Comments on Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”; Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stocks, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities

[Release No. 34-94062; File No. S7-02-22]

Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type
A: 170
 
Nov. 4, 2022 U.S. Senator Thom Tillis
Oct. 19, 2022 Lucas Schwarz
Sep. 21, 2022 Gregory Babyak and Gary Stone, Regulatory Affairs, Bloomberg L.P.
Aug. 19, 2022 Diane
Jun. 27, 2022 Michael D. Lichtman, Juris Doctor Candidate, Hofstra University Maurice A. Dean School of Law
Jun. 14, 2022 Bond Dealers of America
Jun. 14, 2022 James Tierney, Assistant Professor of Law, University of Nebraska College of Law
Jun. 13, 2022 Healthy Markets Association
Jun. 13, 2022 Blockchain Association and the DeFi Education Fund
Jun. 13, 2022 Robert Toomey, Managing Director, Associate General Counsel, SIFMA
May 27, 2022 Hedge Fund Association
Jun. 1, 2022 The Delois Albert Brassell Estate and the Robert James Brassell Estate
May 29, 2022 James West
May 27, 2022 Hedge Fund Association
May 24, 2022 FIX Trading Community
May 11, 2022 Colin Lee, Finance Manager
May 10, 2022 Greg Weir
May 9, 2022 Gary D. Horn
May 9, 2022 Andrew Robison
May 9, 2022 Anonymous
Apr. 26, 2022 Intercontinental Exchange, Inc.
Apr. 21, 2022 Adelle Nazarian, CEO, and Todd A. White, Founder, American Blockchain PAC
Apr. 21, 2022 Charles Weeden, Managing Partner, Weeden Ventures
Apr. 21, 2022 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Apr. 21, 2022 FIA Principal Traders Group
Apr. 20, 2022 Sarah A. Bessin, Associate General Counsel and Nhan Nguyen Associate General Counsel, Investment Company Institute
Apr. 20, 2022 Scot J. Halvorsen, Associate General Counsel, Cboe Global Markets, Inc.
Apr. 19, 2022 Karthik Mahalingam
Apr. 19, 2022 Marcia E. Asquith, Executive Vice President, Board and External Relations, FINRA
Apr. 19, 2022 Patrick Kim
Apr. 19, 2022 Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Apr. 19, 2022 Sardorbek Umarov
Apr. 19, 2022 Crypto Llama Esq
Apr. 19, 2022 Joey Smitherman
Apr. 19, 2022 Gus Coldebella and Gregory Xethalis
Apr. 18, 2022 U.S. Representatives Patrick McHenry and Bill Huizenga
Apr. 18, 2022 Dunsmoor Law, P.C.
Apr. 18, 2022 Kollan House
Apr. 18, 2022 Circle Internet Financial, LLC
Apr. 18, 2022 Doug Davison and Joshua Ashley Klayman of Linklaters LLP
Apr. 18, 2022 Bloomberg L.P.
Apr. 18, 2022 Virtu Financial, Inc.
Apr. 18, 2022 Securities Industry and Financial Markets Association
Apr. 18, 2022 The Crypto Council for Innovation
Apr. 18, 2022 Blockchain Association
Apr. 18, 2022 Jai Ramaswamy, Chief Legal Officer and Miles Jennings, General Counsel, a16z Crypto , A.H. Capital Management, L.L.C.
Apr. 18, 2022 Global Digital Asset & Cryptocurrency Association
Apr. 18, 2022 LeXpunK
Apr. 18, 2022 DeFi Education Fund
Apr. 18, 2022 Zachary Stinson
Apr. 18, 2022 Bond Dealers of America
Apr. 18, 2022 SIFMA Asset Management Group, William Thum, Managing Director, SIFMA AMG
Apr. 18, 2022 Corinna Mitchell, General Counsel, Symphony Communication Services, LLC
Apr. 18, 2022 Arthur Benjamin Baker, Attorney
Apr. 18, 2022 Gregory Schneider, AVP, Desert Financial Credit Union
Apr. 18, 2022 CME Group
Apr. 18, 2022 Elisabeth Kirby, Head of U.S. Market Structure, Tradeweb Markets, Inc.
Apr. 18, 2022 Sarah A. Bessin, Associate General Counsel, Investment Company Institute
Apr. 18, 2022 Paul Grewal, Chief Legal Officer, Coinbase
Apr. 18, 2022 Thomas Tesauro, President of Fidelity Capital Markets, Fidelity Investments
Apr. 18, 2022 Nasdaq, Inc.
