Comments on Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2)

Filter comments

Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of the Hong Kong Securities and Futures Commission
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 11, 2011, meeting with representatives of the American Bankers Association, the U.S. Chamber of Commerce, Georgetown University, Park National Bank, Zions Bancorporation, New York Community Bancorp and Issuer Advisory Group
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 14, 2011, meeting with representatives of JP Morgan Relationship Management
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 4, 2011, meeting with representatives of Bank of America, Pershing/BNY Mellon, National Financial Services/Fidelity, Goldman Sachs, and Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 13, 2011, meeting with representatives of NASDAQ, NYSE, FINRA, NASDAQomx, CBOE, BATS, and NSX
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 18, 2011, meeting with representatives of Bank of America, Goldman Sachs, JP Morgan, Citadel, Knight, Barclays, and SIFMA
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 21, 2011, meeting with representatives of Bank of America, UBS, Deutsche Bank, Convergex, Morgan Keegan, Stern Agee and SIFMA
Public Comment Jim Blair, Colorado Springs, Colorado
Public Comment Samuel E. Wynegar, York, Pennsylvania
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 15, 2011, meeting with representatives of Overstock.com
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 15, 2011, meeting with representatives of the UK Financial Services Authority (FSA)
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 17, 2011, meeting with representatives of the Autorité des Marchés Financiers (AMF)
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 22, 2011, meeting with representatives of the Australian Securities and Investments Commission (ASIC)
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of BaFin
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 23, 2011, meeting with representatives of the Comisión Nacional del Mercado de Valores (CNMV)
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a February 4, 2011, meeting with representatives of Thomson Reuters, Data Explorers, SunGard, FTEN, Bloomberg, Capital IQ, Short Squeeze and Sandler O'Neill
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 24, 2011, meeting with representatives of Bank of America, Goldman Sachs, Citi, Timber Hill, Wolverine Trading, Susquehanna International Group and SIFMA
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 31, 2011, meeting with representatives of Delaware Value, the Investment Company Institute, Invesco, American Association of Individual Investors, Dodge and Cox, and TD Ameritrade
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a March 22, 2011, meeting with representatives of Data Explorers
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 28, 2011, meeting with representatives of AQR, GETCO, Kynikos Associates, Hussman Strategic Growth, Forward Tactical Growth, and Camden Leveraged Arbitrage
Meeting with SEC Officials Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a January 5, 2011, meeting with representatives of the Managed Funds Association, Maverick Capital and Lone Pine Capital
Public Comment John J. Grimley, Institutional Sales Professional at Boutique Investment Bank, Philadelphia, Pennsylvania
Public Comment Ho Chul Sung
Public Comment Sally E. Prescott, Plantation, Florida
Public Comment Steven Holloway
Public Comment Hans Brost, Palm Springs, California
Public Comment Venkatesh A., Individual/Retail Investor, Hyderabad, India
Public Comment Dennis Nixon, Chief Executive Officer and Chairman, International Bancshares Corporation
Public Comment Joel H. Gilbert, El Paso, Texas
Public Comment Frank C. McMorrow, San Juan Capisrano, California

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-627
Release Number
34-64383
How to submit comments