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 Investors' Exchange LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934

[Release No. 34-75925, File No. 10-222]


Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type A: 15
Jun. 17, 2016 Brian F. Mannix, Research Professor, GW Regulatory Studies Center, Washington, District of Columbia
Jun. 17, 2016 Patricia Lemberg
Jun. 17, 2016 Barry Bautista
Jun. 16, 2016 Anonymous
Jun. 16, 2016 Rep. Steve Israel, Member of Congress, Washington, District of Columbia
Jun. 13, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Jun. 10, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Jun. 3, 2016 Peter L. Boatman, Emeritus Managing Partner for Internet Information and Networking Services, EDIGuys.net, LLC, Afton, Minnesota
May 31, 2016 Daniel Godden, Oceano, California
May 27, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
May 27, 2016 Robert S. Johnson, Westerville, Ohio
May 26, 2016 Massoud Maqbool, CEO, Latency Innovation Corp
May 21, 2016 Greg Lysko, Baltimore, Maryland
May 19, 2016 Amir C. Tayrani, Gibson, Dunn & Crutcher LLP, Washington, District of Columbia
May 11, 2016 Cindy Dall, Santa Barbara, California
May 11, 2016 Jon Tyson, Ph.D., Houston, Texas
May 7, 2016 William Ferber, Diamond Bar, California
May 5, 2016 Marcie Frost, Chair, Washington State Investment Board, and James L. Mclntire, Washington State Treasurer/Board Member
Apr. 27, 2016 Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Apr. 25, 2016 Abraham Kohen, President, AK Financial Engineering Consultants LLC, New York, New York
Apr. 22, 2016 Thomas Boittiaux, Ottawa, Canada
Apr. 20, 2016 Patrick Nicholas
Apr. 20, 2016 Kevin J. Weldon
Apr. 18, 2016 Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Apr. 14, 2016 Jason Gilliland and Maggie Goodlander, Students, Yale Law School
Apr. 14, 2016 John Nagel, Esq., Managing Director, Citadel LLC, Chicago, Illinois
Apr. 10, 2016 Michael Chung and Jayoung Jeon
Apr. 9, 2016 Kelly Morris, Actors Equity Association, Davenport, Florida
Apr. 5, 2016 D.B.
Apr. 2, 2016 Robert Young, Business Instructor, Birmingham, Alabama
Mar. 31, 2016 Stephanie Cull
Mar. 28, 2016 Ed Trirogoff, Winnetka, California
Mar. 27, 2016 Benjamin M. Stork, Vero Beach, Florida
Mar. 25, 2016 Chris Romer, Cleveland, Ohio
Mar. 22, 2016 Craig A. Husting, CFA, Chief Investment Officer, Public School & Education Employee Retirement Systems of Missouri
Mar. 22, 2016 Stephen Feldscher
Mar. 21, 2016 Kevin McCreadie, President and CIO, AGF Investment Inc.; Steve Berexa, Global CIO Equity, Allianz Global Investors; Bryan Thomson, Senior Vice President, Public Equities, British Columbia Investment Management; Faith Ward, Chief Responsible Investment and Risk Officer, Environment Agency Pension Fund; Michelle de Cordova, Director, Corporate Engagement Public Policy, ESG Services, NEI Investments; Oyvind Schanke, CIO Asset Strategies, Norges Bank Investment Management; and David H. Zellner, Chief Investment Officer, Wespath Investment Management
Mar. 20, 2016 Ben D, MD, Physician, Small Business Owner, Houston, Texas
Mar. 20, 2016 Rebecca A. Cole, Madison, Wisconsin
Mar. 18, 2016 Alex E. Sarly, Director, Solar Project Development Brightfields Development LLC, Wellesley Hills, Massachusetts
Mar. 18, 2016 Anonymous
Mar. 17, 2016 Marina Romani, Student, Yale Law School Financial Markets and Corporate Law Clinic, New Haven, Connecticut
Mar. 17, 2016 Philip Kiely, Student
Mar. 17, 2016 Jacob John, New York, New York
Mar. 16, 2016 D. Keith Ross, Jr., Chairman and CEO, PDQ Enterprises, LLC
Mar. 16, 2016 Joan Conley, Senior Vice President and Corporate Secretary, Nasdaq, Inc., Rockville, Maryland
Mar. 16, 2016 James C. Place, Lyndeborough, New Hampshire
Mar. 15, 2016 Karen Sinclair, Individual Investor, Ohio
Mar. 14, 2016 Anonymous
Mar. 11, 2016 Abraham Kohen, AK Financial Engineering Consultants, LLC, New York, New York
Mar. 11, 2016 Andrew Walworth, MA, Education Specialist, Saint Petersburg, Florida
Mar. 10, 2016 Anne Sheehan, Director of Corporate Governance, California State Teachers' Retirement System, West Sacramento, California
Mar. 10, 2016 Nate Smith, Minneapolis, Minnesota
Mar. 10, 2016 Sal Arnuk and Joe Saluzzi, Themis Trading LLC, Chatham, New Jersey
