Comments on Regulation Systems Compliance and Integrity

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Date Received
Date Letter Type Commenter Name
Public Comment Raymond M. Tierney III, President and Chief Executive Officer, Bloomberg Tradebook LLC
Public Comment James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 28, 2013, meeting with representatives of DirectEdge
Public Comment Cynthia Fuller, Executive Director, on behalf of Accredited Standards Committee X9, Inc. Financial Industry Standards
Public Comment Scott Cooper, Vice President, Government Relations and Public Policy, American National Standards Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a May 21, 2013, meeting with representatives of the Managed Funds Association
Public Comment Mike Crapo, U.S. Senator
Public Comment Donald P. Byrne, Esquire, Chair, Regulatory Review Committee, Center for Plain Language, Silver Spring, Maryland
Public Comment David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a May 14, 2013, meeting with representatives of Direct Edge
Public Comment Eric Swanson, SVP, General Counsel and Secretary, BATS Global Markets, Inc., et al.
Public Comment Manisha Kimmel, Executive Director, Financial Information Forum
Meeting with SEC Officials Memorandum from the Office of Commissioner Daniel M. Gallagher regarding an April 16, 2013, meeting with representatives of the BATS Global Markets, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 25, 2013, meeting with representatives of FINRA
Public Comment Ahmed Abouzeid
Public Comment Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Public Comment John J. Rapa, President/Chief Executive Officer, Tellefsen and Company, L.L.C., Northborough, Massachusetts
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 11, 2013, meeting with representatives of BATS Exchange, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 15, 2013, meeting with representatives of GETCO LLC and Knight Capital Group
Public Comment David Courtright, J.D. Candidate '14, Dekalb, Illinois
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 5, 2013, teleconference with representatives of Rosenblatt Securities
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 5, 2013, teleconference with representatives of the Municipal Securities Rulemaking Board
Public Comment Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey
Public Comment Tony Stephenson, Director, iComply

Last Reviewed or Updated: Dec. 18, 2025

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