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Comments on Concept Release on Equity Market Structure
[Release No. 34-61358; File No. S7-02-10]
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| Jan. 3, 2020 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Jan. 30, 2019 | Christopher Bok, Financial Information Forum |
| May 4, 2018 | Jeffrey Bray |
| Jun. 13, 2017 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Apr. 3, 2017 | Tyler Gellasch, Executive Director, Healthy Markets Association |
| Dec. 8, 2016 | Eileen McTigue |
| May 6, 2016 | Bruce Conway |
| Oct. 15, 2015 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 14, 2015, meeting with representatives of RBC and certain large Institutional investors |
| Oct. 1, 2015 | Memorandum from the Division of Trading and Markets regarding an October 1, 2015, meeting with representatives of Morgan Stanley |
| Feb. 20, 2015 | Vincent R. Molinari, Chief Executive Officer, and Joseph K. Latona Jr., President and Chief Operating Officer, GATE Global Impact Inc. |
| Feb. 11, 2015 | Obaro Mojuetan |
| Dec. 10, 2014 | Donald Bollerman, Head of Market Operations, lEX Group, Inc. |
| Nov. 13, 2014 | The Canadian Security Traders Association, Inc. |
| Nov. 7, 2014 | Michael J. Friedman, General Counsel & Chief Compliance Officer, Trillium |
| Oct. 24, 2014 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Oct. 22, 2014 | Manisha Kimmel, Managing Director, Financial Information Forum |
| Oct. 23, 2014 | Dorothy M. Donohue, Deputy General Counsel, Investment Company Institute; Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association; and Randy Snook, Executive Vice President, Securities Industry and Financial Markets Association |
| Sep. 23, 2014 | Christopher Nagy, CEO, and Dave Lauer, President, KOR Group LLC |
| Sep. 15, 2014 | Haim Bodek, Managing Principal, Decimus Capital Markets, LLC |
| Sep. 12, 2014 | Richie Prager, Managing Director, Head of Trading & Liquidity Strategies, et al., BlackRock, Inc. |
| Sep. 9, 2014 | Micah Hauptman, Financial Services Counsel, Consumer Federation of America |
| Sep. 5, 2014 | Jim Toes, President & CEO, Security Traders Association |
| Aug. 7, 2014 | Daniel Keegan, Managing Director, Head of Equities for the Americas, Citigroup Global Markets Inc. |
| Jun. 19, 2014 | William Thayer |
| Jun. 13, 2014 | Mary Ann Burns, Executive Vice President, Industry Relations and Chief Operating Officer, FIA |
| Apr. 4, 2014 | Christopher Nagy, CEO, and Dave Lauer, President, KOR Trading LLC |
| Apr. 1, 2014 | Esiquiel Gonzalez II |
| Jan. 13, 2014 | James J. Angel, Ph.D., CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania |
| Nov. 22, 2013 | Richard Steiner, Global Equities Liaison to Regulatory & Government Affairs, RBC Capital Markets |
| Oct. 2, 2013 | Sal Arnuk, Partner Themis Trading LLC, Chatham, New Jersey |
| Sep. 6, 2013 | Memorandum from the Office of the Chairman regarding a September 3, 2013, meeting with representatives of Fidelity |
| Jul. 31, 2013 | M.A. Stein |
| Jun. 28, 2013 | Raymond M. Tierney, President and CEO, and Gary Stone, Chief Strategy Officer, Bloomberg Tradebook LLC |
| Jun. 21, 2013 | David Shutvet |
| Jun. 19, 2013 | Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of TD Ameritrade |
| Jun. 5, 2013 | Frederick M. Connolly |
| Jun. 4, 2013 | Edward Luhrs |
| May 29, 2013 | Memorandum from the Office of the Chairman regarding a May 28, 2013, meeting with representatives of DirectEdge |
| May 22, 2013 | Memorandum from the Division of Trading and Markets regarding a May 22, 2013, meeting with representatives of Morgan Stanley |
| May 7, 2013 | Memorandum from the Office of the Chairman regarding an April 30, 2013, meeting with representatives of Barclays |
| May 1, 2013 | Memorandum from the Office of the Chairman regarding a May 1, 2013, meeting with representatives of NASDAQ OMX Group, NYSE Euronext, and BATS Global Markets, Inc. |
| Apr. 17, 2013 | Suzanne Shatto |
| Apr. 10, 2013 | Memorandum from the Office of the Chairman regarding an April 9, 2013 meeting with representatives of NASDAQ OMX Group, NYSE Euronext, and BATS Global Markets, Inc. |
| Feb. 27, 2013 | Richard Abraham, Individual Trader, Havertown, Pennsylvania |
| Jan. 30, 2013 | Suzanne Shatto |
| Jan. 29, 2013 | Suzanne Shatto |
| Jan. 9, 2013 | Suzanne Shatto |
| Dec. 26, 2012 | Suzanne Shatto |
| Dec. 12, 2012 | H.(Hank) A. Kiely, Stock Market Trader, Tulsa, Oklahoma |
| Dec. 12, 2012 | Suzanne Shatto |
| Dec. 10, 2012 | Suzanne Shatto |
| Nov. 21, 2012 | Suzanne Shatto |
| Nov. 2, 2012 | Niall H. O'Malley, Portfolio Manager, Blue Point Investment Management, Baltimore, Maryland |
| Oct. 27, 2012 | Dan Price |
| Oct. 24, 2012 | M.A. Stein |
| Oct. 24, 2012 | M.A. Stein |
| Oct. 12, 2012 | Suzanne Shatto |
| Aug. 21, 2012 | Suzanne Hamlet Shatto |
| Aug. 13, 2012 | Suzanne Shatto |
| Aug. 7, 2012 | Suzanne Shatto |
| Ju1. 30, 2012 | Suzanne Shatto |
| Jul. 24, 2012 | David Adorney |
| Jul. 17, 2012 | Suzanne Hamlet Shatto |
| Jul. 12, 2012 | Suzanne Hamlet Shatto |