Mar. 9, 2016 Ron Hovanec
Mar. 8, 2016 David W. Sjoding, MPA, Olympia, Washington
Mar. 7, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Mar. 7, 2016 Rep. Brad Sherman, Member of Congress
Mar. 7, 2016 Theocharis Michail, Individual investor, Cyprus
Mar. 5, 2016 Andrew Metzger
Mar. 4, 2016 Donald J. Barth
Mar. 4, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Mar. 3, 2016 Jonathan Bensky
Mar. 3, 2016 Mary Ann Burns, Chief Operating Officer, FIA
Mar. 2, 2016 Charles M. Jones, Robert W. Lear Professor of Finance and Economics, Columbia Business School, New York, New York
Mar. 2, 2016 John Comerford, Executive Managing Director, Global Head of Trading Research, Instinet Holdings Incorporated, New York, New York
Mar. 2, 2016 Andrew J.M. Spokes, Managing Partner, Farallon Capital Management, L.L.C., San Francisco, California
Mar. 1, 2016 Muralidhara Raju, Houston, Texas
Feb. 29, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Feb. 29, 2016 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Feb. 28, 2016 Dylan Moore, CFA, CEO, 1WealthStreet, St Petersburg, Florida
Feb. 28, 2016 Carlos J. Estate, Private Investor, Islamorada, Florida
Feb. 26, 2016 Thomas Lee, Executive Director and Chief Investment Officer, and Fred Herrmann, CFA, Managing Director of Public Equities, New York State Teachers' Retirement System
Feb. 26, 2016 Ron Hovanec, Trader, Ohio
Feb. 25, 2016 John P. Franz, Pittsburgh, Pennsylvania
Feb. 25, 2016 Ron Hovanec, Trader, Ohio
Feb. 24, 2016 Robert Gai, West Palm Beach, Florida
Feb. 24, 2016 Jim Greco, CEO, Direct Match
Feb. 24, 2016 Haoming Chen, Ph.D. Candidate, University of New South Wales, Australia and Sean Foley, Ph.D., Lecturer of Finance, University of Sydney, Australia
Feb. 23, 2016 John C. Nagel, Esq., Managing Director and Sr. Deputy General Counsel, Citadel LLC, Chicago, Illinois
Feb. 23, 2016 Seth Merrin, Founder and CEO, Liquidnet Holdings, New York, New York
Feb. 23, 2016 Terry Odom, MD, Greensboro, North Carolina
Feb. 23, 2016 Richard M. Grey, San Jose, California
Feb. 22, 2016 David Navari, President, Quantum Technology Consulting, LLC, Takoma Park, Maryland
Feb. 22, 2016 Daniel Michel, Paralegal, Port Washington, New York
Feb. 22, 2016 Louie H. Seabolt, Greensboro, Georgia
Feb. 22, 2016 Julie Copelan, Greensboro, Georgia
Feb. 22, 2016 Donald C. Hooper, Ponte Vedra, Florida
Feb. 22, 2016 Carol A. Stanton, Bloomington, Indiana
Feb. 21, 2016 Shaun Hammond, Las Vegas, Nevada
Feb. 21, 2016 Aj Deccristifaro, New York, New York
Feb. 20, 2016 Tomohiko Nakamura, London, United Kingdom
Feb. 19, 2016 R.T. Leuchtkafer
Feb. 19, 2016 IEX Group, Inc., New York, New York
Feb. 18, 2016 Gabriel Prosser, Family Office Investment Manager, Virginia
Feb. 16, 2016 Donald Bollerman, Head of Markets and Sales, IEX Group, Inc., New York, New York
Feb. 16, 2016 David Weisberger, Managing Director, Markit, New York, New York
Feb. 16, 2016 Eric K., Boston, Massachusetts
Feb. 15, 2016 Stacius Sakato
Feb. 13, 2016 Jeffrey Cobb
Feb. 12, 2016 Madison S. Gulley, EVP, Head of Investment Management Strategic Services, et al., Franklin Templeton Investments
Feb. 12, 2016 Brian A. Wolfe, Assistant Professor of Finance, The State University of New York, University at Buffalo School of Management
Feb. 11, 2016 Eric Swanson, General Counsel and Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Feb. 10, 2016 Carol Street
Feb. 9, 2016 Richard Philip, Ph.D., Lecture of Finance, University of Sydney, Sydney, Australia
Feb. 9, 2016 Sophia Lee, General Counsel, Investors' Exchange LLC
Feb. 9, 2016 Jordan Green, President, Portland House Partners LLC
Feb. 9, 2016 Kenesaw Landis, New York
Feb. 8, 2016 Linda Zoeger
Feb. 8, 2016 Nancy Hollinger
Feb. 8, 2016 David Silver, Canada
Feb. 8, 2016 Elizabeth K. King, General Counsel & Secretary, New York Stock Exchange
Feb. 8, 2016 Jonathan M. Prihodka, Law Student, Chicago, Illinois
Feb. 7, 2016 Gennifer Smith
Feb. 5, 2016 William J. O'Malley, Miami, Florida
Feb. 5, 2016 Kishore A. Joshi, Sugar Land, Texas
Feb. 5, 2016 Eric Budish, Professor of Economics, University of Chicago Booth School of Business, Chicago, Illinois
Feb. 4, 2016 Susan C. Janson, Inglewood, California
