Comments on the National Market System Plan Regarding Consolidated Equity Market Data

[File No. 4-757]


[Release No. 34-99403; File No. 4-757] (Jan. 19, 2024)

Submitted Comments

 (See meetings with SEC officials)
Mar. 15, 2024 Christina Qi, Chief Executive Officer, Databento Inc.; Luca Lin, Chief Technology Officer, Databento Inc.; and Zach Banks, Engineering Director, Databento Inc.
Feb. 26, 2024 Hope M. Jarkowski, General Counsel, New York Stock Exchange
Feb. 26, 2024 Erika Moore, Vice President and Corporate Secretary, Nasdaq, Inc.
Feb. 26, 2024 Holly Grotnik, Head of Consolidated Market Data, Fidelity Investments and Krista Ryan, SVP Deputy General Counsel, Fidelity Investments
Feb. 26, 2024 Ellen Greene, Managing Director, Equities & Options Market Structure, SIFMA and Joseph P. Corcoran, Managing Director & Associate General Counsel, SIFMA
Feb. 26, 2024 Stan Sater, Legal Counsel, Polygon.io, Inc.
Feb. 26, 2024 Sarah A. Bessin, Deputy General Counsel, Investment Company Institute and Nhan Nguyen, Associate General Counsel, Securities Regulation, Investment Company Institute
Feb. 26, 2024 Kelvin To, Founder and President, Data Boiler Technologies, LLC
Feb. 26, 2024 Adrian Griffiths, Head of Market Structure, MEMX
Feb. 24, 2024 Mark Schaedel, CEO, DataBP, LLC
Jan. 26, 2024 Patrick Sexton, EVP, General Counsel & Corporate Secretary, Cboe Global Markets

[Release No. 34-90885; File No. 4-757] (Jan. 11, 2021)

Oct. 10, 2022 CTA/UTP Advisory Committee
Feb. 2, 2022 Kelvin To, Founder and President, Data Boiler Technologies LLC
Jul. 16, 2021 Kelvin To, Founder and President, Data Boiler Technologies LLC
Jul. 6, 2021 Noah
Jul. 2, 2021 Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Feb. 19, 2021 Joe Wald, Managing Director, Co-Head of Electronic Trading, BMO Capital Markets Group and Ray Ross, Managing Director, Co-Head of Electronic Trading, BMO Capital Markets Group
Feb. 19, 2021 Patrick Flannery, Chief Executive Officer and Co-Founder, MayStreet
Feb. 18, 2021 Ellen Greene, Managing Director, Equity and Options Market Structure, Securities Industry and Financial Markets Association
Feb. 11, 2021 Jeffrey T. Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc.
Feb. 5, 2021 Erika Moore, Vice President and Corporate Secretary, Nasdaq
Feb. 5, 2021 Anders Franzon, General Counsel, MEMX LLC
Feb. 5, 2021 Hubert De Jesus, Managing Director, Global Head of Market Structure and Electronic Trading, BlackRock and Samantha DeZur, Director, Global Public Policy, Blackrock
Feb. 5, 2021 Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Feb. 4, 2021 Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE

[Release No. 34-90096; File No. 4-757] (Oct. 6, 2020)