| Jul. 3, 2012 | Thomas Brasso |
| Jun. 21, 2012 | Suzanne Shatto |
| May 23, 2012 | Suzanne Shatto |
| May 21, 2012 | Suzanne Shatto |
| May 17, 2012 | Anonymous |
| May 11, 2012 | Suzanne Hamlet Shatto |
| Apr. 27, 2012 | Suzanne Shatto |
| Apr. 24, 2012 | Richard Gorelick, CEO, RGM Advisors, LLC, and Cameron Smith, President, Quantlab Financial, LLC |
| Apr. 19, 2012 | Suzanne Hamlet Shatto |
| Apr. 18, 2012 | Memorandum from the Office of Commissioner Walter regarding a February 1, 2012 meeting with representatives of Direct Edge |
| Apr. 13, 2012 | Suzanne Hamlet Shatto |
| Apr. 12, 2012 | Memorandum from the Office of the Chairman regarding an April 12, 2012 meeting with representatives of NASDAQ and NYSE Euronext |
| Mar. 29, 2012 | Suzanne Hamlet Shatto |
| Mar. 26, 2012 | Suzanne Hamlet Shatto |
| Feb. 23, 2012 | Suzanne Hamlet Shatto |
| Feb. 18, 2012 | Suzanne Shatto |
| Feb. 10, 2012 | Suzanne Hamlet Shatto |
| Feb. 2, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a February 1, 2012, meeting with representatives of Direct Edge |
| Jan. 24, 2012 | Memorandum from the Office of the Chairman regarding a January 18, 2012, meeting with representatives of the Netherlands Authority for the Financial Markets |
| Dec. 16, 2011 | Eugene Giaquinto, Independent Trader |
| Dec. 16, 2011 | Steve Thill |
| Dec. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of the Managed Funds Association |
| Nov. 30, 2011 | Dennis Dick, CFA, Bright Trading LLC, Las Vegas, Nevada |
| Nov. 30, 2011 | Laura Kenney |
| Nov. 28, 2011 | Ken Voorhies |
| Nov. 3, 2011 | R. T. Leuchtkafer |
| Oct. 31, 2011 | Sal L. Arnuk, Partner, Themis Trading LLC, Chatham, New Jersey |
| Oct. 27, 2011 | Steven Kim |
| Oct. 11, 2011 | Karen Sendik |
| Oct. 4, 2011 | Memorandum from the Office of the Chairman regarding an October 4, 2011, meeting with representatives of Quantlab Financial and RGM Advisors |
| Oct. 3, 2011 | Stephen M. Barnes, J.D., Salt Lake City, Utah |
| Sep. 20, 2011 | Robert W. Bruce, Jr. |
| Jul. 25, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 21, 2011, meeting with representatives of The NASDAQ OMX Group |
| Jul. 22, 2011 | Sal Arnuk and Joseph Saluzzi, Themis Trading LLC, Chatham, New Jersey |
| Jul. 19, 2011 | Harold R. Lanier, Fairhope, Alabama |
| May 20, 2011 | Howard Meyerson, General Counsel, and Vlad Khandros, Corporate Strategy Director, Liquidnet, Inc. |
| May 11, 2011 | Dennis Dick, CFA, Bright Trading LLC, Las Vegas, Nevada |
| Apr. 14, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an April 7, 2011, meeting with representatives of JonesTrading Institutional Services, LLC |
| Apr. 12, 2011 | Memorandum from the Office of the Chairman regarding an April 11, 2011, meeting with representatives of the Buy-Side Equity Trader Roundtable |
| Apr. 11, 2011 | William J. Brodsky, Chairman & CEO, CBOE Holdings; Robert Greifeld, CEO & President
The Nasdaq OMX Group; and Duncan L. Niederauer, CEO & Director, NYSE Euronext |
| Apr. 7, 2011 | Memorandum from the Office of the Chairman regarding an April 5, 2011 meeting with members of the Board of SIFMA |
| Mar. 7, 2011 | Memorandum from the Division of Trading and Markets regarding a March 4, 2011, meeting with representatives of Morgan Stanley |
| Feb. 24, 2011 | Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs |
| Feb. 10, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a February 16, 2011, meeting with representatives of Capstone LLC, Wellington Capital Management, Samlyn Capital LLC, T. Rowe Price, and The Capital Group Companies |
| Feb. 14, 2011 | Andrew Alter, Esq., General Counsel, BNP Paribas Securities Corp. |
| Feb. 14, 2011 | R. T. Leuchtkafer |
| Feb. 10, 2011 | Memorandum from the Office of the Chairman regarding a February 10, 2011, meeting with representatives of Hudson River Trading and the Sternhell Group |
| Feb. 2, 2011 | Nathan White, CFA, CIO, Paragon Wealth Management, Provo, Utah |
| Jan. 16, 2011 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University |
| Jan. 14, 2011 | Memorandum from the Office of Commissioner Walter regarding a January 14, 2011 meeting with representatives of Headlands Technologies LLC |
| Jan. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with representatives of Headlands Technologies LLC |
| Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a November 17, 2010, meeting with representatives of BNY ConvergEx Group, LLC |
| Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 16, 2010 | Memorandum from the Office of Commissioner Walter regarding a December 16, 2010, meeting with representatives of Credit Suisse |
| Dec. 15, 2010 | Rick T. |
| Dec. 15, 2010 | Yanning Sun, Chicago, Illinois |
| Dec. 15, 2010 | Susan Li, Student |
| Dec. 14, 2010 | Memorandum from the Office of Commissioner Elisse B. Walter regarding a November 30, 2010 meeting with representatives of TD Ameritrade |
| Dec. 13, 2010 | John Doe |
| Dec. 13, 2010 | Elijah P. Socha, Schaumburg, Illinois |
| Dec. 13, 2010 | Chris H |
| Dec. 12, 2010 | John Flaherty, Student |