Apr. 18, 2022 Murray B. Wells, esq, Attorney/Partner, Wells Associates, PLLC
Apr. 18, 2022 Better Markets
Apr. 18, 2022 Mark Kim, Chief Executive Officer, Municipal Securities Rulemaking Board
Apr. 18, 2022 Neil Chilson, Senior Research Fellow, Stand Together (filing on his own behalf)
Apr. 18, 2022 Damien G. Scott, Deputy General Counsel, CoinList
Apr. 18, 2022 Jay Knight, Chair of the Committee on Federal Regulation of Securities of the Section of Business Law of the American Bar Association
Apr. 18, 2022 David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation
Apr. 18, 2022 Michelle Bond, CEO, Association for Digital Asset Markets
Apr. 18, 2022 The Crypto Council for Innovation
Apr. 18, 2022 Jennifer W. Han, Managed Funds Association
Apr. 18, 2022 Kelvin Data Boiler Technologies, LLC
Apr. 18, 2022 Scott Pintoff, General Counsel of MarketAxess
Apr. 18, 2022 DirectBooks LLC
Apr. 18, 2022 Delphi Digital
Apr. 18, 2022 Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc.
Apr. 16, 2022 Chia Network
Apr. 16, 2022 Megan Roche
Apr. 15, 2022 Fred Marion
Apr. 15, 2022 Joshua Arthur
Apr. 14, 2022 Security Traders Association
Apr. 14, 2022 Digital Asset Legal and Regulatory Alliance, Global Blockchain Convergence, Global Digital Asset and Cryptocurrency Association
Apr. 14, 2022 ConsenSys Software Inc.
Apr. 14, 2022 Peter Van Valkenburgh, Director of Research, Coin Center
Apr. 11, 2022 Mark Collins
Apr. 8, 2022 Samuel Anderson
Apr. 7, 2022 Roman Scher
Apr. 6, 2022 Justin Thomas Werner
Apr. 4, 2022 Tim Lau
Apr. 3, 2022 T. F.
Mar. 31, 2022 Allen Pulsifer
Mar. 30, 2022 Amber McCollum
Mar. 28, 2022 Jorry D.
Mar. 24, 2022 Teana Baker-Taylor, Chief Policy Officer, Chamber of Digital Commerce, et al.
Mar. 20, 2022 Brian Singh, Marketing Manager
Mar. 18, 2022 Mark Griffin, Overstock.com
Mar. 14, 2022 Jacob W Troyer, US Navy Pilot
Mar. 14, 2022 Patrick Smith
Mar. 14, 2022 Anonymous
Mar. 14, 2022 Curtis Higgins
Mar. 14, 2022 Jason Bond, Sales Manager
Mar. 11, 2022 Andrew Vollmer, Mercatus Center at George Mason University
Mar. 11, 2022 Stephen P. Wink of Latham & Watkins LLP, on behalf of Blockchain Association
Mar. 4, 2022 Clifford A. Wilkinson, Vet
Mar. 3, 2022 Veikko Eeva
Mar. 1, 2022 Robert Fett
Mar. 1, 2022 Rafael Yakobi, The Crypto Lawyers, PLLC
Feb. 25, 2022 Sasha Hodder, Hodder Law Firm, P.A.
Feb. 25, 2022 Spence Purnell, Reason Foundation
Feb. 24, 2022 Joseph M. Johnson
Feb. 24, 2022 Gabriel Morales, Retail Investor
Feb. 23, 2022 Jeff Martinez, CRPC, CEO Financial Advisor Treveri Capital LLC
Feb. 22, 2022 Nicholas Anthony, Manager, Center for Monetary and Financial Alternatives, Cato Institute
Feb. 22, 2022 Ken McGuire
Feb. 22, 2022 David McCarville, Fennemore Craig
Feb. 20, 2022 Anonymous
Feb. 20, 2022 Kelly Dennis
Feb. 19, 2022 Eric Maas
Feb. 19, 2022 BAV
Feb. 19, 2022 Steven Casey
Feb. 19, 2022 Andres Loubriel
Feb. 19, 2022 Anonymous
Feb. 19, 2022 Mark Thompson
Feb. 18, 2022 Cole Barker
Feb. 18, 2022 Brian Padrick
Feb. 18, 2022 Nick Ferrin
Feb. 17, 2022 Yehuda Jay Berg, CEO, Protoblock Inc.
