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Comments on Proposed Rule: Risk Management Controls for Brokers or Dealers with Market Access
[Release No. 34-61379; File No. S7-03-10]
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| Sep. 10, 2010 | Timothy Rodenski, Independent Trader, Newburgh, New York |
| Aug. 11, 2010 | Reps. Kenny Marchant, Randy Neugebauer, and Pete Sessions, U.S. House of Representatives |
| Aug. 5, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services |
| Jul. 30, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 27, 2010, meeting with representatives of Instinet, LLC |
| Jul. 29, 2010 | Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of FTEN, Inc. |
| Jul. 29, 2010 | Memorandum from the Office of the Chairman regarding a July 28, 2010, meeting with representatives of Instinet, Nomura and Promontory Financial |
| 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 Division of Trading and Markets regarding a July 28, 2010, meeting with representatives of the SIFMA Equity Options Trading Committee |
| 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. 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 July 8, 2010, meeting with representatives of Headlands Technologies LLC |
| Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch |
| Jun. 21, 2010 | Memorandum from the Division of Trading and Markets regarding a June 17, 2010, meeting with representatives of J.P. Morgan |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group |
| May 28, 2010 | Steven Vannelli |
| May 20, 2010 | Memorandum from the Division of Trading and Markets regarding a May 19, 2010, conference call with representatives of Rosenblatt Securities Inc. |
| May 13, 2010 | Michael Mediano |
| May 6, 2010 | John M. Damgard, President, Futures Industry Association |
| Apr. 26, 2010 | 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 |
| Apr. 20, 2010 | Christopher Carter, Conshohocken, Pennsylvania |
| Apr. 16, 2010 | Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Apr. 15, 2010 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Lime Brokerage LLC |
| Apr. 14, 2010 | Edward J. Joyce, President and Chief Operating Officer, Chicago Board Options Exchange, Incorporated, Chicago, Illinois |
| Apr. 9, 2010 | Joseph M. Velli, Chairman and CEO, BNY ConvergEx Group, LLC, New York, New York |
| 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. 5, 2010 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York |
| Apr. 1, 2010 | John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois |
| Mar. 31, 2010 | Edward Wedbush, President, Wedbush Securities Inc. and Jeff Bell, Executive Vice President, Wedbush Securities Inc. |
| Mar. 31, 2010 | Jose Marques, Managing Director, Global Head of Electronic Equity Trading,
Deutsche Bank Securities Inc. |
| Mar. 30, 2010 | Andrew C. Small, General Counsel, Scottrade, Inc. |
| Mar. 30, 2010 | J. Ronald Morgan, Managing Director, Goldman, Sachs & Co. and Tim T. Furey, Managing Director, Goldman Sachs Execution & Clearing, L.P. |
| Mar. 29, 2010 | Ted Myerson, Chief Executive Officer; Doug Kittelsen, Chief Technology Officer; and M. Gary LaFever, General Counsel; FTEN, Inc. |
| Mar. 29, 2010 | Peter Kovac, Chief Operating Officer and
Financial and Operations Principal, EWT, LLC |
| Mar. 29, 2010 | Gary DeWaal, Newedge Group |
| Mar. 29, 2010 | Sandor G. Lehoczky, Managing Director, Jane Street Holding, LLC |
| Mar. 29, 2010 | P. Mats Goebels, Managing Director,
General Counsel, Investment Technology Group, Inc. |
| Mar. 29, 2010 | John N. Jacobs, Chief Operations Officer and Director of Operations, Lime Brokerage LLC |
| Mar. 29, 2010 | Nicole Harner Williams, Vice President, Associate General Counsel, Penson Financial Services, Inc. |
| Mar. 29, 2010 | Ari Burstein, Senior Counsel, Investment Company Institute |
| Mar. 29, 2010 | Janet M. Kissane, Senior Vice President – Legal & Corporate Secretary, Office of the General Counsel, NYSE Euronext, on behalf of the New York Stock Exchange LLC, NYSE Amex
LLC, and NYSE Arca Inc. |
| Mar. 29, 2010 | Stuart J. Kaswell, Executive Vice President and
Managing Director, General Counsel, Managed Funds Association |
| Mar. 29, 2010 | Kimberly Unger, Executive Director, Security Traders Association of New York, Inc. |
| Mar. 29, 2010 | Timothy J. Mahoney, Chief Executive Officer; Marybeth Shay, Senior Managing Director, Sales and Marketing; and Vivian A. Maese, General Counsel and Corporate Secretary; BIDS Trading, L.P. |
| Mar. 26, 2010 | Kevin Cuttica, Chief Executive Officer, and David DeArmey, Chief Operating Officer, Sun Trading LLC |
| Mar. 26, 2010 | Jeffrey S. Davis, Vice President and Deputy General Counsel, NASDAQ OMX |
| Mar. 26, 2010 | Eric W. Hess, Esq., General Counsel, Direct Edge Holdings LLC, Jersey City, New Jersey |
| Mar. 26, 2010 | Christopher Lee, Global Head of Market Access, Fortis Bank Nederland and Paul Willis, Global Compliance Officer, Fortis Bank Nederland, London, United Kingdom |
| Mar. 25, 2010 | David A. Marshall, Senior Vice President
Financial Markets Group, Federal Reserve Bank of Chicago |
| Mar. 25, 2010 | Marcia E. Asquith, Senior Vice President and Corporate Secretary, Financial Industry Regulatory Authority |
| Mar. 24, 2010 | Ryan Thatcher, Corporate Accountant, Baker Perkins, Inc. |
| Mar. 24, 2010 | Jesse Lawrence, Director and Managing Counsel, Pershing LLC, Jersey City, New Jersey |
| Mar. 22, 2010 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Tradeworx, Inc. |
| Mar. 21, 2010 | Eric J. Swanson, SVP & General Counsel, BATS Exchange, Inc. |
| Mar. 18, 2010 | Memorandum from the Division of Trading and Markets regarding a March 18, 2010, meeting with representatives of BIDS Trading |
| Mar. 16, 2010 | Douglas J. Engmann, President and C. Mark Bold, Senior Adviser, Engmann Options, Inc., San Francisco, California |
| Mar. 13, 2010 | D. Furr |
| 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 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 18, 2010, Meeting with Representatives of Proprietary Trading Firms |
| Mar. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a March 5, 2010, conference call with representatives of Pershing LLC |
| Feb. 26, 2010 | Memorandum from the Division of Trading and Markets regarding a February 25, 2010, meeting with representatives of Pershing LLC |
| Feb. 21, 2010 | Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York |
| Feb. 15, 2010 | Matthew K. Samelson, Principal, Woodbine Associates, Stamford, Connecticut |
| Feb. 11, 2010 | Evan Berquist, Stanford, California |
| Feb. 3, 2010 | Michael Gareri, CEO, Microtrade Networks, Inc. member FINRA/SIPC, Irvine, California |
| 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 |
| Feb. 1, 2010 | Donald L. Withrow, Jr., President and CEO, WithTrader, LLC, Cypress, Texas |
| Jan. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley |
| Jan. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 22, 2010 meeting with representatives of Barclays Capital |
| Jan. 26, 2010 | Scott B. Hennessey, Cary, Illinois |
| Jan. 20, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group |
http://www.sec.gov/comments/s7-03-10/s70310.shtml
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