| Dec. 11, 2010 | Leland Teschler, Bright Trading |
| Dec. 8, 2010 | Avery Zuck |
| Dec. 8, 2010 | Memorandum from the Office of the Chairman regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 7, 2010 | Scott J. Matthews, South Bend, Indiana |
| Nov. 12, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a November 10, 2010, meeting with representatives of NASDAQ OMX |
| Oct. 31, 2010 | R. T. Leuchtkafer |
| Oct. 19, 2010 | O. Mason Hawkins, CFA, Chairman & CEO; Richard W. Hussey, Vice President & COO; Deborah L. Craddock, CFA, Vice President & Head of Trading; Jeffrey D. Engelberg, CFA, Vice President & Senior Trader; and W. Douglas Schrank, Senior Trader, Southeastern Asset Management, Inc. |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum |
| Oct. 4, 2010 | Memorandum from the Office of the Chairman regarding an October 4, 2010, meeting with representatives of Investment Company Institute |
| Oct. 1, 2010 | Robert W. Gottesman, Chief Executive Officer; Charles Rosenthal, Senior Managing Director; and Neal K. Stearns, Senior Managing Director; First Manhattan Co. |
| Sep. 29, 2010 | Sean Murphy, Managing Partner, Grace Hall Trading, LLC |
| Sep. 29, 2010 | Memorandum from the Office of the Chairman regarding a September 29, 2010, meeting with representatives of Rich Feuer Group and EWT, LLC |
| Sep. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an September 28, 2010, meeting with representatives of EWT, LLC |
| Sep. 29, 2010 | Memorandum from the Office of the Chairman regarding a September 21, 2010, meeting with representatives of NYSE |
| Sep. 21, 2010 | Memorandum from the Office of Commissioner Paredes regarding an September 21, 2010, meeting with representatives of Pipeline Trading Systems |
| Sep. 20, 2010 | John L. Jacobs, Vallejo, California |
| Sep. 16, 2010 | Konstantin Ivanov, professional trader, Zaporozhye, Ukraine |
| Sep. 14, 2010 | Liam Connell, Chief Executive Officer, Allston Trading, LLC; Richard B. Gorelick, Chief Executive Officer, RGM Advisors, LLC; Adam Nunes, President, HRT Financial LLC, Hudson River Trading LLC; and Cameron Smith, General Counsel, Quantlab Financial, LLC |
| Sep. 13, 2010 | Harold R. Lanier, Fairhope, Alabama |
| Sep. 10, 2010 | Timothy Rodenski, Independent Trader, Newburgh, New York |
| Sep. 8, 2010 | Mitchell J. Milias, Vice Chairman, PRIMECAP Management Company, Pasadena, California |
| Aug. 31, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 31, 2010, meeting with representatives of Liquidnet |
| Aug. 31, 2010 | Anonymous |
| Aug. 30, 2010 | Clive Williams, Andrew M. Brooks and Christopher P. Hayes, T. Rowe Price |
| Aug. 27, 2010 | Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC |
| Aug. 20, 2010 | Memorandum from the Office of Commissioner Walter regarding an August 16, 2010, meeting with representatives of Nasdaq OMX |
| Aug. 18, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of NASDAQ OMX Group |
| Aug. 16, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq |
| Aug. 5, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services |
| Aug. 5, 2010 | Sen. Edward E. Kaufman, United States Senate |
| Aug. 4, 2010 | Memorandum from the Division of Trading and Markets regarding an August 4, 2010, meeting with representatives of the CME Group |
| Jul. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a July 27, 2010, meeting with representatives of Instinet Incorporated, Instinet, LLC and Nomura Holding America, Inc. |
| Jul. 29, 2010 | Memorandum from the Office of the Chairman regarding a July 19, 2010, meeting with representatives of Bank of America/Merrill Lynch |
| Jul. 28, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 28, 2010, meeting with representatives of Instinet, LLC and Promontory Financial Group, LLC |
| Jul. 27, 2010 | Ed Carbone |
| Jul. 26, 2010 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch |
| Jul. 22, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 21, 2010, meeting with representatives of Penson Financial Services |
| Jul. 22, 2010 | Memorandum from the Division of Trading and Markets regarding a July 21, 2010, meeting with representatives of Penson Financial Services |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a June 30, 2010, meeting with representatives of the Managed Funds Association |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 13, 2010, meeting with representatives of CME Group Inc. |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 8, 2010, meeting with representatives of Headlands Technologies LLC |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 14, 2010, meeting with representatives of the Securities Traders Association |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch |
| Jul. 19, 2010 | David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP |
| Jul. 15, 2010 | R. T. Leuchtkafer |
| Jul. 14, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a July 13, 2010, meeting with representatives of the Securities Traders Association |
| Jul. 13, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 30, 2010, meeting with representatives of the Managed Funds Association |
