27, 2009 Stephen P. Norman, Secretary, American Express Company
Mar. 27, 2009 Daniel Rothstein, Executive Vice President Chief Risk Officer & General Counsel, Provident New York Bancorp
Mar. 27, 2009 Sullivan & Cromwell LLP
Mar. 27, 2009 Jeffrey W. Rubin, Chair, New York State Bar Association Securities Regulation Committee, New York, New York
Mar. 27, 2009 Karrie McMillan, General Counsel, Investment Company Institute
Mar. 27, 2009 Hye-Won Choi, Senior Vice President and Head of Corporate Governance, Teachers Insurance and Annuity Association and College Retirement Equities Fund
Mar. 27, 2009 G. Richard Wagoner, Jr., Chairman and Chief Executive Officer, General Motors Corporation
Mar. 27, 2009 Cary Klafter, Vice President, Legal and Corporate Affairs, and Corporate Secretary, Intel Corporation
Mar. 27, 2009 David T. Hirschmann, President and Chief Executive Officer, U.S. Chamber of Commerce, Washington, District of Columbia
Mar. 27, 2009 Clifford DuPree, Vice President, Corporate Governance & Assistant Corporate Secretary, CA, Inc.
Mar. 27, 2009 Ashbel C. Williams, Executive Director CIO, Florida State Board of Administration, Tallahassee, Florida
Mar. 27, 2009 Marianne Drost, Senior Vice President, Deputy General Counsel and Corporate Secretary, Verizon Communications Inc.
Mar. 27, 2009 John C. Wilcox, Chairman, Sodali
Mar. 27, 2009 Paul Conn, President, Global Capital Markets, Computershare Limited, and David Drake, President, Georgeson Inc.
Mar. 27, 2009 Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey
Mar. 27, 2009 Dale A. Rocheleau, Esq., Sr. Vice President, General Counsel and Corporate Secretary, Central Vermont Public Service Corporation
Mar. 27, 2009 Matthew K. Rose, Chairman, President and Chief Executive Officer, Burlington Northern Santa Fe Corporation
Mar. 26, 2009 Gregory W. Smith, General Counsel, Colorado Public Employees' Retirement Association
Mar. 26, 2009 J. J. Mulva, Chairman and Chief Executive Officer, ConocoPhillips Company
Mar. 26, 2009 Gilbert J. Pomar, III, President and Chief Executive Officer, and Valerie A. Kendall, EVP and Chief Financial Officer, Jacksonville Bancorp, Inc.
Mar. 26, 2009 Cynthia H. Haynes, Vice President, Assistant Secretary and Assistant General Counsel, Texas Instruments Incorporated
Mar. 26, 2009 Thomas M. Moriarty, General Counsel, Secretary and SVP, Pharmaceutical Strategies & Solutions, Medco Health Solutions, Inc.
Mar. 26, 2009 David A. Katz, Wachtell, Lipton, Rosen & Katz
Mar. 26, 2009 Dinesh C. Paliwal, Chairman & Chief Executive Officer, Harman International Industries, Inc.
Mar. 26, 2009 H. Edward Hanway, Chairman and Chief Executive Officer, CIGNA Corporation, Philadelphia, Pennsylvania
Mar. 26, 2009 Judith H. Jones, Vice President and Corporate Secretary, Law & Regulatory Affairs, Aetna Inc.
Mar. 26, 2009 Kenneth G. Frassetto, Director, Treasury Management and Shareholder Services, MGE Energy, Inc.
Mar. 26, 2009 John F. Kuntz, General Counsel & Corporate Secretary, Provident Financial Services, Inc.
Mar. 26, 2009 Charles Jurgonis, Plan Secretary, AFSCME Employees Pension Plan
Mar. 26, 2009 Frances B. Jones, Executive Vice President, General Counsel, Corporate Secretary and Chief Corporate Governance Officer, BB&T Corporation
Mar. 26, 2009 Donald A. French, Treasurer, UQM Technologies, Inc.
Mar. 26, 2009 Robert D. Fatovic, Executive Vice President, General Counsel and Corporate Secretary, Ryder System, Inc.
Mar. 26, 2009 Bronwen L. Mantlo, Associate General Counsel and Assistant Secretary, Eli Lilly and Company
Mar. 26, 2009 Robert J. LaForest, Vice President and Associate General Counsel, Whirlpool Corporation
Mar. 26, 2009 W. James McNerney, Jr., Chairman of the Board, President & Chief Executive Officer, The Boeing Company
Mar. 26, 2009 Gregory A. Robbins, Senior Vice President and General Counsel, Veeco Instruments Inc.