Feb. 4, 2016 Jack R. Kendall, Charter Life Underwriter, Charterd Financial Consultant, Purdon, Texas
Feb. 3, 2016 Azish Filabi, Ethical Systems, New York, New York
Feb. 3, 2016 Paul E. Proto, Esquire, North Haven, Connecticut
Feb. 2, 2016 Lonnie Arnold, Jr., Fuquay Varina, North Carolina
Feb. 2, 2016 Warren Prosser, Commodity trading fund
Feb. 2, 2016 Rohintan Shapurjee, eMini trader, Greenville, South Carolina
Feb. 2, 2016 Francis A. Connolly, III, Investor MCM Group, Chicago, Illinois
Feb. 2, 2016 Roger Baggins, Retail Investor, San Francisco, California
Feb. 2, 2016 Steven M. Cox, Blountville, Tennessee
Feb. 2, 2016 Ron Hovanec
Feb. 2, 2016 Tom Stehura, Illinois
Feb. 2, 2016 Thomas C. Spear, PE, Pueblo, Colorado
Feb. 1, 2016 Rep. David Scott, Member of Congress
Feb. 1, 2016 Ron Hovanec
Jan. 31, 2016 Carol Mack
Jan. 31, 2016 Roland Dover, Investor Relations, New York
Jan. 30, 2016 Jeyan D. Oorjitham, Investor, South Bend, Indiana
Jan. 29, 2016 Pramod John, Ph.D., CEO, Oration, Foster City , California
Jan. 29, 2016 Joan C Conley, Senior Vice President Corporate Secretary, Nasdaq, Inc., Rockville, Maryland
Jan. 28, 2016 Anthony Godonis, Philadelphia, Pennsylvania
Jan. 27, 2016 Nicholas Dwork, PhD Candidate at Stanford University, Stanford, California
Jan. 27, 2016 David A. Hand, Satellite Beach, Florida
Jan. 27, 2016 Sal Arnuk and Joe Saluzzi, Themis Trading LLC, Chatham, New Jersey
Jan. 26, 2016 Suzanne Shatto
Jan. 25, 2016 Eric S. Hunsader, CEO, Nanex, LLC, Winnetka, Illinois
Jan. 24, 2016 Binoo Goswami, Individual investor, Princeton, New Jersey
Jan. 23, 2016 Larry Daniels
Jan. 23, 2016 Cale Smith, Managing Partner, Islamorada Investment Management, Islamorada, Florida
Jan. 22, 2016 Winston Hammermill
Jan. 22, 2016 Benjamin B. Morrow, Manchester, New Hampshire
Jan. 22, 2016 Ryan Lupinski, Hardware Engineer, Michigan
Jan. 22, 2016 William S. Gough, Sunnyvale, California
Jan. 22, 2016 Leslie A. Tidwell, President, Idaho Land Pine Inc., Hailey, Idaho
Jan. 21, 2016 Thomas Doyle, Individual Investor
Jan. 21, 2016 Robert Shaw, Marcola, Oregon
Jan. 21, 2016 Rep. Sean P. Duffy, Member of Congress
Jan. 20, 2016 Eric S. Hunsader, CEO, Nanex, LLC, Winnetka, Illinois
Jan. 15, 2016 Richard Long
Jan. 15, 2016 Kim Ann Curtin, Author of Transforming Wall Street: A Conscious Path for a New Future, Founder of The Wall Street Coach, New York, New York
Jan. 15, 2016 Brock Leeson, Toronto, Canada
Jan. 14, 2016 James E. Upson, Ph.D., Associate Professor of Finance, University of Texas at El Paso, El Paso, Texas
Jan. 14, 2016 Geoff Rayner, Toronto, Canada
Jan. 14, 2016 Jefferies LLC
Jan. 13, 2016 Britt Harris, Chief Investment Officer, and Bernie Bozzelli, CFA, Head Trader, The Teacher Retirement System of Texas, Austin, Texas
Jan. 13, 2016 Byron Fields, Managing Partner, Austin, Texas
Jan. 12, 2016 Paul M. Russo, Managing Director, Equities, Goldman, Sachs & Co.
Jan. 12, 2016 Cameron F. Paulikot, J.D., Lawyer, Toronto, Canada
Jan. 11, 2016 Roger Loh, United Kingdom
Jan. 10, 2016 Michael R. Workman-Morelli, Newberg, Oregon
Jan. 9, 2016 James J. Gold, President, Neiman Marcus, Dallas, Texas
Jan. 9, 2016 Michael K Broder, Executive Managing Director, MKB Capital Appreciation Fund, LP, Dallas, Texas
Jan. 8, 2016 Rep. Stephen F. Lynch, Member of Congress
Jan. 8, 2016 Paul Robeson, New York
Jan. 8, 2016 Robert Schwarz, Ceres, Boston, Massachusetts
Jan. 8, 2016 George B. Bingham, CEO, 3 Sisters Sustainable Management LLC, Philadelphia, Pennsylvania
Jan. 8, 2016 Francis Lee, Jamestown, Virginia
Jan. 8, 2016 Michael A. Schroeder, Westlake, Ohio
Jan. 8, 2016 Robert Zevin, Chairman, Zevin Asset Management LLC
Jan. 8, 2016 Mark J. Nasca, Esquire, Partner, JDI Realty, LLC, Chagrin Falls, Ohio
Jan. 8, 2016 Jeff Nagel, Laurel Hollow, New York
Jan. 8, 2016 Phillip M. Plant, Partner, Herndon Plant Oakley, Corpus Christi, Texas
Jan. 7, 2016 Adam Nunes, Hudson River Trading LLC, New York, New York
Jan. 7, 2016 Terry Mollner, Ed.D., Founder, Board Member of Family of Mutual Funds, Shutesbury, Massachusetts
Jan. 6, 2016 Nicholas C. Stein, Irvine, California
Jan. 5, 2016 John E. Bateman, Chief Operating Officer, CPMG, Inc.
Jan. 5, 2016 Blaine F. Aikin, AIFA, CFA, CFP, Executive Chairman, et al., fi360, Inc.