Nov. 24, 2020 Marcia E. Asquith, Executive Vice President, Board and External Relations, Financial Industry Regulatory Authority, Inc.
Nov. 20, 2020 Kelvin To, Founder and President of Data Boiler Technologies
Nov. 18, 2020 Jennifer W. Han, Managing Director & Counsel, Regulatory Affairs, Managed Funds Association
Nov. 18, 2020 Joe Wald and Ray Ross, BMO Capital Markets Group
Nov. 16, 2020 Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE
Nov. 13, 2020 John Ramsay, Chief Market Policy Officer, IEX
Nov. 12, 2020 Ellen Greene, Managing Director, Equity and Options Market Structure, Securities Industry and Financial Markets Association
Nov. 12, 2020 Marcia E. Asquith, Executive Vice President, Board and External Relations, Financial Industry Regulatory Authority, Inc.
Nov. 12, 2020 Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Nov. 12, 2020 Kelvin To, MSc Banking, MMGT, BSc, Founder and President, Data Boiler Technologies, LLC
Nov. 12, 2020 Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq, Inc.
Nov. 12, 2020 Michael Blasi, SVP, Enterprise Infrastructure, Fidelity Investments and Krista Ryan, VP, Associate General Counsel, Fidelity Investments
Nov. 12, 2020 Rich Steiner, Head of Client Advocacy and Market Innovation, RBC Capital Markets
Nov. 12, 2020 Hubert De Jesus, Managing Director, Global Head of Market Structure and Electronic Trading, BlackRock and Samantha DeZur, Director, Global Public Policy, BlackRock
Nov. 12, 2020 Sherry Madera, Chief Industry and Government Affairs Officer, Refinitiv
Nov. 12, 2020 Jeffrey T. Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc.
Nov. 12, 2020 Patrick Sexton, EVP, General Counsel and Corporate Secretary, Cboe Global Markets
Nov. 11, 2020 Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc.

[Release No. 34-87906; File No. 4-757] (January 8, 2020)

May 1, 2020 Robert Colby, Executive Vice President & Chief Legal Officer, FINRA
Apr. 23, 2020 Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel and Corporate Secretary, NYSE
Apr. 9, 2020 John A. Zecca, Executive Vice President and Chief Legal Officer, Nasdaq, Inc.
Mar. 29, 2020 Dan Jamieson
Mar. 20, 2020 Kermit R. Kubitz
Mar. 4, 2020 John Ramsay, Chief Market Policy Officer, Investors Exchange LLC
Mar. 3, 2020 Christopher Solgan, VP, Senior Counsel, MIAX Exchange Group
Mar. 2, 2020 Daniel Keegan, Head of North America Market Securities Services, Co-Head of Global Equities & Securities Services, Citigroup Global Markets Inc.
Feb. 28, 2020 John L. Thornton, Co-Chair, Hal S. Scott, President, and R. Glenn Hubbard, Co-Chair; Committee on Capital Markets Regulation
Feb. 28, 2020 Joe Wald, Chief Executive Officer, and Ray Ross, Chief Technology Officer; Clearpool Group
Feb. 28, 2020 Ellen Greene, Managing Director, Equity & Options Market Structure, SIFMA
Feb. 28, 2020 Michael Blasi, SVP, Enterprise Infrastructure, and Krista Ryan, VP, Associate General Counsel; Fidelity Investments
Feb. 28, 2020 Jennifer W. Han, Associate General Counsel, Managed Funds Association, (MFA), and Adam Jacobs-Dean, Managing Director, Global Head of Markets Regulation, Alternative Investment Management Association (AIMA)
Feb. 28, 2020 Rich Steiner, Head of Client Advocacy and Market Innovation, RBC Capital Markets, LLC
Feb. 28, 2020 Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P.
Feb. 28, 2020 Anders Franzon, General Counsel, MEMX LLC
Feb. 28, 2020 Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq Stock Market LLC
Feb. 28, 2020 Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq Stock Market LLC
Feb. 28, 2020 Patrick Sexton, EVP, General Counsel & Corporate Secretary, Cboe Global Markets, Inc.
Feb. 28, 2020 Nathaniel N. Evarts, Managing Director, Head of Trading, Americas, et al., State Street Global Advisors
Feb. 28, 2020 Jeffrey T. Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab Co.
Feb. 28, 2020 Hubert De Jesus, Managing Director, Global Head of Market Structure, and Joanne Medero, Managing Director, Global Public Policy; BlackRock, Inc.
Feb. 28, 2020 Lisa Mahon Lynch, Asc. Director, Global Trading, Wellington Management Company LLP
Feb. 28, 2020 Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Feb. 27, 2020 Allison Bishop, President, Proof Trading
Feb. 27, 2020 Sherry Madera, Chief Industry & Government Affairs Officer, Refinitiv
Feb. 25, 2020 Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc.
Feb. 24, 2020 Joseph Kinahan, Managing Director, TD Ameritrade, Inc.
Feb. 24, 2020 Mehmet Kinak, Vice President & Global Head of Systematic Trading & Market Structure, and Jonathan D. Siegel, Senior Legal Counsel; T. Rowe Price
Feb. 20, 2020 Jeff Mahoney, General Counsel, The Council of Institutional Investors
Feb. 20, 2020 Tyler Gellasch, Executive Director, Healthy Markets Association
Feb. 5, 2020 Elizabeth K. King, Chief Regulatory Officer, ICE; and General Counsel and Corporate Secretary, NYSE
Feb. 4, 2020 Kelvin To, Founder and President, Data Boiler Technologies, LLC

