Comments on National Market System Plan to Implement a Tick Size Pilot; Comments on Decimalization Roundtable

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-73551 Memorandum from the Office of Commissioner Luis A. Aguilar, regarding an April 9, 2015, meeting with a representative of Intercontinental Exchange (ICE)
Public Comment 34-73551 Rep. Juan Vargas, Member of Congress
Meeting with SEC Officials 34-73551 Memorandum from the Division of Trading and Markets, regarding a March 17, 2015, meeting with representatives of Rosenblatt Securities Inc. et al.
Public Comment 34-73551 Jared Albert
Meeting with SEC Officials 34-73551, 34-74202, 34-74136 Memorandum from the Office of the Chair regarding a February 25, 2015, meeting with representatives of Intercontinental Exchange (ICE)
Meeting with SEC Officials 34-73551 Memorandum from the Office of the Chair regarding a February 25, 2015, meeting with representatives of OTC Markets
Meeting with SEC Officials 34-73551 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 25, 2015, meeting with representatives of OTC Markets Group, Inc.
Public Comment 34-73551 Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York
Meeting with SEC Officials 34-73551 Memorandum from the Office of the Chair regarding a February 23, 2015, meeting with representatives of Fidelity Investments
Meeting with SEC Officials 34-73551 Memorandum from the Division of Trading and Markets regarding a February 12, 2015, meeting with representatives of Charles Schwab
Meeting with SEC Officials 34-73551 Memorandum from the Division of Trading and Markets regarding a January 30, 2015, meeting with representatives of RGM Advisors, LLC and Squire Patton Boggs, LLP
Public Comment 34-73551 Senators Mark R. Warner and Pat Toomey, U.S. Senate
Public Comment 34-73551 Brendon Weiss, Co-Head, Government Affairs, Intercontinental Exchange, NYSE
Public Comment 34-73551 Thomas Wittman, Executive Vice President, The NASDAQ OMX Group, Philadelphia, Pennsylvania
Public Comment 34-73551 James P. Selway, III, Managing Director, Head of Electronic Brokerage, ITG Inc.
Public Comment 34-73551 John Nagel, Esq., Managing Director and Sr. Deputy General Counsel, Citadel LLC, Chicago, Illinois
Public Comment 34-73551 Michael Jacejko, Chief Executive Manager, Birch Bay Capital, LLC, Blaine, Washington
Public Comment 34-73551 Andrew B. Stevens, General Counsel, IMC Chicago, LLC d/b/a IMC Financial Markets, Chicago, Illinois
Meeting with SEC Officials 34-73551 Memorandum from the Office of the Chair regarding a December 15, 2014, meeting with representatives of the New York Stock Exchange LLC
Public Comment 34-73551 Adam Sussman, Head of Market Structure, Liquidnet, Inc.
Public Comment 34-73551 Ari Burstein, Senior Counsel, Investment Company lnstitute
Public Comment 34-73551 Bobby Franklin, President & CEO, National Venture Capital Association
Public Comment 34-73551 Christopher Nagy and Dave Lauer, KOR Group LLC
Public Comment 34-73551 Daniel G. Weaver, PhD, Professor of Finance, Director, Master of Financial Analysis Program, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers, The State University of New Jersey
Public Comment 34-73551 Daniel Keegan, Managing Director, Head of Equities for the Americas, Citigroup Global Markets Inc.
Public Comment 34-73551 Dennis Dick, CFA, Head, Equity Market Structure, Bright Trading LLC
Public Comment 34-73551 E. Cartier Esham, Executive Vice President, Emerging Companies, Biotechnology Industry Organization (BIO)
Public Comment 34-73551 Eric Swanson, General Counsel & Secretary, BATS Global Markets, Inc.
Public Comment 34-73551 James G. Ongena, Senior Vice President and General Counsel, Chicago Stock Exchange
Public Comment 34-73551 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University

Last Reviewed or Updated: Jan. 7, 2026

File Number
4-657
Release Number
34-73551
34-68510
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