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Comments on NYSE Rulemaking

Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities

[Release No. 34-65672; File No. SR-NYSE-2011-55]


Submitted Comments

(Click here for meetings with SEC officials)
Apr. 26, 2012 James Toes, President & CEO, and Jennifer Green Setzenfand, Chairman, Security Traders Association, New York, New York
Apr. 10, 2012 Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, Legal & Government Affairs, NYSE Euronext
Mar. 23, 2012 Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA
Mar. 21, 2012 Kurt Schacht, CFA, Managing Director; James Allen, CFA, Head, Capital Markets Policy; Rhodri Preece, CFA, Director, Capital Markets Policy; CFA Institute
Mar. 20, 2012 Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Mar. 7, 2012 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Jan. 3, 2012 Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Dec. 29, 2011 Al Patten
Dec. 7, 2011 Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Dec. 6, 2011 Eric Swanson, Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Dec. 1, 2011 Thomas Dercks, Manhattan, New York
Dec. 1, 2011 Dr. Larry J. Paden, Ph.D., J.D., Bright Trading, Pryor, Oklahoma
Nov. 30, 2011 Mike Stewart, Head of Global Equities, UBS, New York, New York
Nov. 30, 2011 Bosier Parsons, Bright Trading LLC, Colorado Springs, Colorado
Nov. 30, 2011 Suhas Daftuar, Hudson River Trading LLC, New York, New York
Nov. 30, 2011 Laura Kenney
Nov. 30, 2011 Christopher Nagy, Managing Director, Order Routing and Market Data Strategy, TD Ameritrade
Nov. 30, 2011 Bodil Jelsness, Oslo, Norway
Nov. 30, 2011 Robert A. Bright, Chief Executive Officer, and Dennis Dick, CFA, Market Structure Consultant, Bright Trading LLC, Las Vegas, Nevada
Nov. 30, 2011 David Green, Bright Trading, Santa Cruz, California
Nov. 30, 2011 Kurt Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute
Nov. 29, 2011 Wayne Koch, Trader, Bright Trading, Rockford, Illinois
Nov. 29, 2011 Aaron Shafter, President, Great Mountain Capital Management LLC, Lincolnwood, Illinois
Nov. 29, 2011 Jordan Wollin, Las Vegas, Nevada
Nov. 28, 2011 James J. Angel, Associate Professor of Finance, McDonough School of Business, Georgetown University
Nov. 28, 2011 Ullrich Fischer, CTO, PairCo, Surrey, Canada
Nov. 28, 2011 J. Fournier
Nov. 28, 2011 Kevin Basic
Nov. 28, 2011 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Nov. 28, 2011 A. Joseph, Spring Lake, Michigan
Nov. 28, 2011 William Wuepper
Nov. 28, 2011 Ken Voorhies
Nov. 27, 2011 James F. Johannes, Washington
Nov. 4, 2011 Garrett N. Cook
Oct. 17, 2011 Sal L. Arnuk, Joe Saluzzi, and Paul Zajac, Themis Trading LLC, Chatham, New Jersey

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jul. 31, 2012 Memorandum from the Division of Trading and Markets regarding a July 24, 2012, meeting with representatives of CFA Institute
Mar. 13, 2012 Memorandum from the Office of Commissioner Walter regarding a March 12, 2012, meeting with representatives of NYSE Euronext
Jan. 25, 2012 Memorandum from the Division of Trading and Markets regarding a January 24, 2012, telephonic meeting with representatives of SIFMA and SIFMA members
Nov. 30, 2011 Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of Knight Capital Group, Inc.
Nov. 19, 2011 Memorandum from the Office of the Chairman regarding a November 17, 2011, meeting with representatives of NYSE Euronext
Nov. 16, 2011 Memorandum from the Office of Commissioner Walter regarding a November 2, 2011, meeting with representatives of NYSE Euronext

 

http://www.sec.gov/comments/sr-nyse-2011-55/nyse201155.shtml

Modified: 10/16/2014