Feb. 17, 2022 James Fyles
Feb. 16, 2022 William J. Vulpis, Retired Financial Services Executive
Feb. 14, 2022 Robert Stanley, Welder
Feb. 11, 2022 Brian McAllister
Feb. 11, 2022 Erik Elbieh, Information Security Expert, Freelance
Feb. 11, 2022 Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Feb. 9, 2022 L. Martin Stewart, Individual Investor
Feb. 9, 2022 Philip Champon
Feb. 9, 2022 Keith Vidal, Massage Therapist
Feb. 8, 2022 Gavin Van Dijk, Risk and Information Systems Control Management
Feb. 8, 2022 Kyle Hauskins-Kaplan, Developer
Feb. 7, 2022 Brad Corlett
Feb. 7, 2022 Hank Fu
Feb. 7, 2022 Retail Investor Dan, Programmer
Feb. 7, 2022 Craig Harrison, IT Leader
Feb. 7, 2022 Nico Moore
Feb. 7, 2022 Chris Mounce, Electrical Engineer
Feb. 6, 2022 Duane Vogt
Feb. 6, 2022 Jessica Bell, Retail Investor
Feb. 5, 2022 Morgan Huttes
Feb. 5, 2022 Nathan Dalton
Feb. 5, 2022 Rob
Feb. 4, 2022 Geoffrey Costeloe, Attorney
Feb. 4, 2022 Gonbe
Feb. 4, 2022 Chris, IT
Feb. 4, 2022 Matthew Voke, CEO
Feb. 4, 2022 Mick S., Executive Operations and Procurement
Feb. 4, 2022 Ernie Martinez, Retail Trader/Student
Feb. 4, 2022 Amr Elshafie, Small Business Owner
Feb. 4, 2022 M. W.
Feb. 3, 2022 Tyler Archie
Feb. 3, 2022 Kimberly Unger, STANY The Security Traders Association of New York
Feb. 3, 2022 J. Morel
Feb. 2, 2022 Michelle Bond, Chief Executive Officer, Association for Digital Asset Markets
Feb. 2, 2022 Renata K. Szkoda, Chairwoman, Global Digital Asset & Cryptocurrency Association et al.
Feb. 2, 2022 Alan Amato
Feb. 2, 2022 Andrew West
Feb. 2, 2022 Casey Ann Hewitt, Founder, Hewitt Law PLLC
Feb. 2, 2022 Erich Dylus, Attorney
Feb. 2, 2022 Jacob Mortensen
Feb. 2, 2022 Mark Hopkins, CEO, Lord of Monster
Feb. 2, 2022 Mitchell Crasson, Public School Education
Feb. 2, 2022 Bryant Eisenbach, CEO, ApeWorX Ltd.
Jan. 31, 2022 Anonymous
Jan. 30, 2022 Shaun Neal
Jan. 30, 2022 Michael Mccubbin
Jan. 30, 2022 Justin Manganiello, Attorney
Jan. 29, 2022 Daniel Barber
Jan. 29, 2022 Scott Shepherd, Retail Investor
Jan. 28, 2022 Patti Wubbels
Jan. 28, 2022 Larry Pruss, SVP, Practice Lead, Crypto Advisory Services
Jan. 28, 2022 Tony Wang
Jan. 28, 2022 Sophie Wong
Jan. 27, 2022 Anonymous
Jan. 27, 2022 Joseph Smith, Data Analyst
Jan. 27, 2022 John
Jan. 27, 2022 Melanie Rosenthal
Jan. 27, 2022 Anonymous
Jan. 27, 2022 Adam Grant
Jan. 27, 2022 D. B.
Jan. 27, 2022 Eric J., Medical
Jan. 27, 2022 Anonymous
Jan. 27, 2022 Steven McElveen
Jan. 27, 2022 Hox
Jan. 27, 2022 James Ochner
Jan. 27, 2022 Kade J. Stone
Jan. 26, 2022 Matt Smith
Jan. 26, 2022 Micah Gray, Retail trader

Meetings with SEC Officials

(Click here for submitted comments from the public)
Mar. 15, 2023 Memorandum from the Division of Trading and Markets regarding a February 16, 2023 conference call with representatives from MarketAxess
Nov. 29, 2022 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 29, 2022 meeting with representatives of Managed Fund Association
Sep. 19, 2022 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 19, 2022 videoconference with representatives of BlackRock
Sep. 16, 2022 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 23, 2022 videoconference with representatives of SIFMA
Aug. 25, 2022 Memorandum from the Division of Economic and Risk Analysis regarding an August 23, 2022 meeting with representatives of Bloomberg
Aug. 22, 2022 Memorandum from the Division of Trading and Markets regarding an August 19, 2022 conference call with representatives from Managed Funds Association
Aug. 22, 2022 Memorandum from the Division of Trading and Markets regarding an August 19, 2022 conference call with representatives from JPMorgan Chase & Co.