Jan. 5, 2016 David R. Powell, Individual investor, Sammamish, Washington
Jan. 5, 2016 J.J. Conklin
Jan. 5, 2016 Hazel Henderson, D.Sc.Hon., FRSA, President and Founder, Ethical Markets Media, Saint Augustine, Florida
Jan. 5, 2016 Hazel Henderson, D.Sc.Hon., FRSA, President and Founder, Ethical Markets Media, Saint Augustine, Florida
Jan. 5, 2016 Hazel Henderson, FRSA, CEO, Editor-in-Chief, Ethical Markets Media Certified B Corp., St. Augustine , Florida
Jan. 5, 2016 Robert P. Rowley, Naples, Florida
Jan. 4, 2016 Don W. McGeorge, Bluffton, South Carolina
Jan. 3, 2016 Brian S. Sullivan, DPM, Doctor of Podiatric Medicine, Foot and Ankle Physicans, PA, Scotch Plains, New Jersey
Jan. 3, 2016 William Seward, New York
Jan. 3, 2016 Dr. Jerry Yeoumans, Baltimore, Maryland
Jan. 3, 2016 Ritchie Baird, Canmore, Canada
Jan. 3, 2016 Rajiv Sethi, Professor of Economics, Barnard College, Columbia University, New York, New York
Jan. 2, 2016 Catherine Barry, Investor, Yorktown, Virginia
Jan. 1, 2016 Kenneth Landis, Chicago
Jan. 1, 2016 Stephen W. Delaney, Bluffton, South Carolina
Dec. 31, 2015 Toby King, Louisiana
Dec. 31, 2015 John B. Rundle, Professor of Physics, University of California, Davis, California
Dec. 31, 2015 Jonathan Stein, CFA, Founder and CEO, Betterment, New York, New York
Dec. 30, 2015 Bob Peck, San Francisco, California
Dec. 29, 2015 Scott Leino, CM, Columbus, Ohio
Dec. 29, 2015 Lynn G. Murray, Owner/Operator Small Company, Boyne City, Michigan
Dec. 29, 2015 Ektrit Manushi, Toronto, Canada
Dec. 28, 2015 Marcus Lafayette, Equity Strategist, Mahwah, New Jersey
Dec. 27, 2015 John Stevens, Market Analyst, New York
Dec. 27, 2015 Carol Carper, Cartersville, Virginia
Dec. 26, 2015 Jack M Burgess, Corvallis, Oregon
Dec. 26, 2015 Bruce Leff
Dec. 24, 2015 Clive Williams, Vice President and Global Head of Trading, et al., T. Rowe Price Associates, Inc., Baltimore, Maryland
Dec. 24, 2015 Ektrit Manushi, Toronto, Canada
Dec. 23, 2015 Emma Hibernia, Aberdeen Middle School, Wetlawn, Oregon
Dec. 23, 2015 David Weisberger, Managing Director, Markit, New York, New York
Dec. 23, 2015 Jon D.
Dec. 23, 2015 Christopher Milligan
Dec. 23, 2015 Jaap Rademaker, Lawyer, Amsterdam, Netherlands
Dec. 22, 2015 Brian C. Larson, New York, New York
Dec. 22, 2015 Bruce R. Clark, PhD, Retired CEO of Leighton Associates, Inc., Corona del Mar, California
Dec. 21, 2015 Neil M. Lancastle, Senior Lecturer, Accounting and Finance, De Montfort University, Leicester, United Kingdom
Dec. 20, 2015 Todd Thielmann, Palos Heights, Illinois
Dec. 20, 2015 Sree Iyer, San Jose, California
Dec. 20, 2015 Eric Swanson, General Counsel and Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Dec. 20, 2015 Emanuel Poots, Bruinisse, Netherlands
Dec. 19, 2015 Ronald J. Burger, Retired, Coronado, California
Dec. 19, 2015 Robert ONeill, Montreal, Canada
Dec. 19, 2015 Zach Hamadyk, New Jersey
Dec. 19, 2015 Jon Thomas, Retired Investor
Dec. 19, 2015 Daniel Harrison, Los Angeles, California
Dec. 19, 2015 Patrick Henry, Signals Analyst, Boston, Massachusetts
Dec. 19, 2015 Steve Kaeuper, Denver, Colorado
Dec. 19, 2015 David Hamlin, Williamsburg, Virginia
Dec. 19, 2015 Devin F. Seals, Service Technician, Efland, North Carolina
Dec. 19, 2015 Jeffrey Bodenstab, Boston, Massachusetts
Dec. 18, 2015 E.E. Geduld, Cougar Capital
Dec. 18, 2015 Anthony Wayne, Trader, New York
Dec. 18, 2015 James S. Dukelow, Jr., Benton City, Washington
Dec. 18, 2015 Johnna S. Thompson, Livermore, California
Dec. 18, 2015 Marlys Strom, Mukilteo, Washington
Dec. 18, 2015 Anthony Squires, Cruz Bay, Virgin Islands, U.S.