Mar. 26, 2009 Christine P. Richards, Executive Vice President, General Counsel and Secretary, FedEx Corporation
Mar. 25, 2009 William D. Zollars, Chairman, President & CEO, YRC Worldwide Inc.
Mar. 25, 2009 Daniel J. Meaney, Corporate Secretary, Connecticut Water Company
Mar. 25, 2009 Tim Solso, Chairman and Chief Executive Officer, Cummins, Inc.
Mar. 25, 2009 Peter M. Finn, First Vice President, Regulatory Affairs, Astoria Financial Corporation
Mar. 25, 2009 Larry W. Sonsini, Chairman, Proxy Working Group
Mar. 25, 2009 Barbara Trivedi, Shareholder Services Manager, Crescent Banking Company
Mar. 25, 2009 Stephen A. Roell, Chairman and Chief Executive Officer, Johnson Controls, Inc.
Mar. 25, 2009 Cheryl C. Carter, Corporate Secretary & Director of Human Resources, Synalloy Corporation
Mar. 25, 2009 Daniel R. DiMicco, Chairman, President, and Chief Executive Officer, Nucor Corporation
Mar. 25, 2009 William J. O'Shaughnessy, Jr., Assistant General Counsel and Corporate Secretary, Quest Diagnostics
Mar. 25, 2009 Steven J. Johnston, Cincinnati Financial Corporation
Mar. 25, 2009 Kathryn V. Marinello, Chairman and CEO, Ceridian Corporation
Mar. 25, 2009 Robert M. Stanton, Pittsburgh, Pennsylvania
Mar. 25, 2009 Holly Roseberry, Director, Superlattice Power Inc., Las Vegas, Nevada
Mar. 25, 2009 Holly Roseberry, President, EV Innovations, Inc., Las Vegas, Nevada
Mar. 25, 2009 David L. Siddall, Vice President, Deputy General Counsel and Corporate Secretary, Anadarko Petroleum Corporation, The Woodlands, Texas
Mar. 25, 2009 Anne M. Mulcahy, Chair, Corporate Leadership Initiative, Business Roundtable
Mar. 25, 2009 Anne M. Mulcahy, Chairman and Chief Executive Officer, Xerox Corporation
Mar. 24, 2009 William A. Little III, President, Gulf Registrar and Transfer Corporation
Mar. 24, 2009 Laura J. Cataldo, President & CEO, Platinum Stock Transfer
Mar. 24, 2009 Jason Freeman, President, Routh Stock Transfer, Inc.
Mar. 24, 2009 Steven R. Mackey, Executive Vice President, Secretary and General Counsel, Helmerich & Payne, Inc.
Mar. 24, 2009 Robert G. Pearson, President and CEO, Illinois Stock Transfer Company
Mar. 24, 2009 Mary Cleo Fernandez, Transfer Agent, Standard Registrar & Transfer Agency
Mar. 24, 2009 Salli Marinov, President and CEO, First American Stock Transfer, Inc.
Mar. 24, 2009 Steven G. Nelson, President and Chairman of the Board, Continental Stock Transfer & Trust Company
Mar. 24, 2009 James B. Flaws, Vice Chairman & Chief Financial, Corning Incorporated
Mar. 24, 2009 Elisa D. Garcia C., Executive Vice President & General Counsel, Office Depot, Inc.
Mar. 24, 2009 Maura A. Smith, Senior Vice President, General Counsel & Corporate Secretary, International Paper Company
Mar. 24, 2009 George Johnson, Vice President, Securities Transfer Corporation
Mar. 24, 2009 Chris DeRose, Chief Executive Officer, Ohio Public Employees Retirement System
Mar. 24, 2009 D. Craig Nordlund, Senior Vice President, General Counsel & Secretary, Agilent Technologies, Inc.
Mar. 24, 2009 Michael C. Miller, Executive Vice President and General Counsel & Secretary, Monster Worldwide, Inc.
Mar. 24, 2009 Kevin Kopaunik, President, Fidelity Transfer Company
Mar. 24, 2009 Loren K. Hanson, Assistant Secretary, Otter Tail Corporation
Mar. 24, 2009 Jon D. Botsford, Senior Vice President, General Counsel and Secretary, Furniture Brands International, Inc.
Mar. 24, 2009 Jon D. Botsford, Senior Vice President, General Counsel and Secretary, Furniture Brands International, Inc.