| Jul. 9, 2010 | Bob Berg |
| Jul. 9, 2010 | John A. McCarthy, General Counsel, GETCO, LLC; Christopher R. Concannon, Partner, Virtu Financial, LLC; and Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Jul. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 8, 2010, meeting with representatives of Headlands Technologies |
| Jul. 6, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 30, 2010, meeting with representatives of the Managed Funds Association |
| Jul. 1, 2010 | Memorandum from the Office of Commissioner Elisse B. Walter regarding a June 22, 2010 meeting with representatives of Nasdaq OMX |
| Jul. 1, 2010 | Memorandum from the Office of Commissioner Walter regarding a June 22, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
| Jun. 28, 2010 | Memorandum from the Office of the Chairman regarding a June 24, 2010, meeting with representatives of Virtu Financial LLC |
| Jun. 28, 2010 | Memorandum from the Office of the Chairman regarding a June 22, 2010, meeting with representatives of NASDAQ |
| Jun. 28, 2010 | Justin Hudock, Trader, Massachusetts |
| Jun. 25, 2010 | Greg Tusar, Managing Director, Goldman Sachs Execution & Clearing, L.P and Matthew Lavicka, Managing Director, Goldman, Sachs & Co. |
| Jun. 23, 2010 | Robert A. Bright, Chief Executive Officer, Dennis Dick, CFA, Trading Member, Diane Anderson, Compliance Officer, Bright Trading LLC, Las Vegas, Nevada |
| Jun. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a June 23, 2010, meeting with representatives of the CFA Institute |
| Jun. 22, 2010 | Memorandum from the Division of Trading and Markets regarding a June 22, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
| Jun. 22, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 22, 2010, meeting with representatives of The NASDAQ OMX Group |
| Jun. 22, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 22, 2010, meeting with representatives of Virtu Financial, LLC |
| Jun. 22, 2010 | Kurt N. Schacht, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute |
| Jun. 21, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 17, 2010, telephone call with a representative of Southeastern Asset Management, Inc. |
| Jun. 21, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 16, 2010, meeting with representatives of Knight Capital Group Inc. |
| Jun. 17, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 16, 2010, meeting with representatives of Knight Capital Group, Inc. |
| Jun. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a June 16, 2010, meeting with representatives of Tradeworx, Inc. |
| Jun. 10, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 10, 2010, meeting with representatives of NYSE Euronext |
| Jun. 10, 2010 | Wilhelm R. Tschol, Investor, Speicher, Switzerland |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of Direct Edge |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group |
| Jun. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a June 8, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
| Jun. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 8, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
| Jun. 4, 2010 | Memorandum from the Office of the Chairman regarding a Meeting with Representatives of High Frequency Trading Firms |
| Jun. 2, 2010 | Anonymous |
| Jun. 1, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a May 19, 2010, meeting with representatives of ESP Technologies, Inc. |
| Jun. 1, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a May 25, 2010, meeting with representatives of NYSE Euronext |
| May 26, 2010 | Ullrich Fischer, Bright Trading, Delta, Canada |
| May 27, 2010 | Richard R. Tullo, Jr., Trading Analyst, Cranford, New Jersey |
| May 27, 2010 | R. T. Leuchtkafer |
| May 27, 2010 | Ed Carbone, Investor/Trader |
| May 25, 2010 | Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of U.S. Listings and Cash Execution, Head of Government Affairs and Public Advocacy, Global Legal Department, and NYSE Euronext |
| May 26, 2010 | Desmond J. Conlan, CQE, Investor, Winona Lake, Indiana |
| May 26, 2010 | Mark Turlington, Trader |
| May 25, 2010 | Mark Neumann, Matthews, North Carolina |
| May 25, 2010 | Peter Weisz, Las Vegas, Nevada |
| May 25, 2010 | Michael McCaslin, Greenville, Texas |
| May 25, 2010 | Colton Dick, Professional Trader, Bright Trading |
| May 25, 2010 | Johnathan A. Bacon, Bright , Gold Beach, Oregon |
| May 25, 2010 | Leland Teschler Teschler, cleveland, Ohio |
| May 25, 2010 | Troy Hanninen, Missoula, Montana |
| May 25, 2010 | Richard R. Tullo, Jr., Trading Analyst, Cranford, New Jersey |
| May 25, 2010 | Joseph A. Smith, Aldan, Pennsylvania |
| May 24, 2010 | Ed Naylor |
| May 24, 2010 | Justin L. Helbig, Commercial Real Estate Broker, Oakland , California |
| May 24, 2010 | Jerome K. Ruffin, Fayetteville, North Carolina |
| May 24, 2010 | Bradley Schultz, TalkingTechnicals.com |
| May 21, 2010 | Memorandum from the Office of Commissioner Paredes regarding a May 19, 2010 meeting with representatives of Electronic Securities Processing (ESP) LLC and ESP Technologies Corp. |
