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
Public Comment 34-73551 David Shields, Vice Chairman & Co-CEO, Wellington Shields & Co.
Public Comment 34-73551 Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment 34-73551 Joseph Galinskie, Boca Raton, Florida
Meeting with SEC Officials 34-73551 Memorandum from the Division of Trading and Markets regarding a November 14, 2014, meeting with representatives of TD Ameritrade and Williams & Jensen
Meeting with SEC Officials 34-73551 Memorandum from the Division of Trading and Markets regarding a November 14, 2014, meeting with representatives of The Vanguard Group
Public Comment 34-73551 Rep. Sean P. Duffy, U.S. House of Representatives
Meeting with SEC Officials 34-73551 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 14, 2014, meeting with representatives of Vanguard Group, Inc.
Public Comment 34-73551 Richard B. Gorelick, Chief Executive Officer, RGM Advisors, LLC
Public Comment 34-73551 David Adorney, Professional Equity Trader, riverside, Connecticut
Meeting with SEC Officials 34-73551, 34-69491 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a September 30, 2014, meeting with representatives of the Managed Funds Association (MFA)
Public Comment 34-68510 Brian A. Johnson, Executive Director for Research, Committee on Capital Markets Regulation
Public Comment 34-68510 John Daley, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
Public Comment 34-68510 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment 34-68510 Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC
Public Comment 34-68510 Theodore R. Lazo Managing Director and Associate General Counsel, SIFMA
Public Comment 34-68510 Brendon J. Weiss Vice President, NYSE Group, Inc.
Meeting with SEC Officials 34-68510 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 15, 2014, meeting with representatives of Citigroup
Public Comment 34-68510 Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC
Meeting with SEC Officials 34-68510 Memorandum from the Office of Commissioner Kara Stein regarding a March 27, 2014, meeting with representatives of KOR Group
Public Comment 34-68510 Yolanda Clark, Los Angeles, California
Public Comment 34-68510 James J. Maguire, Sr., Short Hills, New Jersey
Public Comment 34-68510 Joseph Saluzzi, Partner, Themis Trading LLC, Chatham, New Jersey
Meeting with SEC Officials 34-68510 Memorandum from the Division of Trading and Markets regarding a November 18, 2013, meeting with representatives of Two Sigma Securities, LLC
Meeting with SEC Officials 34-68510 Memorandum from the Office of Commissioner Kara Stein regarding a November 5, 2013, meeting with a representative of TD Ameritrade
Public Comment 34-68510 Paul Jiganti, Managing Director, Market Structure and Client Advocacy, TD Ameritrade, Columbia, Maryland
Public Comment 34-68510 Daniel Keegan, Managing Duector, Head of Equities for the Americas, Citigroup Global Markets Inc.
Meeting with SEC Officials 34-68510, 34-61358, 33-9408, IA-3616, IC-30551 Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of TD Ameritrade
Public Comment 34-68510 Ernest F. Callipari, Equity Trader, Nanuet, New York
Meeting with SEC Officials 34-68510, 34-69077, 34-69491 Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association
Public Comment 34-68510 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association

Last Reviewed or Updated: Jan. 7, 2026

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