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Comments on Decimalization Roundtable

[Release No. 34-68510; File No. 4-657]

See also: Comments on SEC Regulatory Initiatives Under the JOBS Act; Title I — Tick Size Study


Submitted Comments

(Click here for meetings with SEC officials)
Apr. 4, 2014 Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC
Mar. 12, 2014 Yolanda Clark, Los Angeles, California
Jan. 21, 2014 James J. Maguire, Sr., Short Hills, New Jersey
Nov. 20, 2013 Joseph Saluzzi, Partner, Themis Trading LLC, Chatham, New Jersey
Oct. 31, 2013 Paul Jiganti, Managing Director, Market Structure and Client Advocacy, TD Ameritrade, Columbia, Maryland
Oct. 22, 2013 Daniel Keegan, Managing Duector, Head of Equities for the Americas, Citigroup Global Markets Inc.
May 29, 2013 Ernest F. Callipari, Equity Trader, Nanuet, New York
May 1, 2013 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
Apr. 23, 2013 David Weisberger, Executive Principal, Two Sigma Securities, New York, New York
Mar. 1, 2013 Eric A. De La Pena, BSIS, San Francisco, California
Mar. 1, 2013 Cheryl M. Solgat, Castro Valley, California
Feb. 5, 2013 Jeffrey M. Solomon, Chief Executive Officer, Cowen and Company
Feb. 5, 2013 Colin Clark, Senior Vice President, NYSE Euronext
Feb. 4, 2013 Patrick J. Healy, CEO, Issuer Advisory Group
Feb. 4, 2013 Tim Quast, President, ModernIR
Feb. 4, 2013 Paul Jiganti, Managing Director, Market Structure Client Advocacy, TD Ameritrade, Inc., Chicago, Illinois
Feb. 4, 2013 Christopher Nagy, President, KOR Trading LLC, Omaha, Nebraska
Feb. 4, 2013 James J. Maguire, Short Hills, New Jersey
Feb. 1, 2013 Suzanne Hamlet Shatto
Feb. 1, 2013 Matthew Harper, Watkinsvillle, Georgia
Feb. 1, 2013 Autorité des marchés minanciers (AMF)
Jan. 29, 2013 David Weild, Senior Advisor, Grant Thornton LLP
Jan. 29, 2013 Chris Isaacson, SVP & COO, and Eric Swanson, Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Jan. 24, 2013 Leslie Seff, President, Matthew B. Management, Inc.
Jan. 2, 2013 Khalil Dayri, Antares Technologies, and Mathieu Rosenbaum, Laboratory of Probability and Random Models, University Pierre and Marie Curie (Paris 6), Paris, France
Dec. 28, 2012 Todd Cuomo, Commack, New York
Dec. 23, 2012 William Derbyshire

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Mar. 28, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a March 27, 2014, meeting with representatives of KOR Group
Nov. 20, 2013 Memorandum from the Division of Trading and Markets regarding a November 18, 2013, meeting with representatives of Two Sigma Securities, LLC
Nov. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a November 5, 2013, meeting with a representative of TD Ameritrade
Jun. 19, 2013 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with a representative of TD Ameritrade
May 21, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association

 

http://www.sec.gov/comments/4-657/4-657.shtml


Modified: 04/08/2014