Dec. 18, 2015 Craig B. Laub, Potomac, Maryland
Dec. 18, 2015 Chris Keenan, Hingham, Massachusetts
Dec. 18, 2015 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Dec. 17, 2015 Robert Bilyea, Private equity trader, London, Canada
Dec. 17, 2015 Sondra Katz
Dec. 17, 2015 James McHugh , Brooklyn , New York
Dec. 17, 2015 Ivan Pavkovic, Canberra, Australia
Dec. 17, 2015 Neil MacLeod, Victoria, Canada
Dec. 17, 2015 Wade Black, Chief Operating Officer, Scarsdale Equities LLC
Dec. 17, 2015 Jeff Phillips, Stock trader
Dec. 17, 2015 Nidal Hasan, Independent Trader
Dec. 17, 2015 Eugene Noser, Abel/Noser Corp.
Dec. 17, 2015 Jeremiah Luoma, Professor of Economics, Finlandia University
Dec. 17, 2015 Paul K. Wichman, CEO, The Tam-Pacific Group, LLC, Mill Valley, California
Dec. 16, 2015 Mark F. Ierardo, Lakeville, Maine
Dec. 16, 2015 Jena A. Julos, Laborer, Pittsburgh, Pennsylvania
Dec. 16, 2015 Michael Brennan, Trader, Chicago, Illinois
Dec. 16, 2015 Fred W. Wright, Retired, CFA, Bethesda, Maryland
Dec. 16, 2015 David Loomis, North Attleboro, Massachusetts
Dec. 16, 2015 Ernest Sadera, Northfield, Illinois
Dec. 16, 2015 Eric Bruin, Bloomington, Indiana
Dec. 16, 2015 David McCarty, Maryland
Dec. 16, 2015 Mark Demos, MBA, CEO, Encinitas, California
Dec. 16, 2015 Gregory P. Papas
Dec. 16, 2015 Seong-Han Kim, Ph.D., Private Investor, London, United Kingdom
Dec. 16, 2015 Matthew Kennedy, White Plains, New York
Dec. 16, 2015 Oeyvind G. Schanke, CIO, Asset Strategies,and Simon Emrich, Lead Analyst; Norges Bank Investment Management, Oslo, Norway
Dec. 15, 2015 Charles Chung, Director, BMC Software Nordics, Baltics and Benelux & Concerned Investor, Stockholm, Sweden
Dec. 15, 2015 Danny Mulson, 8th Grade Student, Wetlawn, Oregon
Dec. 15, 2015 Brook Abebe
Dec. 15, 2015 James G., Professional Trader, Baton Rouge, Louisiana
Dec. 15, 2015 David J. Montes, CFEA, New York, New York
Dec. 15, 2015 Sam F. Jones, Charlotte, North Carolina
Dec. 15, 2015 William E. Pierce, Olympia, Washington
Dec. 15, 2015 Nate Noakes, Denver, Colorado
Dec. 15, 2015 Lance Newman
Dec. 15, 2015 Charles M. Schlinger, P.E., Professor, Professional Engineer, Registered Geologist, Professional Geophysicist, LSIT, Flagstaff, Arizona
Dec. 15, 2015 Dan Chesler, Managing Member, Chesler Analytics LLC, Wellington, Florida
Dec. 15, 2015 Lane C. Watson, Beaverton, Oregon
Dec. 15, 2015 Joseph J. Nye
Dec. 15, 2015 Patrick J. Warneka, Business owner, Chicago, Illinois
Dec. 15, 2015 Daniel Morgan, Equity Manager, Family Office, Columbia, South Carolina
Dec. 15, 2015 Mallory Buckingham, Speech Language Pathologist-investor, Middletown, Connecticut
Dec. 15, 2015 Kevin M. Weldon
Dec. 15, 2015 Michael Bogdan, Trader
Dec. 15, 2015 James T. Clark, Jr.
Dec. 15, 2015 David Navari, PMP, Capital PC Users Group Maryland Investment SIG, Takoma Park, Maryland
Dec. 14, 2015 H.D. Patton, Southgate, Michigan
Dec. 14, 2015 Bill Ballestrand, Trader, Norfolk, Virginia
Dec. 14, 2015 Alex Glatt, Woodhaven, New York
Dec. 14, 2015 Thelma Marquez, ARNP, Trainer, Port Orange, Florida
Dec. 14, 2015 Daniel S. Brenner
Dec. 14, 2015 Luis Berrizbeitia
Dec. 14, 2015 Anonymous, Wayne, Pennsylvania
Dec. 14, 2015 Dennis Wills, Trader, Toroonto, Canada
Dec. 14, 2015 Ted Finley, Costa Mesa, California
Dec. 14, 2015 C.M. Holden, New York, New York
Dec. 14, 2015 Eric S. Hunsader, CEO, Nanex, LLC, Winnetka, Illinois
Dec. 14, 2015 Evan Rothschild, CFA, San Mateo, California
Dec. 14, 2015 Steve Lazarus, Gilbert, Arizona
Dec. 14, 2015 Steven A. Levy, Individual Investor, Voorhees, New Jersey
Dec. 14, 2015 Robert L. Sillcox, Retired Chief Investment Officer of Ontario Municipal Employees Retirement System (OMERS), King City, Canada
Dec. 14, 2015 Andrew Kenyon, Oakville, Canada
