Comments on Proposed Rule: Risk Management Controls for Brokers or Dealers with Market Access

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Date Received
Date Letter Type Commenter Name
Public Comment Timothy Rodenski, Independent Trader, Newburgh, New York
Public Comment Reps. Kenny Marchant, Randy Neugebauer, and Pete Sessions, U.S. House of Representatives
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 27, 2010, meeting with representatives of Instinet, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of FTEN, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 19, 2010, meeting with representatives of Bank of America/Merrill Lynch
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 28, 2010, meeting with representatives of Instinet, Nomura and Promontory Financial
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 28, 2010, meeting with representatives of the SIFMA Equity Options Trading Committee
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 28, 2010, meeting with representatives of Instinet, LLC and Promontory Financial Group, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 8, 2010, meeting with representatives of Headlands Technologies LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 17, 2010, meeting with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
Public Comment Steven Vannelli
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 19, 2010, conference call with representatives of Rosenblatt Securities Inc.
Public Comment Michael Mediano
Public Comment John M. Damgard, President, Futures Industry Association
Public Comment Richard D. Berliand, Managing Director and Head of Prime Services and Market Structure Group, J.P. Morgan and John J. Hogan, Managing Director and Chief Risk Officer, Investment Bank, J.P. Morgan
Public Comment Christopher Carter, Conshohocken, Pennsylvania
Public Comment Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Lime Brokerage LLC
Public Comment Edward J. Joyce, President and Chief Operating Officer, Chicago Board Options Exchange, Incorporated, Chicago, Illinois
Public Comment Joseph M. Velli, Chairman and CEO, BNY ConvergEx Group, LLC, New York, New York
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a March 25, 2010 Meeting with Representatives of High Frequency Trading Firms
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a March 26, 2010 Meeting with Representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an March 23, 2010 Meeting with Representatives of Tradeworx, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-03-10
Release Number
34-61379
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