Meetings with SEC Officials

 (See submitted comments from the public)
Jan. 5, 2021 Memorandum from the Office of Acting Chairman Roisman regarding a January 5, 2021, meeting with representatives from Data Boiler Technologies, LLC
Dec. 7, 2020 Memorandum from the Division of Trading and Markets regarding a December 7, 2020, meeting with representatives from Data Boiler Technologies, LLC
Dec. 4, 2020 Memorandum from the Division of Trading and Markets regarding a December 4, 2020, meeting with representatives from RBC and Other Equity Market Participants
Nov. 9, 2020 Memorandum from the Division of Trading and Markets regarding a November 9, 2020, meeting with representatives from the Financial Industry Regulatory Authority
Nov. 5, 2020 Memorandum from the Office of Market Supervisor, Division of Trading and Markets regarding a November 5, 2020, meeting with Representatives from the Investment Company Institute (“ICI”)
May 5, 2020 Memorandum from the Office of Commissioner Roisman regarding a May 5, 2020, meeting with representatives of Healthy Markets Association
May 5, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regading a May 5, 2020 telephone call with representatives of Healthy Markets
May 5, 2020 Memorandum from the Office of Commissioner Allison Herren Lee regading a May 4, 2020 telephone call with members of SIFMA
May 1, 2020 Memorandum from the Office of Commissioner Hester M. Peirce, regarding a May 1, 2020, telephone call with representatives of SIFMA
May 1, 2020 Memorandum from the Division of Trading and Markets, regarding a May 1, 2020, meeting with representatives from FINRA
Apr. 2, 2020 Memorandum from the Office of Commissioner Elad L. Roisman, regarding a March 30, 2020, meeting with representatives of RBC and Buy Side
Mar. 30, 2020 Memorandum from the Division of Trading and Markets regarding a March 11, 2020, call with the Equity Markets Advisory Committee of the Investment Company Institute
Mar. 9, 2020 Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a February 4, 2020, meeting with market participants
Mar. 9, 2020 Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a January 29, 2020, meeting with representatives of CBOE
Mar. 9, 2020 Memorandum from the Office of Commissioner Robert J. Jackson, Jr., regarding a January 29, 2020, meeting with representatives of ICE and NYSE
Mar. 2, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 4, 2020, meeting with representatives of various market participants
Feb. 27, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 4, 2020, meeting with representatives from T. Rowe Price
Feb. 12, 2020 Memorandum from the Office of the Chairman regarding a February 4, 2020, meeting with representatives from several equity market participants
Feb. 5, 2020 Memorandum from the Office of Commissioner Commissioner Allison Herren Lee regarding a February 4, 2020, meeting with representatives from several equity market participants
Feb. 5, 2020 Memorandum from the Division of Trading and Markets regarding a February 4, 2020, meeting with representatives from Charles Schwab & Co., Inc., Citigroup Inc., Fidelity Investments, Glenmede Investment Management LP, Ontario Teachers’ Pension Plan Board, Securities Traders Association, State Street Global Advisors, T. Rowe Price Group, Inc., TD Ameritrade, Inc., and Two Sigma Securities, LLC
Jan. 16, 2020 Memorandum from the Division of Trading and Markets regarding a January 16, 2020, meeting with representatives of Investors Exchange LLC

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