Dec. 14, 2015 Gaelle Parks, Sales , Milford, Connecticut
Dec. 14, 2015 Frank Sanitate, Santa Barbara, California
Dec. 14, 2015 Joseph C. Rosson, Sr., Investor, Hoffman Estates, Illinois
Dec. 14, 2015 Mark D Nispel, Ph.D., business owner / private investor, Lincoln, Nebraska
Dec. 14, 2015 John Giguere
Dec. 14, 2015 Ron Hovanec
Dec. 14, 2015 Imran Akbar, Data Scientist, California
Dec. 14, 2015 David Penkman, Orangeville, Canada
Dec. 14, 2015 Kyle Clark, Equities Trader, Tiburon, California
Dec. 14, 2015 Peter O'Connor, South Yarra, Australia
Dec. 14, 2015 Sree M. Iyer, Blogger on High Frequency Trading, San Jose, California
Dec. 14, 2015 Robert Lewkovich
Dec. 14, 2015 Michael J. McCloskey, Esq., Triumph Capital Partners, LLC, Denver, Colorado
Dec. 14, 2015 Toni Gibbons, Sarasota, Florida
Dec. 14, 2015 Charles D Patton, Orlando, Florida
Dec. 14, 2015 William Dole, Wellesley, Massachusetts
Dec. 14, 2015 Karel Sevcik, Brno, Czech Republic
Dec. 14, 2015 Larry Doyle , DM Income Advisors, Greenwich, Connecticut
Dec. 14, 2015 Walter DePoorter, Moline, Illinois
Dec. 14, 2015 Marguerite Bardini
Dec. 14, 2015 Jackie Lantry, Rehoboth, Massachusetts
Dec. 14, 2015 Lemco Renterman
Dec. 14, 2015 James C. Stoesser, Palatine , Illinois
Dec. 14, 2015 John A. Kelly, Norwell , Massachusetts
Dec. 14, 2015 Nicholas M Bova, Futures, Stock Trader, Chicago, Illinois
Dec. 14, 2015 Ryan Ahlfeld, CPA, Naperville, Illinois
Dec. 14, 2015 David Kiessling, Warwick trading inc., St. George (Brant ), Canada
Dec. 14, 2015 Daniel Trainor
Dec. 14, 2015 James Hawley, Minneapolis, Minnesota
Dec. 14, 2015 Roy Schroeder, Indianapolis, Indiana
Dec. 14, 2015 Claire L. Tondreau, Fair Haven, New Jersey
Dec. 14, 2015 Aran Cook, Newport, United Kingdom
Dec. 14, 2015 Michael Kearney
Dec. 14, 2015 Lucas S. Silva, Zrich, Switzerland
Dec. 14, 2015 Greg Olson, Independent investor, Milton, Washington
Dec. 14, 2015 Edward J. Boyce, Clayton, North Carolina
Dec. 14, 2015 Ian Stearns, Executive at SoundCloud, New York, New York
Dec. 13, 2015 C.M. Holden, New York, New York
Dec. 13, 2015 Lori Hall, Huntsville, Alabama
Dec. 13, 2015 Jannette Byrnes, Investor, New York
Dec. 13, 2015 Harold Borbridge, Anchorage, Alaska
Dec. 13, 2015 Daniel D. Slosberg, Ann Arbor, Michigan
Dec. 13, 2015 Doug Gordon, Palm Springs, California
Dec. 13, 2015 Kirk T. Hartley, JD, LSP Group LLC, Chicago, Illinois
Dec. 13, 2015 Brendan Doran, Financial Extranet Services Engineer, Jersey City, New Jersey
Dec. 13, 2015 Toby King
Dec. 13, 2015 Barry Armand, Investor, Long Island, New York
Dec. 13, 2015 Roy Schroeder
Dec. 13, 2015 Robert C. Phelps, Dallas, Texas
Dec. 13, 2015 Kyle Turner, Fort Collins, Colorado
Dec. 13, 2015 Richard C. Wilcox, Wilcox Trading, LLC, Rockwall, Texas
Dec. 13, 2015 John Grant
Dec. 13, 2015 Xavier McCannon, Aurora, Illinois
Dec. 13, 2015 Joseph Warren, San Francisco, California
Dec. 13, 2015 Timothy Summers
Dec. 13, 2015 Eric J. Stevens, Kapellen, Belgium
Dec. 13, 2015 Michael Quinlan, San Diego, California
Dec. 12, 2015 Jared Noack
Dec. 12, 2015 Ioannis D Strongilis, Small Business Owner/Retail Trader, New York, New York
Dec. 12, 2015 Michael Lewis, Author, Berkeley, California
Dec. 12, 2015 Lou Mannheim, Santa Barbara, California
Dec. 11, 2015 Timothy S. Harbort, Australia
Dec. 11, 2015 Giovanni Scalici, Small Business Owner, Brooklyn, New York
Dec. 11, 2015 Christopher J. Haydel, Financial Advisor, Pasadena, California
Dec. 11, 2015 Derick Hunsacker, California
Dec. 11, 2015 Scott Schwefel, Lombard, Illinois
Dec. 11, 2015 Mark H. Melin, Journalist , Chicago, Illinois
Dec. 11, 2015 John Cantori
Dec. 11, 2015 Brandon D. Hedgepath, Trader, Cary, Illinois
Dec. 11, 2015 Jay Wolberg, San Francisco, California
Dec. 11, 2015 James T. Clark, Jr.