| May 21, 2010 | Jeffrey S. Wecker, CEO, Lime Brokerage LLC |
| May 20, 2010 | Andrew Small, General Counsel, Scottrade, Inc. |
| May 20, 2010 | William Silver, Investment Manager, New York, New York |
| May 20, 2010 | Anonymous |
| May 19, 2010 | Jerry Kehoe |
| May 19, 2010 | Patrick McQuaid, Registered Representative (former), Morgan Stanley, Rogers, Arkansas |
| May 19, 2010 | David Glad |
| May 19, 2010 | Reto Francioni and Andreas Preuß, Deutsche Börse |
| May 19, 2010 | Carlos Rodrguez, Madrid, Spain |
| May 19, 2010 | D. L., Mission, Texas |
| May 18, 2010 | Jonah Gertzweiller, CFA,CPA, NYC, New York |
| May 18, 2010 | Joe Lafrance |
| May 18, 2010 | Edwin A. Schweitzer, Ph. D., Sun City West, Arizona |
| May 18, 2010 | James K. Rutledge, New York City, New York |
| May 17, 2010 | Allan Cass |
| May 14, 2010 | W. Hardy Callcott, Bingham McCutchen LLP |
| May 13, 2010 | R. T. Leuchtkafer |
| May 13, 2010 | Lawrence Black |
| May 12, 2010 | Patrick D. Armstrong and Daniel W. Tandy, Co-Presidents, Alliance of Floor Brokers, New York, New York |
| May 11, 2010 | Jason Fournier, Investor, Nevada |
| May 11, 2010 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University |
| May 11, 2010 | Daniel Weaver, Ph.D., Professor of Finance, Associate Director,
Whitcomb Center for Research in Financial Services, Rutgers University |
| May 10, 2010 | Kimberly Unger, Esq., Executive Director, Security Traders Association of New York , New York, New York |
| May 7, 2010 | Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association |
| May 7, 2010 | Raymond M. Tierney III, Bloomberg L.P. |
| May 6, 2010 | Dennis Dick, CFA, Bright Trading LLC |
| May 6, 2010 | R. T. Leuchtkafer |
| Apr. 30, 2010 | Daniel Keegan, Managing Director, Citigroup Global Markets Inc. |
| Apr. 30, 2010 | James J. Angel, Ph.D., CFA,
Associate Professor of Finance, Georgetown University, McDonough School of Business |
| Apr. 30, 2010 | Suhas Daftuar, Managing Director, Hudson River Trading LLC, New York, New York |
| Apr. 30, 2010 | Brett F. Mock, Chairman, and John C. Giesea, President and CEO, Security Traders Association |
| Apr. 30, 2010 | Kimberly Unger, Esq., Executive Director, Security Traders Association of New York, Inc., New York, New York |
| Apr. 30, 2010 | Joan C. Conley, Senior Vice President and Corporate Secretary, The NASDAQ OMX Group, Inc., Rockville, Maryland |
| Apr. 29, 2010 | Memorandum from the Division of Risk, Strategy, and Financial Innovation regarding a meeting with representatives of NASDAQ OMX |
| Apr. 29, 2010 | Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Apr. 29, 2010 | Joseph M. Velli, Chairman and Chief Executive Officer, BNY ConvergEx Group, LLC, New York, New York |
| Apr. 29, 2010 | Edward J. Joyce, President, Chicago Board Options Exchange, Incorporated, Chicago, Illinois |
| Apr. 28, 2010 | O. Mason Hawkins, Richard W. Hussey, Deborah L. Craddock, Jeffrey D. Engelberg, and W. Douglas Schrank, Southeastern Asset Management, Inc. |
| Apr. 28, 2010 | John Ingrilli, Managing Director, COO, UBS Equities - Americas, Stamford, Connecticut |
| Apr. 28, 2010 | Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Tradeworx, Tradeworx, Thesys, and Sutherland Asbill & Brennan |
| Apr. 28, 2010 | Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Liquidnet and Morgan Lewis |
| Apr. 28, 2010 | Eric W. Hess, Esq., General Counsel for Direct Edge, Jersey City, New Jersey |
| Apr. 28, 2010 | John A. McCarthy, General Counsel, GETCO, LLC, Chicago, Illinois |
| Apr. 26, 2010 | Dennis Dick, CFA, Bright Trading LLC |
| Apr. 25, 2010 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Apr. 23, 2010 | Liam Connell, Chief Executive Officer, Allston Trading, LLC; Richard B. Gorelick, Chief Executive Officer, RGM Advisors, LLC; Adam Nunes, President, HRT Financial LLC, Hudson River Trading, LLC; and Cameron Smith, General Counsel, Quantlab Financial, LLC |
| Apr. 23, 2010 | Janet M. Kissane, SVP - Legal & Corporate Secretary, Office of the General Counsel, NYSE Euronext |
| Apr. 23, 2010 | Marcia E. Asquith, Senior Vice President and
Corporate Secretary, Financial Industry Regulatory Authority |
| Apr. 22, 2010 | Scott Garrett, Member of Congress |
| Apr. 22, 2010 | Grant Thornton LLP |
| Apr. 21, 2010 | Gary Alan DeWaal, Senior Managing Director and Group General Counsel, Newedge |
| Apr. 21, 2010 | Donald R. Wilson, Jr., DRW Trading Group |
| Apr. 21, 2010 | Timothy Quast, Modern Networks IR LLC, Denver, Colorado |
| Apr. 21, 2010 | Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC |
| Apr. 21, 2010 | Eric J. Swanson, General Counsel, BATS Exchange, Inc., Lenexa, Kansas |
| Apr. 21, 2010 | David T. Hirschmann, President and CEO, Center for Capital Markets Competitiveness, Washington, District of Columbia |
| Apr. 21, 2010 | Jonathan D. Corpina, President, Organization of Independent Floor Brokers; Jennifer Lee, Vice President, Organization of Independent Floor Brokers; and Stephen O'Shaughnessy, Director, Organization of Independent Floor Brokers |
