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



  Information for...


Comments on Commission Notice:
Technology and Trading Roundtable

[File No. 4-652]

Submitted Comments

(Click here for meetings with SEC officials)
Nov. 1, 2012 Arsalan Shahid, Program Director, Financial Information Forum, New York, New York
Oct. 24, 2012 David Weisberger, Executive Principal, Two Sigma Securities, LLC
Oct. 23, 2012 Scott Goebel, Senior Vice President and General Counsel, Fidelity Management & Research Company
Oct. 23, 2012 Karrie McMillan, General Counsel, Investment Company Institute
Oct. 23, 2012 Brian F. Mannix, GWU Regulatory Studies Center, Washington, District of Columbia
Oct. 22, 2012 James P. Selway III, Managing Director, Head of Liquidity Management, and Sudhanshu Arya, Managing Director, Head of Technology for Liquidity Management, ITG Inc.
Oct. 19, 2012 Courtney Doyle McGuinn, Operations Director, FIX Protocol Ltd., New York, New York
Oct. 18, 2012 Adam Nunes, President, Hudson River Trading LLC, New York, New York
Oct. 2, 2012 Ralph S. Saul
Oct. 2, 2012 Dave Lauer, Market Structure and HFT Consultant, Better Markets, Inc.
Oct. 1, 2012 Lou Steinberg, Managing Director, Chief Technology Officer, TD Ameritrade
Oct. 1, 2012 Elizabeth K. King, Head of Regulatory Affairs, GETCO LLC
Oct. 1, 2012 Richard Gorelick, RGM Advisors, Cameron Smith, Quantlab, and Peter Nabicht, Allston Trading
Oct. 1, 2012 Jamil Nazarali, Head of Citadel Execution Services, Citadel LLC
Oct. 1, 2012 Christopher Nagy, President, KOR Trading LLC
Sep. 28, 2012 David Scales
Sep. 28, 2012 Jaffray Woodriff, CEO, Quantitative Investment Management, Charlottesville, Virginia
Sep. 28, 2012 Peter Chepucavage, Plexus Consulting Group
Sep. 28, 2012 Nasser A. Sharara, Managing Direct, Product Management, Raptor Trading Systems, Columbia, Maryland
Sep. 28, 2012 Erik Johnson, Instituional Equity Sales Trader, B Riley Co., San Francisco, California
Sep. 28, 2012 Sal Arnuk, Themis Trading LLC, Chatham, New Jersey
Sep. 28, 2012 Micah Hauptman, Financial Campaign Coordinator, Public Citizen, Washington, District of Columbia
Sep. 28, 2012 William D. Jackson, Managing Director, Equity Trading, Avondale Partners, LLC, Nashville, Tennessee
Sep. 28, 2012 Andrew DeBellis, Blacklick, Ohio
Sep. 28, 2012 Joseph M. Mecane, NYSE Euronext; Richard G. Ketchum, FINRA; Eric Noll, Nasdaq OMX, Inc.; Christopher A. Isaacson, BATS Global Markets, Inc.; Bryan Harkins, DirectEdge; David Herron, Chicago Stock Exchange; Murray Pozmanter, The Depository Trust & Clearing Corporation; Bank of America Merrill Lynch; Citadel LLC; Citigroup Global Markets Inc.; Deutsche Bank Securities Inc.; GETCO; Goldman, Sachs & Co/Goldman Sachs Execution and Clearing; IMC Chicago LLC; ITG, Inc.; Jane Street; J.P. Morgan Securities LLC; RBC Capital Markets, LLC; RGM Advisors, LLC; Two Sigma Securities; UBS Securities LLC; Virtu Financial; Wells Fargo Securities
Sep. 27, 2012 David A. White, Wilmington, North Carolina
Sep. 27, 2012 Eric Swanson, BATS Global Markets, Inc., Lenexa, Kansas
Sep. 27, 2012 Patricia Reynolds, Atlanta, Georgia
Sep. 27, 2012 Douglas E. Taylor, CFP, Williston, North Dakota
Sep. 26, 2012 Timothy Quast, President, ModernNetworks IR LLC, Denver, Colorado
Sep. 25, 2012 R. T. Leuchtkafer
Sep. 24, 2012 William Michael Cunningham, MBA, MA, Social Investing Advisor, Washington, District of Columbia
Sep. 23, 2012 Patrick J. Healy, CEO Issuer Advisory Group LLC, Chevy Chase, Maryland
Sep. 17, 2012 Jerome Simonoff, CEO Chax, Inc., Los Angeles, California
Sep. 11, 2012 Stuart Venters
Sep. 10, 2012 David M. Aferiat, Managing Partner, Trade Ideas LLC, Atlanta, Georgia
Sep. 5, 2012 James J. Angel, Ph.D., CFA, Georgetown University and the Wharton School, University of Pennsylvania
Aug. 31, 2012 Jason Slavicek
Aug. 30, 2012 Mohammad N. Islam, Managing Director, Unipex Consultancy Ltd., Dhaka, Bangladesh
Aug. 14, 2012 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association

Meetings with SEC Officials

Click here for submitted comments from the public)
Nov. 13, 2012 Memorandum from the Office of Commissioner Paredes regarding a November 13, 2012, meeting with representatives of Capstone LLC, et al.
Aug. 31, 2012 Memorandum from the Office of Commissioner Parades regarding an August 30, 2012, meeting with representatives of GETCO

Modified: 11/19/2012