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)
Jul. 10, 2018 Danny Mulson
Jul. 10, 2018 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Jul. 10, 2018 Security Traders Association
Jul. 9, 2018 R. Dale Lynch, Executive Vice President, Chief Financial Officer and Treasurer, Federal Agricultural Mortgage Corporation
Jul. 6, 2018 Tyler Gellasch, Executive Director, Healthy Markets Association
Jul. 5, 2018 Adam W. Miller, Chief Financial Officer and Treasurer, Knight-Swift Transportation Holdings Inc.
Jul. 3, 2018 Mark J. Airola, Senior Vice President, General Counsel, Chief Administrative Officer and Corporate Secretary, Newpark Resources, Inc.
Jul. 3, 2018 John S. Fischer, General Counsel, Natural Grocers by Vitamin Cottage, Inc.
Jul. 2, 2018 Jennifer D. Whalen, Senior Vice President, Chief Financial Officer, Era Group Inc.
Jul. 2, 2018 David M. Weisberger, Head of Equities, ViableMkts
Jul. 2, 2018 Christopher T. Weber, Executive Vice President, Chief Financial Officer, Halliburton
Jul. 2, 2018 Eric P. Sills, Chief Executive Officer and President, Standard Motor Products, Inc.
Jun. 29, 2018 Isabel Janci, Vice President, Investor Relations, The Home Depot
Jun. 29, 2018 W. Stancil Starnes, Chairman, President and Chief Executive Officer, ProAssurance Corporation
Jun. 28, 2018 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Jun. 28, 2018 Timothy W. Gordon, Executive Vice President and Chief Financial Officer, Energizer Holdings, Inc.
Jun. 27, 2018 Michael J. Schewel, Vice President & General Counsel, Corporate Secreta, Tredegar Corporation
Jun. 27, 2018 Nicholas C. Taylor, Chairman and CEO, Mexco Energy Corporation
Jun. 27, 2018 John Ramsay, Chief Market Policy Officer, Investors Exchange LLC
Jun. 27, 2018 Anonymous
Jun. 26, 2018 Michael Sherman, Vice President, General Counsel, Genesis Healthcare, Inc.
Jun. 26, 2018 Adam F. Wergeles, EVP/General Counsel, Leaf Group Ltd.
Jun. 26, 2018 Haim Bodek, Managing Principal, Decimus Capital Markets, LLC
Jun. 26, 2018 Jerry Fowden, Chief Executive Officer, Cott Corporation
Jun. 25, 2018 Dean Shigemura, Vice Chairman and Chief Financial Officer, Bank of Hawaii Corporation
Jun. 25, 2018 John Christofilos, Senior Vice-President & Chief Trading Officer, AGF Investments Inc.
Jun. 25, 2018 John J. Manning, Vice President, General Counsel and Secretary, Sensient Technologies Corporation
Jun. 22, 2018 Bryan H. Fairbanks, Chief Financial Officer, Trex Company
Jun. 22, 2018 Richard L. Travis, Chief Financial Officer, Ennis, Inc.
Jun. 22, 2018 Stephen C. Richter, Executive Vice President and CFO, Weingarten Realty
Jun. 22, 2018 Anonymous
Jun. 22, 2018 Michael R. Peterson, Corporate Secretary, Johnson Controls International plc
Jun. 22, 2018 Mark H. Collin, Senior Vice President, Chief Financial Officer & Treasurer, Unitil Corporation
Jun. 22, 2018 Eric D. Koster, General Counsel and Secretary, Ethan Allen Interiors, Inc.
Jun. 22, 2018 Timothy P. Olson, Senior Corporate Counsel and Corporate Secretary, NorthWestern Energy
Jun. 22, 2018 Geir Øivind Nygård, Chief Investment Officer Asset Strategies and Simon Emrich, Head of Market Structure Strategies; Norges Bank Investment Management
Jun. 22, 2018 J.A.
Jun. 21, 2018 Thomas R. Kubera, Chief Accounting Officer and Interim Chief Financial Officer, SIFCO Industries, Inc.
Jun. 21, 2018 Neal V. Fenwick, Executive Vice President and Chief Financial Offic, ACCO Brands, Inc.