| Apr. 21, 2010 | Greg O'Connor, Compliance Manager, Wolverine Trading, LLC |
| Apr. 21, 2010 | Steve Gaston, Chief Compliance Officer, IMC Financial Markets |
| Apr. 21, 2010 | Susan Ameel, ESP Technologies Corporation, New York, New York |
| Apr. 21, 2010 | Dan Mathisson, Managing Director, Credit Suisse Securities (USA) LLC, New York, New York |
| Apr. 21, 2010 | Wesley Barker, Margin Specialist, Morgan Keegan & Co. |
| Apr. 21, 2010 | Karrie McMillan, General Counsel, Investment Company Institute |
| Apr. 21, 2010 | P. Mats Goebels, Managing Director, General Counsel, Investment Technology Group, Inc. |
| Apr. 21, 2010 | David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP |
| Apr. 21, 2010 | Ciamac C. Moallemi, Assistant Professor, Graduate School of Business, Columbia University, New York, New York |
| Apr. 21, 2010 | Andrew S. Margolin, Associate General Counsel, Bank of America Merrill Lynch |
| Apr. 21, 2010 | Anonymous |
| Apr. 21, 2010 | Michael Gitlin, Head of Global Trading, T. Rowe Price Associates, Inc.; David Oestreicher, Chief Legal Counsel, T. Rowe Price Associates, Inc.; and Christopher P. Hayes, Sr. Legal Counsel, T. Rowe Price Associates, Inc. |
| Apr. 21, 2010 | Sal L. Arnuk, co-founder, Themis Trading and Joseph Saluzzi, Partner, Themis Trading LLC |
| Apr. 21, 2010 | Carlos Mauricio Mirandola, JSD Candidate, Columbia Law School |
| Apr. 21, 2010 | Manoj Narang, CEO, Tradeworx, Inc., Red Bank, New Jersey |
| Apr. 21, 2010 | Parastu Malik, Student, Yale School of Management and Daniel Margolskee, Student, Yale Law School |
| Apr. 21, 2010 | Steve L. Richert, Retail Investor/Trader, Cheyenne, Wyoming |
| Apr. 21, 2010 | Christopher Nagy, Managing Director Order Strategy, Co-Head of Government Relations,
TD Ameritrade and John S. Markle, Deputy General Counsel, Co-Head of Government Relations, TD Ameritrade |
| Apr. 21, 2010 | William P. Conlin |
| Apr. 21, 2010 | George U. Sauter, Managing Director and Chief Investment Officer, The Vanguard Group, Inc. |
| Apr. 21, 2010 | Patrick D. Armstrong and Daniel W. Tandy, Co-Presidents, Alliance of Floor Brokers, New York, New York |
| Apr. 21, 2010 | Justin M. Greatorex, Shayna A. Hutchins, Amanda M. Scarnati, and Jason J. Wawro |
| Apr. 21, 2010 | Berkowitz, Trager & Trager, LLC |
| Apr. 21, 2010 | Craig S. Donohue, Chief Executive Officer, CME Group Inc. |
| Apr. 20, 2010 | Daniel Weaver, Ph.D., Professor of Finance, Rutgers University, Piscataway, New Jersey |
| Apr. 20, 2010 | John Knuff, General Manager, Equinix, Inc. |
| Apr. 20, 2010 | Donald L. Calvin, Chairman ISEEE, Former EVP and Office of the Chairman, NYSE; Robert E. Aber, Vice Chairman, ISEEE, Former SVP and General Counsel, NASDAQ; and William Foster,
Vice Chairman, ISEEE, Former CEO, New Zealand Stock Exchange, Former COO, Abu Dhabi Securities Market |
| Apr. 20, 2010 | Peter Johnson |
| Apr. 20, 2010 | Jennifer S. Choi, Assistant General Counsel, Investment Adviser Association |
| Apr. 20, 2010 | Jay deHart, M.D. |
| Apr. 19, 2010 | Alan R. Shapiro, President and Chairman, The Transaction Auditing Group, Inc. |
| Apr. 19, 2010 | Thomas Moses, MBA, Santa Ana, California |
| Apr. 17, 2010 | Kris McConnell |
| Apr. 17, 2010 | Jeffrey A. Blaker |
| Apr. 16, 2010 | W. Brian Arthur, External Professor, Santa Fe Institute; Robert Axtell, Center for Social Complexity, Krasnow Institute for Advanced Study, George Mason University; Alfred R. Berkeley III, Chairman, Pipeline Financial Group, Inc.; Paul Borrill, Founder, CEO, Replicus Software Corporation; Michael W. Brown, Former Microsoft CFO and past Nasdaq Chairman; Daniel Ciuriak, Former Deputy Chief Economist, Foreign Affairs and International Trade, Canada; K.C. Cole, Professor, Annenberg School for Communication and Journalism University of Southern California; Vince Darley, Ocado Ltd.; J. Doyne Farmer, Professor, Santa Fe Institute; Richard Freeman, Herbert Ascherman Professor of Economics, Harvard University; Jim Herriot, NextGenAeroSciences; Cars Hommes, Professor and Chair, Department of Quantitative Economics, University of Amsterdam; Kenneth Judd, Paul H. Bauer Senior Fellow, Hoover Institution; Stuart Kauffman, Distinguished Finnish Professor and University of Vermont; William R. Kinney, Jr., Charles and Elizabeth Prothro Regents Chair in Business, University of Texas at Austin; Robert E. Litan, Kauffman Foundation and The Brookings Institution; Thomas Lux, Department of Economics University of Kiel and Kiel Institute for the World Economy, Kiel, Germany; Pia N. Malaney, Economist, PhD; Alexander Outkin, Member of the International Association of Financial Engineers; Zoe-Vonna Palmrose, PricewaterhouseCoopers Professor of Auditing and Professor of Accounting University of Southern California and former SEC Deputy Chief Accountant; Bruce K. Sawhill, NextGenAeroSciences; Glenn Shafer, Board of Governors Professor, Rutgers Business School – Newark and New Brunswick and Professor in the Computer Learning Research Centre, Royal Holloway College at the University of London; Lee Smolin, Founding Member, Perimeter Institute for Theoretical Physics; Shyam Sunder, James L. Frank Professor of Accounting, Economics, and Finance Yale School of Management, Yale University; Leigh Tesfatsion