Aug. 18, 2022 Memorandum from the Division of Trading and Markets regarding an August 17, 2022 conference call with representatives of Fidelity Capital Markets and Fidelity Investments
Aug. 2, 2022 Memorandum from the Division of Trading and Markets regarding a July 27, 2022 call with representatives of Katten Muchin Rosenman UK LLP
Jul. 26, 2022 Memorandum from the Division of Economic and Risk Analysis regarding a July 21, 2022 meeting with representatives of Virtu
Jul. 21, 2022 Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2022 meeting with representatives of Virtu
Jul. 21, 2022 Memorandum from the Division of Economic and Risk Analysis regarding a July 12, 2022 meeting with representatives of MarketAxess
Jul. 21, 2022 Memorandum from the Division of Economic and Risk Analysis regarding a July 13, 2022 meeting with representatives of Bloomberg
Jul. 21, 2022 Memorandum from the Division of Economic and Risk Analysis regarding a July 15, 2022 meeting with representatives of Fidelity
Jul. 15, 2022 Memorandum from the Division of Trading and Markets regarding a July 15, 2022 conference call with representatives of Tradeweb
Jun. 22, 2022 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 25, 2022 meeting with representatives of Data Boiler Technologies Inc.
Jun. 13, 2022 Memorandum from the Office of Commissioner Lee regarding a June 13, 2022 meeting with representatives from the Securities Industry and Financial Markets Association
Jun. 9, 2022 Memorandum from the Division of Trading and Markets regarding a June 9, 2022 telephone conversation with representatives from the Securities Industry and Financial Markets Association.
Jun. 7, 2022 Memorandum from the Office of the Chair regarding a June 7, 2022 meeting with MarketAxess and Brownstein Farber Hyatt Schreck
Jun. 2, 2022 Memorandum from the Division of Trading and Markets regarding a May 31, 2022 call with representatives of BlackRock
May 13, 2022 Memorandum from the Office of the Chair regarding an April 21, 2022 meeting with representatives of PIMCO.
May 12, 2022 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 3, 2022 meeting with representatives of the Global Legal Entity Identifier Foundation (GLEIF)
Apr 21, 2022 Memorandum from the Office of the Chair regarding an April 21, 2022 meeting with representatives of Blackrock.
Apr. 8, 2022 Memorandum from the Division of Trading and Markets regarding an April 7, 2022 conference call with representatives from BlackRock
Mar. 30, 2022 Memorandum from the Division of Trading and Markets regarding a March 30, 2022 Webex Meeting with HMA Representatives
Mar. 30, 2022 Memorandum from the Office of Market Supervision, Division of Trading and Markets regarding a March 30, 2022 conference call with staff of the Dutch Authority for the Financial Markets
Mar. 22, 2022 Memorandum from the Division of Trading and Markets regarding a February 28, 2022 conference call with staff of the Bank of England
Mar. 22, 2022 Memorandum from the Division of Trading and Markets regarding a February 7, 2022 conference call with staff of the Financial Conduct Authority
Mar. 21, 2022 Memorandum from the Division of Trading and Markets regarding a March 16, 2022 conference call with staff of the European Securities and Markets Authority
Mar. 10, 2022 Memorandum from the Division of Trading and Markets regarding a March 9, 2022 conference call with Bill Vulpis
Mar. 8, 2022 Memorandum from the Division of Trading and Markets regarding a March 8, 2022 conference call with a representative from Vedder Price P.C.
Feb. 10, 2022 Memorandum from the Division of Trading and Markets regarding a February 9, 2022 conference call with representatives from the Security Traders Association of New York, Inc.
Feb. 3, 2022 Memorandum from the Division of Trading and Markets regarding a February 2, 2022 conference call with representatives from the ICE Bonds
Feb. 3, 2022 Memorandum from the Division of Trading and Markets regarding a February 3, 2022 conference call with representatives of Bloomberg Intelligence