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Comments on Proposed Rule: Exemption for Certain Exchange Members
[Release No. 34-74581; File No. S7-05-15]
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(Click here for meetings with SEC officials)
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| 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
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| 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
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