Jun. 21, 2018 Mark Elliott, Chief Financial Officer, Level Brands, Inc.
Jun. 21, 2018 Janet McGinness, Corporate Secretary, Mastercard, Inc.
Jun. 21, 2018 John M. Freeman, Chief Legal Officer and Corporate Secretary, McDermott
Jun. 20, 2018 Anonymous
Jun. 19, 2018 Keith Neumeyer, President & CEO, First Majestic Silver Corp.
Jun. 15, 2018 Larry Harris, Fred V. Keenan Chair in Finance, USC Marshall School of Business
Jun. 14, 2018 William P. Neuberger and Andrew F. Silverman, Managing Directors, Global Co-Heads of Morgan Stanley Electronic Trading, Morgan Stanley & Co. LLC
Jun. 13, 2018 Jon R. Moeller, Vice Chairman & Chief Financial Officer, The Procter & Gamble Company
Jun. 12, 2018 Mehmet S. Kinak, Vice President, Global Head of Systematic Trading & Market Structure, and Jonathan Siegel, Vice President, Senior Legal Counsel (Legislative & Regulatory Affairs); T. Rowe Price
Jun. 12, 2018 Jonathan A. Clark, Chief Executive Officer, and James C. Dolan, Chief Compliance Officer, Luminex Trading and Analytics LLC
Jun. 11, 2018 J.W. Verret, Associate Professor, George Mason University Antonin Scalia Law School
Jun. 7, 2018 Rajesh Sharma, Corporate Secretary, Apache Corporation
Jun. 7, 2018 Danny Mulson
Jun. 4, 2018 Victor Lin, Credit Suisse
Jun. 1, 2018 Kimberly Unger, CEO & Executive Director, Security Traders Association of New York
May 31, 2018 Alan Harris
May 31, 2018 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
May 31, 2018 Mike Rask, Chairman of the Board, and James Toes, President & CEO; Security Traders Association (STA)
May 30, 2018 John Ramsay, Chief Market Policy Officer, Investors Exchange LLC
May 30, 2018 Matt D. Lyons, Global Equity Trading Manager, and Peter D. Stutsman, U.S. Regional Equity Trading Manager; The Capital Group Companies
May 25, 2018 Chester S. Spatt, Chaired Professor of Finance, Carnegie Mellon University, and Visiting Chaired Professor of Finance, MIT
May 25, 2018 Joseph Kinahan, Managing Director, Client Advocacy and Market Structure, TD Ameritrade, Inc.
May 25, 2018 Edward S. Knight, Executive Vice President and Global Chief Legal Policy Officer, Nasdaq, Inc.
May 25, 2018 James J. Angel, Associate Professor, Georgetown University
May 25, 2018 Ray Ross, Chief Technology Officer, Clearpool Group
May 25, 2018 Cynthia Jo Bessette, General Counsel, Executive Vice President, OFI Global Asset Management, Inc., et al.
May 25, 2018 Edward T. Tilly, Chairman and CEO, Cboe Global Markets Inc.
May 25, 2018 Michael Jacejko, Partner, Birch Bay Capital, LLC
May 25, 2018 Kevin Duggan, Managing Director, Execution & Treasury, Capital Markets, Ontario Teachers’ Pension Plan, and Don W. Pontes, Investment Director, Financial Markets, Sustainable Investment, CalPERS
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 Cronin, 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 21, 2018 Karl Polen, Chief Investment Officer, Arizona State Retirement System
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)
Jul. 9, 2018 Memorandum from the Division of Trading and Markets regarding a July 9, 2018, meeting with representatives of Citadel Securities
Jul. 2, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 28, 2018, meeting with representatives of TD Ameritrade
Jun. 28, 2018 Memorandum from the Division of Trading and Markets regarding a June 28, 2018, meeting with representatives of the Security Traders Association
Jun. 19, 2018 Memorandum from the Division of Trading and Markets regarding a June 19, 2018, meeting with representatives of Investment Company Institute and Asset Management Representatives
Jun. 5, 2018 Memorandum from the Division of Trading and Markets regarding a June 5, 2018, meeting with representatives of Rosenblatt Securities and Asset Management Representatives
May 23, 2018 Memorandum from the Division of Trading and Markets regarding a May 23, 2018, meeting 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