Dec. 11, 2015 Roy Schroeder, Indianapolis, Indiana
Dec. 11, 2015 Albie Shamess, Trader
Dec. 11, 2015 Mark Ierardo, Lakeville, Massachusetts
Dec. 11, 2015 J.D. Levi, Arcadia, Oklahoma
Dec. 11, 2015 Matthew Seal
Dec. 11, 2015 Kyle Reich, New York
Dec. 11, 2015 Jackson Steinham, Full Time Equity Trader, New York, New York
Dec. 11, 2015 Steven Addy, Des Moines, Iowa
Dec. 11, 2015 Domenico Discepola, Ex-Banker Market Risk Management, Montreal, Canada
Dec. 11, 2015 Vincent Bohr, Paris, France
Dec. 11, 2015 Robert Guertin
Dec. 11, 2015 William Pratt, Philadelphia, Pennsylvania
Dec. 11, 2015 Christopher Baker, Principal Data Analyst, Salem, New Hampshire
Dec. 10, 2015 Cameron Jacobson, Millersburg, Ohio
Dec. 10, 2015 Ryan L. Punt, Delano, Minnesota
Dec. 10, 2015 Mike Ianni, Markham, Canada
Dec. 10, 2015 Emmet Peppers
Dec. 10, 2015 Tino Mehlmann, Vice President, HSH Nordbank, Rutherford, New Jersey
Dec. 10, 2015 Mike John
Dec. 10, 2015 Bruce A. Williams, Independent commodity trader, Westmont, Illinois
Dec. 10, 2015 Peter Gibbons, New York, New York
Dec. 10, 2015 Daniel T. Jurgens, Austin, Texas
Dec. 10, 2015 James S. Smith
Dec. 10, 2015 James Meyer
Dec. 10, 2015 Paul Froehlich, COO/CCO, Truffle Hound Capital, LLC
Dec. 10, 2015 Steven M. Cox, Blountville, Tennessee
Dec. 10, 2015 Steve Luce
Dec. 10, 2015 Alexander Gloy, Hartsdale, New York
Dec. 10, 2015 Cody J. Chilson, Shakopee, Minnesota
Dec. 10, 2015 James Gannon
Dec. 10, 2015 Jeffrey D. Abfall, Saint Peters, Missouri
Dec. 10, 2015 David Rainbeau, Managing Member, On Point Trading Asset Management, LLC
Dec. 10, 2015 Joe Ramirez, Director, DBG Energy LLC, Santee, California
Dec. 10, 2015 D.S. McGowan, Evanston, Illinois
Dec. 10, 2015 Peter Keblish, Park City, Utah
Dec. 10, 2015 James Vaughan, Dallas, Texas
Dec. 10, 2015 Richard Arens, Centerport, New York
Dec. 10, 2015 Mike Agne, Professional Investor, Hinsdale, Illinois
Dec. 10, 2015 Charles Howarth, Trader, Denver, Colorado
Dec. 10, 2015 J.W. Reynoso
Dec. 10, 2015 Sang Lee, Seattle, Washington
Dec. 10, 2015 Charles R. Coe, CFP, Memphis, Tennessee
Dec. 10, 2015 Stephen Colbert
Dec. 10, 2015 David Verchere, New York, New York
Dec. 10, 2015 Jim McGeer, Calgary, Canada
Dec. 10, 2015 David J. DeVito, Madison, Wisconsin
Dec. 10, 2015 Thomas Meeks, Trader, Chicago, Illinois
Dec. 10, 2015 Barry Stephens
Dec. 10, 2015 Toby King
Dec. 10, 2015 Mark Nispel, PhD, President of Red Cocoa II, LLC, Lincoln, Nebraska
Dec. 10, 2015 Laurentiu I. Jicmon, Ph.D., Mnchen, Germany
Dec. 10, 2015 Matthew C. Kennedy, Investor, White Plains, New York
Dec. 10, 2015 Sean Millard
Dec. 10, 2015 Cynthia Stevenin, Menlo Park, California
Dec. 10, 2015 Nicolas F., Los Angeles, California
Dec. 10, 2015 Allan Glennon
Dec. 10, 2015 Brian S.
Dec. 10, 2015 Duncan S. Meskill
Dec. 10, 2015 Ron Hovanec
Dec. 10, 2015 Pablo Crespo, Independent Registered Investment Advisor (RIA) and Commodities Trading Advisor (CTA), Wayne, Pennsylvania
Dec. 10, 2015 Danielle Park, Portfolio Manager, President VPIC, Barrie, Canada
Dec. 10, 2015 Ieronim Oltean, Calgary, Canada
Dec. 9, 2015 Xavier Stevens
Dec. 9, 2015 Kyle Secrist
Dec. 9, 2015 Mike Bowcott, Advisor, Toronto, Canada
Dec. 9, 2015 Peter Keblish
Dec. 7, 2015 Suzanne Shatto
Dec. 7, 2015 Tim Quast , President, ModernNetworks IR LLC
Dec. 7, 2015 John Nagel, Esq., Managing Director, Citadel LLC, Chicago, Illinois
Dec. 5, 2015 James J. Angel, Ph.D., CFA, Associate Professor, McDonough School of Business, Georgetown University
Dec. 5, 2015 Anonymous
Dec. 4, 2015 Adam Nunes, Head of Business Development, Hudson River Trading LLC, New York, New York
Dec. 3, 2015 William R. Harts, CEO, Modern Markets Initiative, New York, New York
Nov. 30, 2015 John Nagel, Esq., Managing Director, Citadel LLC, Chicago, Illinois
Nov. 23, 2015 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Nov. 23, 2015 Larry Tabb, CEO, TABB Group, Westborough, Massachusetts
Nov. 20, 2015 R.T. Leuchtkafer
Nov. 20, 2015 J.W. Verret, Assistant Professor of Law, George Mason University School of Law, former Chief Economist at US House Financial Services Committee, Washington, District of Columbia
Nov. 18, 2015 Denis A. Ignatovich and Grant Passmore, Co-Founders, Aesthetic Integration Ltd, London, United Kingdom
Nov. 16, 2015 Suzanne Shatto
Nov. 13, 2015 Sophia Lee, General Counsel, IEX Group, Inc., New York, New York
Nov. 12, 2015 Elizabeth K. King, General Counsel & Secretary, NYSE Group
Nov. 10, 2015 Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq, Inc., Rockville, Maryland
Nov. 6, 2015 Mary Ann Burns, Chief Operating Officer, FIA Principal Traders Group
Nov. 6, 2015 John Nagel, Esq., Managing Director, Citadel LLC, Chicago, Illinois
Nov. 6, 2015 Michael Jacejko, Chief Executive Manager, Birch Bay Capital, LLC, Blaine, Washington
Nov. 6, 2015 Ann Murphy, Associate Dean, Undergraduate Studies, School of Business, Stevens Institute of Technology
Nov. 6, 2015 David Lauer, Chairman, Healthy Markets Association
Nov. 6, 2015 Douglas A. Cifu, Chief Executive Officer, Virtu Financial
Nov. 5, 2015 Krishna Memant, Executive Vice President & Chief Investment Officer, et al., OppenheimerFunds, Inc.
