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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]
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(Click here for meetings with SEC officials)
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| Comments have been received from individuals and entities using the following Letter Type A: 15 |
| Sep. 24, 2019 | Joseph R. Osterfeld |
| Aug. 17, 2016 | Udjin Gor |
| Aug. 17, 2016 | Jonathan Dunn, Thomas Cooper Trading, Greenville, South Carolina |
| Aug. 5, 2016 | Patrick Traynor, Retired Federal Agent, Cypress, Texas |
| 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
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