Professor of Economics, Mathematics, and Electrical and Computer Engineering Iowa State University; and Eric R. Weinstein, Natron Group |
| Apr. 16, 2010 | Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the Nasdaq OMX |
| Apr. 16, 2010 | R. T. Leuchtkafer |
| Apr. 16, 2010 | Matt Jones |
| Apr. 15, 2010 | Pascal N. Levensohn, Founder & Managing Partner |
| Apr. 15, 2010 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Lime Brokerage LLC |
| Apr. 15, 2010 | Gene DeFelice, Senior Vice President, General Counsel & Secretary, SAVVIS, Inc. |
| Apr. 14, 2010 | Rick D. Leonhardt, Professional Trader, Quincy, California |
| Apr. 14, 2010 | Cameron Alyesh |
| Apr. 14, 2010 | Robert A. Bright Jr., Las Vegas, Nevada |
| Apr. 14, 2010 | Klaus Johanns, Las Vegas, Nevada |
| Apr. 14, 2010 | Mark Hansen, Las Vegas, Nevada |
| Apr. 14, 2010 | Brian Weisbrod, Trader, Bright Trading, LLC, Redlands, California |
| Apr. 13, 2010 | Jon Liljekrans, Bright Trading, Golden, Colorado |
| Apr. 13, 2010 | Patrick Caito, The Woodlanads, Texas |
| Apr. 13, 2010 | Alexey Etchein, Trader at Bright Trading, Vancouver, Canada |
| Apr. 13, 2010 | Donald G. Parsons, Bright Trading LLC, reno, Nevada |
| Apr. 13, 2010 | Bosier Parsons |
| Apr. 13, 2010 | Jeffrey D. Weaver, Bright Trading LLC, Las Vegas, Nevada |
| Apr. 13, 2010 | Troy Hanninen, Stock Trader, Missoula, Montana |
| Apr. 13, 2010 | Mark Mastroianni |
| Apr. 13, 2010 | David Harrison, Henderson, Nevada |
| Apr. 13, 2010 | Jaime Mauro, Trader, Bright Trading LLC, Las Vegas NV, Branford, Connecticut |
| Apr. 13, 2010 | Ullrich Fischer, Prop. Trader at Bright Trading , Langley, Canada |
| Apr. 13, 2010 | Greg Campion |
| Apr. 13, 2010 | Thomas Campion, Bright Trading, Las Vegas, Nevada |
| Apr. 13, 2010 | Wolfgang Sauermann, Professional Securities Trader, Nashville, Tennessee |
| Apr. 13, 2010 | Chris Garzon, Bright Trading, LLC, Las Vegas, Nevada |
| Apr. 13, 2010 | Carolyn G. Cobourn, Bright Trading, LLC, Las Vegas, Nevada |
| Apr. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a April 6, 2010 Meeting with Representatives of Liquidnet |
| Apr. 8, 2010 | Memorandum from the Division of Trading and Markets regarding an April 6, 2010 Meeting with Representatives of Credit Suisse |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a March 26, 2010 Meeting with Representatives of the Managed Funds Association |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a March 25, 2010 Meeting with Representatives of High Frequency Trading Firms |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an March 23, 2010 Meeting with Representatives of Tradeworx, Inc. |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Paredes regarding an April 6, 2010 Meeting with Representatives of Davis Polk & Wardwell LLP and Credit Suisse Securities (USA) LLC |
| Apr. 7, 2010 | Steve L. Richert, Cheyenne, Wyoming |
| Apr. 6, 2010 | Memorandum from the Office of Commissioner Walter regarding an April 6, 2010, meeting with representatives of Advanced Execution Services, Credit Suisse and Davis Polk |
| Apr. 6, 2010 | Memorandum from the Office of the Chairman regarding an April 6, 2010 Meeting with Representatives of Credit Suisse |
| Apr. 5, 2010 | Chanyuan P. Wang, Oracle DBA, Software Engineer, VeriSign, North Potomac, Maryland |
| Apr. 5, 2010 | Victor Shakerchi, Las Vegas, Nevada |
| Apr. 5, 2010 | Chris Banyai, CFA, President, Banyai Wealth Management, Tecumseh, Canada |
| Apr. 1, 2010 | Jeff Frerichs, Las Vegas, Nevada |
| Apr. 1, 2010 | James L. Rothenberg, Esq., Holland, Pennsylvania |
| Apr. 1, 2010 | Jason Fournier, Bright Trading, Las Vegas, Nevada |
| Apr. 1, 2010 | Chester S. Spatt, Ph.D, Pamela R. and Kenneth B. Dunn, Professor of Finance and Director, Center for Financial Markets, Carnegie Mellon University, Pittsburgh, Pennsylvania |
| Mar. 26, 2010 | Memorandum from the Office of Commissioner Paredes regarding a Meeting with Representatives of the Managed Funds Association |
| Mar. 26, 2010 | Seth Merrin, Chief Executive Officer, Liquidnet; Howard Meyerson, General Counsel, Liquidnet; and Vlad Khandros, Corporate Strategy, Liquidnet |
| Mar. 24, 2010 | Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of Bright Trading LLC |
| Mar. 24, 2010 | Bob Bright, Chief Executive Officer, Bright Trading LLC; Diane Anderson, Compliance Officer, Bright Trading LLC; and Dennis Dick, CFA, Trading Member, Bright Trading LLC |
| Mar. 22, 2010 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Tradeworx, Inc. |
| Mar. 18, 2010 | Memorandum from the Office of Commissioner Paredes regarding a March 16, 2010, meeting with representatives of the Global Electronic Trading Company |
| Mar. 17, 2010 | Shelly L. Scott, Student, University of California Berkeley, Haas School of Business, Berkeley, California |
