Comments on Proposed Rule: Exemption for Certain Exchange Members

Comments on Proposed Rule: Exemption for Certain Exchange Members

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-95388 Memorandum from the Office Of the Chair regarding a June 15, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group
Meeting with SEC Officials 34-95388 Memorandum from the Division of Trading and Markets regarding a June 20, 2023 conference call with representatives of the Financial Industry Regulatory Authority, Inc.
Meeting with SEC Officials 34-95388 Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 18, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group
Meeting with SEC Officials 34-95388 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Meeting with SEC Officials 34-95388, 34-96495, 34-96496 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Meeting with SEC Officials 34-95388 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Meeting with SEC Officials 34-95388, 34-96494, 34-96495, 34-96496 Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 9, 2023 meeting with representatives of CBOE
Meeting with SEC Officials 34-95388 Memorandum from the Office of the Chair regarding a June 15, 2023 meeting with representatives of FINRA
Meeting with SEC Officials 34-95388 Memorandum from the Division of Trading and Markets regarding an April 12, 2023, conference call with representatives of the Financial Industry Regulatory Authority, Inc.
Meeting with SEC Officials 34-95388 Memorandum from the Division of Trading and Markets regarding an April 25, 2023, conference call with representatives of the Financial Industry Regulatory Authority, Inc.
Meeting with SEC Officials 34-95388 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 16, 2023, meeting with representatives of Cboe Global Markets
Public Comment 34-95388 Kens Bane, Retail Investor
Public Comment 34-95388 Sean Hunt
Public Comment 34-94062, IA-5955, 34-95388, 34-94196, IA-5957, 33-11030, 34-94211, 34-94313, 34-94314, 33-11042, 34-94524, 33-11048, 34-94546, IC-34549, 34-94615, 33-11067, 34-94981, IC-34593, 33-11068, 34-94985, IA-6034, IC-34594, 34-93613, 33-11013, 34-93782, 34-95267, IC-34647, 34-95431, IC-34441, IA-6083, 34-95763, IA-6176, 33-11130, 34-93784 U.S. Senator Thom Tillis
Public Comment 34-95388 Cullin Coyle
Public Comment 34-95388 Erik Wittman, Deputy Head of Enforcement, Nasdaq, Inc.
Public Comment 34-95388 Jim Toes, President, and Kate McAllister, Chair of Board, STA
Public Comment 34-95388 Tom Merritt, Deputy General Counsel, Virtu Financial, Inc.
Public Comment 34-95388 Akuna Securities LLC, Belvedere Trading, Chicago Trading Company, Volant Trading
Public Comment 34-95388 Angelo Evangelou, Chief Policy Officer, and Greg Hoogasian, Chief Regulatory Officer, Cboe Global Markets, Inc.
Public Comment 34-95388 Eric Chern, Co-Founder, Chicago Trading Company
Public Comment 34-95388 Joanna Mallers, FIA Principal Traders Group
Public Comment 34-95388 Kirsten Wegner, Chief Executive Officer, Modern Markets Initiative
Public Comment 34-95388 Marcia E. Asquith, Corporate Secretary, EVP, Board and External Relations, Financial Industry Regulatory Authority, Inc.
Public Comment 34-95388 Stephen W. Hall, Legal Director and Securities Specialist, and Scott Farnin, Legal Counsel, Better Markets, Inc.
Public Comment 34-95388 Chasse R. Thomas
Public Comment 34-95388 John Kinahan, CEO, Group One Trading, LP
Public Comment 34-95388 Tom Simpson, CEO, PEAK6 Capital Management LLC
Meeting with SEC Officials 34-94062, 34-95388, 33-11030, 34-94211, 34-95763 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 19, 2022 videoconference with representatives of BlackRock
Meeting with SEC Officials 34-95388 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 13, 2022 meeting with representatives of CBOE

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-05-15
Release Number
34-95388
34-74581
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