Comments on Proposed rule: Transaction Fee Pilot for NMS Stocks

[Release No. 34-82873; File No. S7-05-18]

Submitted Comments

(Click here for meetings with SEC officials)
May 25, 2018 Lisa Mahon Lynch, Director, Trading and Counterparty Services, Wellington Management Company LLP
May 25, 2018 Tim Gately, Managing Director, Head of Americas Equities, Citigroup Global Markets Inc.
May 25, 2018 Dennis Simmons, Executive Director, Committee on Investment of Employee Benefit Assets
May 25, 2018 Timothy J. Coyne, Global Head of ETF Capital Markets, and Nathaniel N. Evarts, Head of Trading, Americas; State Street Global Advisors
May 25, 2018 Heidi W. Hardin, Executive Vice President and General Counsel, MFS Investment Management
May 25, 2018 Micah Hauptman, Financial Services Counsel, Consumer Federation of America
May 25, 2018 Kevin Kronin, Global Head of Trading, Invesco Ltd.
May 25, 2018 Stephen Berger, Managing Director, Government and Regulatory Policy, Citadel Securities
May 25, 2018 Marc R. Bryant, Deputy General Counsel, Fidelity Investments
May 25, 2018 Paul M. Russo, Managing Director, Goldman Sachs Co. LLC
May 25, 2018 William H. Hebert, Managing Director, Financial Information Forum
May 25, 2018 Joseph Brennan, Principal and Global Head of Equity Investment Group, Vanguard
May 25, 2018 Jason Clague, Executive Vice President, Operational Services, Charles Schwab & Co., Inc.
May 24, 2018 Rich Steiner, Electronic Trading Strategist, RBC Capital Markets
May 24, 2018 Dennis M. Kelleher President & CEO, et al., Better Markets, Inc.
May 24, 2018 Linda M. Giordano, Co-Founder & CEO, and Jeffrey M. Alexander, Co-Founder & President; Babelfish Analytics, Inc.
May 24, 2018 Patrick J. Healy, Founder and CEO, Issuer Network
May 24, 2018 Theodore R. Lazo, Managing Director, Associate General Counsel, SIFMA
May 24, 2018 Joanna Mallers, Secretary, FIA Principal Traders Group (PTG)
May 24, 2018 Tyler Gellasch, Executive Director, Healthy Markets Association
May 23, 2018 Frank L. Jobert, Executive Director, Louisiana Trustee Education Council (LATEC)
May 23, 2018 Hubert De Jesus, Global Head of Market Structure and Electronic Trading, and Joanne Medero, U.S. Head of Global Public Policy; BlackRock, Inc.
May 23, 2018 Thomas K. Lee, Executive Director and CIO, et al., NYS Teachers' Retirement System
May 23, 2018 Mary E. Keefe, Managing Director, Regulatory Affairs , Nuveen, LLC
May 23, 2018 Susan M. Olson, General Counsel, Investment Company Institute
May 23, 2018 Douglas A. Cifu, Chief Executive Officer, Virtu Financial Inc.
May 22, 2018 Eric Swanson, CEO, XTX Markets LLC (Americas)
May 18, 2018 George Hessler, CEO, Magma Trading
May 18, 2018 Anthony W. Godonis, Director of Trading, Copeland Capital Management, LLC
May 15, 2018 Marc L. Lipson, Professor of Business Administration, University of Virginia
May 15, 2018 Brent Robertson, Managing Director, Trading, and Robert Gouley, Principal, Trading, OMERS Administration Corporation
May 15, 2018 Timothy J. Mahoney, Chief Executive Officer, BIDS Trading L.P.
May 15, 2018 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
May 14, 2018 Chris Barnard
May 14, 2018 David Mechner, Chief Executive Officer, Pragma Securities
May 14, 2018 Kelvin To, Founder and President, Data Boiler Technologies, LLC
May 10, 2018 Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors
May 9, 2018 Tim Quast, President and founder, ModernNetworks IR LLC
May 7, 2018 Sean D. Paylor, Trader, AJO, L.P.
May 2, 2018 Tim Quast, President, ModernNetworks IR LLC
May 1, 2018 Institutional Equity Division, Morgan Stanley
Apr. 27, 2018 Sal Arnuk and Joe Saluzzi, Partners, Co-Founders and Co-Heads of Equity Trading, Themis Trading LLC
Apr. 10, 2018 Brent Woods, Chief Executive Officer, and Joseph Scafidi, Director of Trading, Brandes Investment Partners, L.P.
Apr. 9, 2018 Adam D. Clark-Joseph, Assistant Professor of Finance, University of Illinois at Urbana-Champaign
Apr. 6, 2018 O. Mason Hawkins, Chairman & CEO, et al., Southeastern Asset Management, Inc.
Mar. 26, 2018 Peter Swan, Professor of Finance, University of New South Wales, Australia, et al.
Mar. 15, 2018 David Adorney, C & C Trading, LLC

Meetings with SEC Officials

(Click here for submitted comments from the public)
May 23, 2018 Memorandum from the Division of Trading and Markets regarding a May 23, 2018, meeting with with Representatives of JPMorgan Chase & Co.
May 23, 2018 Memorandum from the Division of Trading and Markets regarding a May 23, 2018, meeting with representatives of T. Rowe Price and Glenmede
May 22, 2018 Memorandum from the Office of Commissioner Kara Stein regarding a May 1, 2018, meeting with reqpresentatives of Morgan Stanley
May 14, 2018 Memorandum from the Division of Trading and Markets regarding a May 14, 2018, meeting with reqpresentatives of IEX
May 11, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 10, 2018, meeting with representatives of various buy-side firms
May 10, 2018 Memorandum from the Division of Trading and Markets regarding a May 10, 2018, meeting with representatives of Royal Bank of Canada and Buy-Side Representatives
May 1, 2018 Memorandum from the Division of Trading and Markets regarding a May 1, 2018, meeting with representatives of Morgan Stanley
Apr. 3, 2018 Memorandum from the Division of Trading and Markets regarding an April 3, 2018, conference call with representatives of State Street Global Advisors
Mar. 28, 2018 Memorandum from the Division of Trading and Markets regarding a March 28, 2018, meeting with representatives of Vanguard
Mar. 27, 2018 Memorandum from the Division of Trading and Markets regarding a March 27, 2018, meeting with representatives of TD Ameritrade
Mar. 22, 2018 Memorandum from the Division of Trading and Markets regarding a March 22, 2018, meeting with representatives of RBC Capital Markets
Mar. 19, 2018 Memorandum from the Division of Trading and Markets regarding a March 19, 2018, meeting with representatives of State Street Global Advisors