Comments on Proposed rule: Transaction Fee Pilot for NMS Stocks

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a September 12, 2019, meeting with representatives of RBC
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an August 6, 2019, meeting with representatives of IEX
Public Comment Eric I. Cohen, Senior Vice President, Secretary and General Couns, Terex Corporation
Public Comment Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 18, 2018, meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 18, 2018, meeting with representatives of Nasdaq
Public Comment Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 13, 2018, meeting with representatives of the New York Stock Exchange
Public Comment Patrick Healy, Founder and CEO, Issuer Network
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an October 30, 2018, meeting with Royal Bank of Canada, et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 11, 2018, meeting with representatives of Cboe Global Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a December 6, 2018, meeting with representatives of TD Ameritrade
Public Comment J.W. Verret, Associate Professor of Law, George Mason University Scalia Law School
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 19, 2018, meeting with representatives of Cboe Global Markets
Public Comment J. A.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 19, 2018, meeting with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 28, 2018, meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 28, 2018, meeting with representatives of New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a November 28, 2018, meeting with representatives of RBC Capital Markets
Public Comment Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Staff Study Division of Economic and Risk Analysis White Paper: Does the Tick Size Affect Stock Prices? Evidence from the Tick Size Pilot Announcement of the Test Groups and the Control Group
Public Comment Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 5, 2018, meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an October 30, 2018, meeting with representatives of Royal Bank of Canada, et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 30, 2018, meeting with representatives of Royal Bank of Canada and buy-side representatives
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 30, 2018, meeting with representatives of RBC and others
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 27, 2018, meeting with a representative of the American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson regarding an October 15, 2018, meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 16, 2018, meeting with representatives of NYSE
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 16, 2018, meeting with representatives of the American Securities Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-05-18
Release Number
34-82873
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