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 the Chairman regarding an October 16, 2018, meeting with representatives of NYSE
Public Comment Rich Steiner, Electronic Trading Strategist, RBC Capital Markets, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding a September 26, 2018, meeting with representatives of Healthy Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Robert J. Jackson, Jr. regarding an October 4, 2018, meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 10, 2018, meeting with representatives of CACI
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 4, 2018, meeting with a representative of Select Vantage Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 3, 2018, meeting with representatives of SIFMA and member firms
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 3, 2018, meeting with representatives of CBOE Global Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 3, 2018, meeting with representatives of FIA Principal Traders Group
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 26, 2018, meeting with representatives of State Street Global Advisors
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 3, 2018, meeting with representatives of Cboe Global Markets, Inc.
Public Comment Ira S. Lederman, Executive Vice President and Secretary, W.R. Berkley Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 2, 2018, meeting with representatives and members of TraderForum
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 2, 2018, meeting with representatives of TD Ameritrade
Public Comment Stacey Cunningham, President, New York Stock Exchange
Public Comment Katya Malinova, Mackenzie Investments Chair in Evidence-Based Investment Management, DeGroote School of Business, McMaster University, et al.
Public Comment Richard P. Grasso, Grasso Plumbing LLC
Public Comment Susan M. Olson, General Counsel, Investment Company Institute
Public Comment Chris Concannon, President and Chief Operating Officer, Cboe Global Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad Roisman regarding a September 26, 2018, meeting with representatives of State Street Financial Services Inc.
Public Comment John Ramsay, Chief Market Policy Officer, Investors Exchange LLC
Public Comment Anonymous
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 5, 2018, meeting with representatives of Healthy Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 14, 2018, call with representatives of Citadel Securities
Public Comment Sandra E. O'Connor, Chief Regulatory Affairs Officer, JPMorgan Chase Co.
Public Comment Recommendation of the SEC Investor Advisory Committee
Public Comment Jeffrey S. Davis, Deputy General Counsel, Nasdaq, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 30, 2018, meeting with representatives of Cboe Global Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 6, 2018, meeting with representatives of IEX
Public Comment Sal Arnuk and Joe Saluzzi, Partners, Co-Founders and Co-Heads of Equity Trading, Themis Trading LLC

Last Reviewed or Updated: Dec. 18, 2025

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