Comments on Regulation Systems Compliance and Integrity

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an October 27, 2014 meeting with representatives of NASDAQ OMX
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an October 27, 2014 meeting with representatives of the New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an October 28, 2014 meeting with representatives of IEX Group, Inc. and IEX Services LLC
Public Comment Alex Albert, Intercontinental Exchange
Public Comment Richie Prager, Managing Director, Head of Trading & Liquidity Strategies, et al., BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 2, 2014 meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 16, 2014 meeting with representatives of several SROs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 19, 2013 meeting with representatives of OTC Markets Group, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 19, 2013 meeting with representatives of OTC Markets Group, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 29, 2013 meeting with representatives of NYSE Euronext
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 29, 2013 meeting with representatives of NYSE Euronext
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 8, 2013 meeting with representatives of ITG Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 8, 2013 meeting with representatives of ITG Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 3, 2013 meeting with representatives of Tradeworx, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 25, 2013 phone call with representatives of Citigroup
Public Comment William O'Brien, CEO, Direct Edge, Jersey City, New Jersey
Public Comment Dr. Bill Curtis, Director, Consortium for IT Software Quality, Fort Worth, Texas
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013 meeting with representatives of DirectEdge
Public Comment Daniel Zinn, General Counsel, OTC Markets Group Inc., New York, New York
Public Comment Ari Gabinet, General Counsel, OppenheimerFunds, New York, New York
Public Comment Benjamin Londergan, CEO, Group One Trading LP, Chicago, Illinois
Public Comment James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania
Public Comment Thomas S. Vales, Chief Executive Officer, TMC Bonds LLC
Public Comment Eric Swanson, SVP, General Counsel and Secretary, BATS Global Markets, Inc., et al.
Public Comment Roger Anerella, Managing Director, Global Head of Securities Execution Services, UBS Investment Bank
Public Comment Elizabeth K. King, Global Head of Regulatory Affairs, KCG Holdings, Inc., Jersey City, New Jersey
Public Comment Anthony J. Saliba, Chief Executive Officer, LiquidPoint, LLC
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, Managed Funds Association, and Jirí Król, Deputy CEO, Head of Government and Regulatory Affairs, Alternative Investment Management Association
Public Comment Karrie McMillan, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 28, 2013 meeting with representatives of CAST

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-01-13
Release Number
34-69077
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