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Comments on Proposed Rule: Exemption for Certain Exchange Members

[Release No. 34-74581; File No. S7-05-15]


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 15, 2016 Reps. Bill Foster and Randy Hultgren, Members of Congress
Sep. 23, 2016 Joanne Moffic-Silver, Executive Vice President, General Counsel and Corporate Secretary, Chicago Board Options Exchange; Elizabeth K. King, Secretary and General Counsel, New York Stock Exchange; and Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX Group, Inc.
Jul. 13, 2016 Eric Chern, Chief Executive Officer, CTC Trading Group, L.L.C., et al.
Sep. 15, 2015 Elliot Grossman, Managing Director, Dinosaur Securities, LLC
Jun. 10, 2015 Angelo Evangelou, Associate General Counsel, CBOE, Chicago, Illinois
Jun. 4, 2015 Mark E. Gannon, Chief Compliance Officer, Lakeshore Securities, LP
Jun. 4, 2015 Elizabeth K. King, Secretary and General Counsel, New York Stock Exchange, and Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX Group, Inc.
Jun. 2, 2015 Marcia E. Asquith, Senior Vice President and Corporate Secretary, FINRA
Jun. 1, 2015 Gregory F. Hold, CEO, Hold Brothers Capital LLC, New York, New York
Jun. 1, 2015 Adam Nunes, Head of Business Development, Hudson River Trading LLC, New York, New York
Jun. 1, 2015 Jay Coppoletta, Chief Legal Officer, PEAK6 Capital Management LLC
Jun. 1, 2015 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Jun. 1, 2015 James Ongena, Senior Vice President and General Counsel, Chicago Stock Exchange, Chicago, Illinois
Jun. 1, 2015 Mary Ann Burns, Chief Operating Officer, FIA Principal Traders Group, Washington, District of Columbia
Jun. 1, 2015 Frank A. Bednarz, Global Co-Head of Trading, CTC Trading Group, L.L.C., Chicago, Illinois
May 29, 2015 Mark Schepps, General Counsel and Senior Director of Compliance, PTR, Inc.
May 29, 2015 Mark Schepps, General Counsel and Senior Director of Compliance, D & D Securities, Inc.
May 22, 2015 Claudia Crowley, IEX Services LLC, New York, New York
May 20, 2015 Chris Barnard, Germany
May 6, 2015 Mary Ann Burns, COO, FIA, Washington, District of Columbia
Apr. 24, 2015 Keith Miller
Apr. 16, 2015 Keith Miller
Apr. 16, 2015 Michelle Pav
Mar. 28, 2015 Ryan W. Porter, Founder, High Amplitude Capital Trading (HatCap), Seattle, Washington
 

Meetings with SEC Officials

(Click here for submitted comments from the public)
May 20, 2016 Memorandum from the Division of Trading and Markets regarding a May 18, 2016, meeting with representatives of NYSE/ICE, CBOE, Delta Strategy Group, Chicago Trading Company (CTC), NASDAQ, and Optiver
May 18, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a May 17, 2016, meeting with representatives of Chicago Trading Company
Mar. 16, 2016 Memorandum from the Office of the Chair regarding a March 8, 2016, meeting with representatives of Optiver
Mar. 8, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a March 8, 2016, meeting with representatives of Delta Stategy Group
Feb. 10, 2016 Memorandum from the Division of Trading and Markets regarding a February 3, 2016, meeting with representatives of Virtu Financial, LLC
Aug. 17, 2015 Memorandum from the Division of Trading and Markets regarding an August 4, 2015, conference call with representatives of Susquehanna International Group, LLP
Aug. 7, 2015 Memorandum from the Office of the Chair regarding an August 6, 2015, meeting with representatives of CTC Trading Group and Optiver
Jul. 27, 2015 Memorandum from the Division of Trading and Markets regarding a July 27, 2015, meeting with representatives of Delta Strategy Group, CTC Trading Group, Optiver, Peak6 Investments, and Belvedere Trading
Jul. 27, 2015 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 27, 2015, meeting with representatives of Optiver Trading, Peak6 Trading, and Delta Strategy Group
Jul. 27, 2015 Memorandum from the Office of Commissioner Kara Stein regarding a July 27, 2015, meeting with representatives of Optiver Trading, Peak6 Trading, and Delta Strategy Group
May 28, 2015 Memorandum from the Division of Trading and Markets regarding a May 28, 2015, conference call with representatives of Delta Strategy Group
Apr. 8, 2015 Memorandum from the Division of Trading and Markets regarding an April 7, 2015, conference call with representatives of Susquehanna International Group, LLP

 

http://www.sec.gov/comments/s7-05-15/s70515.shtml

Modified: 12/16/2016