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Comments on NMS Plans
National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
(File No. 4-631)
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(Click here for SEC Staff Studies and Reports
Click here for meetings with SEC officials)
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| 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)
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| 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 |
| 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 |
| 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 |
Meetings with SEC Officials
(Click here for SEC Staff Studies and Reports
Click here for submitted comments from the public)
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| 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 |
http://www.sec.gov/comments/4-631/4-631.shtml
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