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Comments on NMS Plan
Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.

[Release No. 34-77724; File No. 4-698]


Submitted Comments

(Click here for meetings with SEC officials)
Sep. 25, 2018 Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc.
Nov. 30, 2017 William H. Hebert, Managing Director, Financial Information Forum
Nov. 13, 2017 Michael Simon, Authorized Representative, CAT NMS, LLC
Oct. 23, 2017 Joanna Mallers, Secretary, FIA Principal Traders Group
May 8, 2017 Bats Exchange, Inc., et al.
Nov. 14, 2016 Bats Exchange, Inc., et al.
Nov. 2, 2016 Bats Exchange, Inc., et al.
Oct. 14, 2016 Rep. Scott Garrett, et al., Members of Congress
Oct. 7, 2016 Bats Exchange, Inc., et al.
Sep. 23, 2016 Bats Exchange, Inc., et al.
Sep. 2, 2016 Bats Exchange, Inc., et al.
Aug. 12, 2016 Anonymous
Jul. 25, 2016 John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
Jul. 21, 2016 Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Jul. 21, 2016 Joanne Moffic-Silver, Chicago Board Options Exchange, Chicago, Illinois
Jul. 20, 2016 John McCarthy, General Counsel, KCG Holdings, Inc.
Jul. 20, 2016 Industry Participants of the Development Advisory Group
Jul. 18, 2016 Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Jul. 18, 2016 Bloomberg, L.P.
Jul. 18, 2016 Mark Husler, CEO, UnaVista, and Jonathan Jachym, Head of North America Regulatory Strategy & Government Relations, London Stock Exchange Group, London, United Kingdom
July 18, 2016 Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Jul. 18, 2016 Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Jul. 18, 2016 Anonymous
Jul. 18, 2016 Theodore R. Lazo, Managing Director and Associate General Counsel, and Ellen Greene, Managing Director, Financial Services Operations, SIFMA
Jul. 18, 2016 Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Jul. 18, 2016 Larry E. Thompson, Vice Chairman and General Counsel, DTCC, New York, New York
Jul. 18, 2016 David W. Blass, General Counsel, Investment Company Institute , Washington, District of Columbia
Jul. 18, 2016 Wachtel & Co. Inc.
Jul. 18, 2016 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Jul. 18, 2016 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Jul. 15, 2016 Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia
Jul. 15, 2016 Kelvin To, Founder and President, Data Boiler Technologies, LLC
Jul. 14, 2016 Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York
Jul. 12, 2016 Kathleen Weiss Hanley, Bolton-Perella Chair in Finance, Lehigh University, and Jay R. Ritter, Joseph B. Cordell Eminent Scholar Chair, University of Florida

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Nov. 10, 2016 Memorandum from the Division of Trading and Markets regarding a November 10, 2016 meeting with representatives of Better Markets
Oct. 26, 2016 Memorandum from the Division of Trading and Markets regarding an October 5, 2016, meeting with representatives of the Financial Information Forum
Oct. 12, 2016 Memorandum from the Office of the Chair regarding an October 12, 2016, meeting with representatives of Better Markets
Oct. 12, 2016 Memorandum from the Office of the Chair regarding an August 11, 2016, meeting with representatives of the New York Stock Exchange (NYSE)
Sep. 26, 2016 Memorandum from the Office of the Chair regarding a September 26, 2016, meeting with representatives of the D.E. Shaw Group, Millennium Management LLC, Davidson Kempner Capital Management, and the Managed Funds Association
Sep. 13, 2016 Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of Thomson Reuters and clients
Sep. 13, 2016 Memorandum from the Division of Trading and Markets regarding a September 13, 2016 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Sep. 13, 2016 Memorandum from the Division of Trading and Markets regarding a September 8, 2016 meeting with representatives of the Better Markets
Aug. 19, 2016 Memorandum from the Division of Trading and Markets regarding an August 16, 2016 meeting with representatives of the Financial Services Roundtable
Aug. 19, 2016 Memorandum from the Division of Trading and Markets regarding an August 15, 2016, meeting with representatives of FINRA
Aug. 1, 2016 Memorandum from the Division of Trading and Markets regarding a July 26, 2016, meeting with representatives of the Financial Industry Regulatory Authority

 

http://www.sec.gov/comments/4-698/4-698.shtml


Modified: 09/26/2018