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Comments on NYSE Amex LLC 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 Amex Equities Traded Securities

[Release No. 34-65671; File No. SR-NYSEAmex-2011-84]


Submitted Comments

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
Nov. 30, 2011 Shannon Jennewein
Nov. 30, 2011 Christopher Nagy, Managing Director Order Routing and Market Data Strategy, TD Ameritrade
Nov. 30, 2011 Kurt Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute
Nov. 28, 2011 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.

Meetings with SEC Officials

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. 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-nyseamex-2011-84/nyseamex201184.shtml

Modified: 10/16/2014