Nov. 3, 2015 Sal Arnuk and Joe Saluzzi, Themis Trading LLC, Chatham, New Jersey
Nov. 3, 2015 Eric Swanson, EVP General Counsel, BATS Global Markets, Inc., Lenexa, Kansas
Nov. 2, 2015 Jeffrey M. Solomon, President, et al., Cowen Group, Inc., New York, New York
Nov. 2, 2015 Patrick L. Young, CEO, DV Advisors
Oct. 26, 2015 David Navari
Oct. 7, 2015 Suzanne Shatto
Sep. 30, 2015 O. Mason Hawkins, CFA, Chairman & CEO, Southeastern Asset Management, Inc., Richard W. Hussey, Principal & COO, Southeastern Asset Management, Inc., Deborah L. Craddock, CFA, Principal & Head of Trading, Southeastern Asset Management, Inc., Jeffrey D. Engelberg, CFA, Principal & Senior Trader, Southeastern Asset Management, Inc. and W. Douglas Schrank, Principal & Senior Trader, Southeastern Asset Management, Inc.
Sep. 29, 2015 Timothy D. Armour, Chairman, The Capital Group Companies, Los Angeles, California
Sep. 22, 2015 Alex Simonelis, Montreal

Meetings with SEC Officials

(Click here for submitted comments from the public)
Jun. 7, 2016 Memorandum from the Office of the Chair regarding a June 3, 2016, meeting with representatives of Citadel
Jun. 2, 2016 Memorandum from the Division of Trading and Markets regarding a June 2, 2016, meeting with representatives of Investment Technology Group
Apr. 28, 2016 Memorandum from the Office of the Chair regarding an April 28, 2016, meeting with representatives of the Investors' Exchange, LLC
Apr. 11, 2016 Memorandum from the Office of the Chair regarding an April 8, 2016, meeting with representatives of The NASDAQ Stock Market LLC
Mar. 2, 2016 Memorandum from the Office of the General Counsel regarding a March 2, 2015, conference call with representatives of Investors’ Exchange LLC
Mar. 1, 2016 Memorandum from the Division of Trading and Markets regarding a February 24, 2016, meeting with representatives of T. Rowe Price Group, The Capital Group Companies, Sands Capital Management, and Oppenheimer Funds
Feb. 12, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a February 11, 2016, meeting with representatives of the Tabb Group
Feb. 1, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a February 1, 2016, meeting with representatives of Investors' Exchange, LLC
Jan. 27, 2016 Memorandum from the Division of Economic and Risk Analysis regarding a January 21, 2016, meeting with representatives of Investors' Exchange, LLC and Hill Strategy LLC
Jan. 27, 2016 Memorandum from the Office of the Investor Advocate regarding a January 20, 2016, meeting with representatives of Investors' Exchange, LLC
Jan. 14, 2016 Memorandum from the Division of Trading and Markets regarding a January 14, 2016, meeting with staff to members of the House Financial Services Committee
Jan. 12, 2016 Memorandum from the Office of the Chair regarding a January 7, 2016, meeting with representatives of Citadel
Jan. 7, 2016 Memorandum from the Division of Trading and Markets regarding a January 7, 2016, meeting with representatives of Citadel
Jan. 6, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a January 6, 2016, meeting with representatives of Citadel Securities
Dec. 17, 2015 Memorandum from the Division of Trading and Markets regarding a December 17, 2015, conference call with representatives of Russell Investments
Dec. 16, 2015 Memorandum from the Division of Trading and Markets regarding a December 15, 2015, meeting with staff to members of the Senate Banking Committee
Dec. 4, 2015 Memorandum from the Office of the Chair regarding a December 4, 2015, meeting with representatives of The NASDAQ Stock Market LLC
Dec. 1, 2015 Memorandum from the Office of Commissioner Kara Stein regarding a November 19, 2015, meeting with representatives of New York Stock Exchange
Dec. 1, 2015 Memorandum from the Office of Commissioner Kara Stein regarding a November 16, 2015, meeting with representatives of Investors' Exchange, LLC
Nov. 30, 2015 Memorandum from the Office of the Chair regarding a November 16, 2015, meeting with representatives of Investors' Exchange, LLC

 

http://www.sec.gov/comments/10-222/10-222.shtml

Modified: 12/07/2015