| Jun. 17, 2024 | Robert Books, Chair, Operating Committee of the LULD Plan |
| Apr. 22, 2024 | Ellen Greene, Managing Director, Equities & Options Market Structure,
SIFMA and Kevin Ehrlich, Managing Director, SIFMA AMG |
| Mar. 14, 2024 | Kenneth Fang, Associate General Counsel, Investment
Company Institute and Kevin Ercoline, Assistant General Counsel, Investment Company Institute |
| Dec. 18, 2023 | Samara Cohen, Chief Investment Officer of ETF and Index Investments,
BlackRock, Inc., et al. |
| Nov. 27, 2023 | Rene Wright |
| Nov. 27, 2023 | Rax Nahali |
| Nov. 27, 2023 | Joe Edwards |
| Nov. 27, 2023 | Subhra Mazumdar |
| Nov. 27, 2023 | Anonymous |
| Nov. 27, 2023 | Alex Kuchta |
| Oct. 24, 2023 | Hope M. Jarkowski, General Counsel, New York Stock Exchange |
| Feb. 13, 2020 | Elizabeth K. KIng, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE; NYSE Group, Inc. |
| Jan. 30, 2019 | Samara Cohen, Head of Global Markets, Blackrock, et al. |
| Jan. 16, 2019 | Susan Olsen, General Counsel, ICI; John Ramsay, Chief Market Policy Officer, IEX; and T.R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Jan. 16, 2019 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Nov. 2, 2018 | Elizabeth King, General Counsel, New York Stock Exchange |
| Feb. 23, 2018 | Elizabeth King, General Counsel, New York Stock Exchange |
| Aug. 30, 2017 | Elizabeth King, General Counsel, New York Stock Exchange |
| Apr. 12, 2017 | Elizabeth King, General Counsel, New York Stock Exchange |
| Dec. 23, 2016 | Mortimer J. Buckley, Chief Investment Officer, Vanguard |
| Dec. 22, 2016 | David W. Blass, General Counsel, Investment Company Institute |
| Feb. 18, 2016 | Paul Roland, Nasdaq, Inc. |
| Oct. 16, 2015 | Donald Bollerman, IEX Group, Inc., New York, New York |
| May 28, 2015 | Christopher B. Stone, FINRA |
| Sep. 29, 2014 | BATS Exchange, Inc., et al. |
| Feb. 21, 2014 | Martha Redding, Chief Counsel, New York Stock Exchange LLC, et al. |
| Jul. 17, 2013 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Jul. 17, 2013 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Jul. 10, 2013 | Kimberly Unger, Esq., Chief Executive Officer and Executive Director, Security Traders Association of New York, Inc. |
| Jul. 10, 2013 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Mar. 22, 2013 | Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York |
| Feb. 21, 2013 | William Derbyshire |
| Feb. 19, 2013 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Jan. 17, 2013 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Dec. 13, 2012 | Manisha Kimmel, Executive Director, Financial Information Forum |
| Nov. 30, 2012 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Oct. 4, 2012 | Thomas Price, Managing Director, SIFMA |
| May 24, 2012 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Feb. 27, 2012 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Nov. 18, 2011 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Nov. 2, 2011 | Janet McGinness, Senior Vice President - Legal and Corporate Secretary, NYSE Euronext |
| Jul. 22, 2011 | Sal L. Arnuk, Joe Saluzzi and Paul Zajac, Themis Trading LLC, Chatham, New Jersey |
| Jul. 19, 2011 | Peter Skopp, President, Molinete Trading Inc, Miami Beach, Florida |
| Jul. 5, 2011 | Andrew Small, Executive Director and General Counsel, Scottrade, Inc. |
| Jun. 24, 2011 | John A. McCarthy, General Counsel, GETCO, Chicago, Illinois |
| Jun. 24, 2011 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University |
| Jun. 23, 2011 | Kimberly Unger, Esq., Executive Director, STANY (The Security Traders Association of New York, Inc.), New York, New York |
| Jun. 23, 2011 | Jose Marques, Managing Director, Global Head of Equity Trading, Deutsche Bank Securities, Inc. |
| Jun. 23, 2011 | Jamie Selway, Managing Director, and Patrick Chi, Chief Compliance Officer, ITG Inc. |
| Jun. 22, 2011 | Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA |
| Jun. 22, 2011 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Jun. 22, 2011 | Joseph N. Cangemi, Chairman, and Jim Toes, President and CEO, Security Traders Association, New York, New York |
| Jun. 22, 2011 | Craig S. Donohue, Chief Executive Officer, CME Group, Inc. |
| Jun. 22, 2011 | Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York |
| Jun. 22, 2011 | Karrie McMillan, General Counsel, Investment Company Institute |
| Jun. 22, 2011 | George U. Sauter, Managing Director and Chief Investment Officer, The Vanguard Group, Inc., The Vanguard Group, Inc. |
| Jun. 21, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jun. 17, 2011 | Peter J. Driscoll, Investment Professional, Chicago, Illinois |
| Jun. 2, 2011 | Steve Wunsch, Wunsch Auction Associates, LLC, New York, New York |
SEC Staff Studies and Reports
(Click here for submitted comments from the public
Click here for meetings with SEC officials)
|
| Dec. 20, 2017 | Division of Economic and Risk Analysis White Paper: "The Effect of Amendment 10 of the 'Limit Up-Limit Down' Pilot Plan" |
| Dec. 20, 2017 | Division of Economic and Risk Analysis White Paper: "Limit Up-Limit Down" Pilot Plan and Extraordinary Transitory Volatility" |
| Mar. 10, 2017 | Division of Economic and Risk Analysis White Paper: "Limit Up-Limit Down" Pilot Plan and Associated Events |
| Feb. 23, 2016 | Division of Economic and Risk Analysis White Paper: The Determinants of ETF Trading Pauses on August 24th, 2015 |
Meetings with SEC Officials
(Click here for SEC Staff Studies and Reports
Click here for submitted comments from the public)
|
| Mar. 22, 2024 | Memorandum from the Division of Trading and Markets regarding a March 21, 2024, meeting with the participants and members of the Advisory Committee of the Limit-Up Limit-Down Plan |
| Dec. 20, 2017 | Memorandum from the Division of Economic and Risk Analysis regarding Cornerstone Analysis of Trading and Market Quality Metrics on August 24, 2015 |
| Dec. 20, 2017 | Memorandum from the Division of Economic and Risk Analysis regarding Cornerstone Analysis of Long-Lasting Straddle States |
| Feb. 8, 2016 | Memorandum from the Division of Economic and Risk Analysis regarding Cornerstone Analysis of the Impact of Straddle States on Options Market Quality |
| Dec. 1, 2011 | Memorandum from the Division of Trading and Markets regarding a December 1, 2011, meeting with representatives of the Security Traders Association |
| Sep. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a September 7, 2011, meeting with representatives of the Security Traders Association |
| Sep. 8, 2011 | Memorandum from the Office of Commissioner Paredes regarding a September 7, 2011, meeting with representatives of the Security Traders Association |
