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 D. Furr
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 11, 2010, Meeting with Representatives of the Security Traders Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 26, 2010, Telephone Conference with Representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 4, 2010, Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 5, 2010, conference call with representatives of Pershing LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a February 18, 2010, Meeting with Representatives of Proprietary Trading Firms
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 25, 2010, meeting with representatives of Pershing LLC
Public Comment Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York
Public Comment Matthew K. Samelson, Principal, Woodbine Associates, Stamford, Connecticut
Public Comment Evan Berquist, Stanford, California
Public Comment Michael Gareri, CEO, Microtrade Networks, Inc. member FINRA/SIPC, Irvine, California
Public Comment Donald L. Withrow, Jr., President and CEO, WithTrader, LLC, Cypress, Texas
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 27, 2010, meeting with representatives of the Investment Technology Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 29, 2010, meeting with representatives of Morgan Stanley & Co. Incorporated
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a January 22, 2010 meeting with representatives of Barclays Capital
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley
Public Comment Scott B. Hennessey, Cary, Illinois
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group

Last Reviewed or Updated: Dec. 18, 2025

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