Mar. 24, 2009 Dorothy B.Wright, Vice President, Investor Relations and Corporate Secretary, First Financial Holdings, Inc.
Mar. 24, 2009 Jonathan Miller, President, StockTrans, Inc.
Mar. 24, 2009 Donna Dabney, Vice President, Secretary, Corporate Governance Counsel, Alcoa Inc.
Mar. 24, 2009 Toni Zaks, President, OTC Corporate Transfer Service
Mar. 23, 2009 C.W. Moorman, Chairman, President and Chief Executive Officer, Norfolk Southern Corporation
Mar. 23, 2009 Shelly L. Angus, Senior Vice Ptesident/Investor Relations, Washington Banking Company
Mar. 23, 2009 Karen Gross, VP and Secretary, Royal Gold, Inc., Denver, Colorado
Mar. 23, 2009 Alissa E. Ballot, Vice President & Corporate Secretary, FPL Group, Inc.
Mar. 23, 2009 Ronald L. Nelson, Chairman and Chief Executive Officer, Avis Budget Group, Inc.
Mar. 20, 2009 Neila B. Radin, Chair, Securities Law Committee, The Society of Corporate Secretaries and Governance Professionals
Mar. 20, 2009 Bess Joffe, Associate Director, Hermes Equity Ownership Services Ltd.
Mar. 19, 2009 Jonathan D. Urick, Research Analyst, Council of Institutional Investors
Mar. 18, 2009 Ellen M. Fitzsimmons, Senior Vice President, Law and Public Affairs & General Counsel, CSX Corporation
Mar. 17, 2009 Alexander C. Schoch, Executive Vice President, Law, Chief Legal Officer and Secretary, Peabody Energy Corporation
Mar. 17, 2009 Charles G. "Chip" McClure, Chairman, CEO and President, ArvinMeritor, Inc.
Mar. 17, 2009 Roderick A. Palmore, Executive Vice President, General Counsel and Secretary, General Mills, Inc.
Mar. 17, 2009 Jonas Kron, Senior Social Research Analyst, Trillium Asset Management Corporation
Mar. 16, 2009 Dean A. Scarborough, President and Chief Executive Officer, Avery Dennison Corporation
Mar. 16, 2009 Jeffrey D. Morgan, CAE, President & CEO, National Investor Relations Institute
Mar. 13, 2009 Eaton Corporation
Mar. 13, 2009 James McRitchie, Publisher, Corporate Governance
Mar. 13, 2009 Robert McCormick, Esq., Chief Policy Officer, Glass, Lewis Co., San Francisco, California
Mar. 13, 2009 Douglas Ian Shaw, Senior Vice President and Corporate Secretary, Suffolk County National Bank, Suffolk Bancorp
Mar. 12, 2009 Ralph V. Whitworth, Principal, Relational Investors LLC
Mar. 6, 2009 Brian T. Connolly
Mar. 3, 2009 Paul Abel, Suburban Propane Partners, L.P.
Jan. 19, 2009 Doug Pearce, Canadian Coalition for Good Governance
Apr. 26, 2008 Dennis A. Johnson, CalPERS
Apr. 17, 2008 Ann Yerger, Council of Insitutional Investors
Apr. 17, 2008 William B. Patterson, CtW Investment Group
Mar. 31, 2008 Kurt N. Schacht, CFA Institute Centre for Financial Market lntegrity
Nov. 5, 2007 Amy Borrus, Council of Institutional Investors
Oct. 26, 2007 Peter H. Mixon, Calpers
Jun. 25, 2007 John Endean, American Business Conference
Jun. 13, 2007 Michael McCauley, State Board 0f Admin of Florida
Jun. 13, 2007 Michael McCauley, State Board of Admin. of Florida
Jun. 9, 2007 Paul Schott Stevens, ICI
Jun. 6, 2007 William B. Patterson, CtW Investment Group
Jun. 5, 2007 Ann Yerger, Council of Insititutional Investors
Jan. 16, 2007 John Endean, American Business Conference
Dec. 18, 2006 Paul Schott Stevens, ICI
Nov. 20, 2006 Paul Schott Stevens, ICI
Nov. 17, 2006 Paul Abel, Suburban Propane Partners LP
Nov. 13, 2006 David C. Chavern, U.S. Chamber of Commerce

 

http://www.sec.gov/comments/sr-nyse-2006-92/nyse200692.shtml

Modified: 10/16/2014