| Mar. 15, 2010 | Karim Taleb, Ph.D., Robust Methods LLC, New York, New York |
| Mar. 12, 2010 | Memorandum from the Office of Commissioner Paredes regarding a March 11, 2010, meeting with representatives of the Security Traders Association |
| Mar. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a March 11, 2010, Meeting with Representatives of the Security Traders Association |
| Mar. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a March 1, 2010, Meeting with Representatives of Direct Edge |
| Mar. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a March 4, 2010, Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP |
| Mar. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a February 26, 2010, Telephone Conference with Representatives of the Managed Funds Association |
| Mar. 9, 2010 | Memorandum from the Office of the Chairman regarding a Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP |
| Mar. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a February 26, 2010, Telephone Conference with Representatives of Proprietary Trading Firms |
| Mar. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a February 18, 2010, Meeting with Representatives of Proprietary Trading Firms |
| Mar. 1, 2010 | Memorandum from the Office of the Chairman regarding a March 1, 2010, meeting with representatives of the London Stock Exchange Group and Patton Boggs |
| Mar. 1, 2010 | Randall M. Woith, Frisco, Texas |
| Feb. 23, 2010 | James J. Angel, Associate Professor, McDonough School of Business, Georgetown University; Lawrence E. Harris, Fred V. Keenan Chair in Finance, Professor of Finance and Business Economics, Marshall School of Business, University of Southern California; Chester S. Spatt, Pamela R. and Kenneth B. Dunn Professor of Finance, Director, Center for Financial Markets, Tepper School of Business, Carnegie Mellon University |
| Feb. 18, 2010 | Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of Patton Boggs, RGM Advisors, RGM Advisors, and Quantlab |
| Feb. 16, 2010 | Leland Teschler, Cleveland, Ohio |
| Feb. 16, 2010 | Gerard M. Evans, Los Angeles, California |
| Feb. 16, 2010 | Rick Smith, Encinitas, California |
| Feb. 16, 2010 | Thomas D. Pollan, CEO, Pollan Enterprises, Charlotte, North Carolina |
| Feb. 16, 2010 | Jack T. Martin, Mesquite, Texas |
| Feb. 16, 2010 | John R. Allen, Ph.D., Biotechnolgy Industry, San Diego, California |
| Feb. 16, 2010 | Justin Hudock |
| Feb. 14, 2010 | Brian Klaus, Springfield, Oregon |
| Feb. 4, 2010 | Anonymous |
| Feb. 3, 2010 | Memorandum from the Office of Commissioner Paredes regarding a January 29, 2010, meeting with representatives of NYSE Euronext |
| Feb. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a January 29, 2010, meeting with representatives of Morgan Stanley & Co. Incorporated |
| Feb. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a January 27, 2010, meeting with representatives of the Investment Technology Group |
| Jan. 31, 2010 | Harold Shapiro |
| Jan. 30, 2010 | Shane P. Mueller, Investor, Fort Collins, Colorado |
| Jan. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley |
| Jan. 28, 2010 | C. B. Garcia, Ph. D., Professor (retired), University of Chicago, Booth Business School, Rancho Santa Fe, California |
| Jan. 27, 2010 | Memorandum from the Division of Trading and Markets regarding a January 27, 2010 meeting with representatives of the CFA Institute Center for Market Integrity |
| Jan. 27, 2010 | Pat Ross, Boston, Massachusetts |
| Jan. 26, 2010 | Memorandum from the Office of Commissioner Paredes regarding a January 25, 2010, meeting with representatives of BATS Exchange, Inc. |
| Jan. 26, 2010 | Anonymous |
| Jan. 25, 2010 | R. McKay, Hilo, Hawaii |
| Jan. 23, 2010 | Toby L. King, McDonough, Georgia |
| Jan. 23, 2010 | Anonymous |
| Jan. 22, 2010 | Richard Gates, Co-Founder and Portfolio Manager, TFS Capital |
| Jan. 22, 2010 | Chris Crawford |
| Jan. 20, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 19, 2010, meeting with representatives of Certain Institutional Traders |
| Jan. 20, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group |
| Jan. 20, 2010 | Jerry Ellis, Small investor, Gilbert, Arizona |
| Jan. 19, 2010 | Anonymous |
| Jan. 19, 2010 | Anonymous |
| Jan. 19, 2010 | Michael Colleps |
| Jan. 19, 2010 | John Rockwell, Individual Equities Investor, Minneapolis, Minnesota |
| Jan. 19, 2010 | Don Wilson |
| Jan. 19, 2010 | Thomas F. Morgan, Penn Valley, California |
| Jan. 19, 2010 | Ted A. Bapty, Ph.D., Nashville, Tennessee |
| Jan. 19, 2010 | Jeff Coffee, Las Vegas, Nevada |
| Jan. 19, 2010 | Chris Ridder |
| Jan. 19, 2010 | Brent Wheelock, Highlands Ranch, Colorado |
| Jan. 19, 2010 | Bob Morris, Lafayette, New Jersey |
| Jan. 19, 2010 | Ed K. Zimmer, Webb City, Missouri |
| Jan. 19, 2010 | Tim Ayles, Napa, California |
| Jan. 18, 2010 | Ronald G. Owens, Zirconia, North Carolina |
| Jan. 17, 2010 | Ken L. Bachmeier, Sr., Spokane, Washington |
http://www.sec.gov/comments/s7-02-10/s70210.shtml
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