Comments on Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security

[Release No. 34- 89632; File No. S7-10-20]

Submitted Comments

 (Click here for meetings with SEC officials)
Jun. 16, 2022 John Kennedy, United States Senator et al.
May 3, 2021 Kelvin To, Founder and President, Data Boiler Technologies, LLC
Dec. 17, 2020 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Dec. 13, 2020 David Arkules, Alex Victor And Associates, LLC
Dec. 13, 2020 David Arkules
Dec. 11, 2020 Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel & Corporate Secretary, NYSE
Dec. 4, 2020 Howard Meyerson, Managing Director, Financial Information Forum
Dec. 4, 2020 Micheal Simon, CAT NMS Plan Operating Committee Chair
Dec. 2, 2020 Jeffrey S. Davis on behalf of Nasdaq, Inc., Senior Vice President, General Counsel, Nasdaq, Inc.
Dec. 2, 2020 Shelly Bohlin, President Chief Operating Officer, FINRA CAT, LLC
Dec. 2, 2020 Jennifer W. Han, Managing Director & Counsel, Regulatory Affairs, Managed Funds Association
Dec. 2, 2020 Patrick Sexton, Executive Vice President, General Counsel, Cboe Global Markets, Inc. and Greg D. Hoogasian, Senior Vice President, Chief Regulatory Officer, Cboe Global Markets, Inc.
Dec. 2, 2020 Elizabeth K. King, Chief Regulatory Officer, ICE, General Counsel & Corporate Secretary, NYSE
Nov. 30, 2020 Lev Bagramian, Senior Securities Policy Advisor, Better Markets
Nov. 30, 2020 Marcia E. Asquith, Executive Vice President, Board and External Relations, Financial Industry Regulatory Authority, Inc.
Nov. 30, 2020 Blair Anderson, Director, AWS Public Policy
Nov. 30, 2020 Stephan Wolf, CEO, Global Legal Entity Identifier Foundation
Nov. 30, 2020 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Nov. 30, 2020 Peter Salmon, Senior Director, Technology and Cybersecurity, Investment Company Institute
Nov. 30, 2020 Thomas Tesauro, President, Fidelity Capital Markets, Fidelity Investments
Nov. 30, 2020 Ellen Greene, Managing Director, Equity and Options Market Structure, Securities Industry and Financial Markets Association
Nov. 30, 2020 Kelvin To, Founder and President, Data Boiler Technologies, LLC
Nov. 30, 2020 Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Nov. 30, 2020 Scott W. Bauguess, PhD, Clinical Associate Professor of Finance, McCombs School of Business, University of Texas at Austin
Nov. 24, 2020 Marcie Frost, Chief Executive Officer, California Public Employees Retirement System (CalPERS)
Oct. 5, 2020 Peter Schwartz, Systemic Risk Regulator
Oct. 1, 2020 Peter Schwartz
Aug. 22, 2020 Gary Troyanowski

Meetings with SEC Officials

 (Click here for submitted comments from the public)
Mar. 12, 2024 Memorandum from the Division of Trading and Markets regarding a March 12, 2024 meeting with representatives of the Financial Industry Regulatory Authority ("FINRA")
Sep. 14, 2022 Memorandum from the Office of Commissioner Jaime Lizárraga regarding a September 14, 2022 meeting with representatives of SIFMA
Aug. 16, 2022 Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 10, 2022 teleconference with representatives of SIFMA
Jul. 22, 2022 Memorandum from the Office of the Chair regarding a July 22, 2022 meeting with representatives of FINRA
Jul. 8, 2022 Memorandum from the Office of the Chair regarding a May 18, 2022 meeting with representatives of CAT LLC and FINRACAT
Jun. 15, 2022 Memorandum from the Office of the Chair regarding a June 15, 2022 meeting with representatives of the RAND Corporation
May 18, 2022Memorandum from the Office of the Chair regarding a May 18, 2022 meeting with representatives of CAT LLC and FINRACAT
Mar. 3, 2022 Memorandum from the Policy Counsel for Trading and Markets, Office of the Chair regarding a March 3, 2022 meeting with representatives from Cboe
Mar. 1, 2022 Memorandum from the Policy Counsel for Trading and Markets, Office of the Chair regarding a March 1, 2022 meeting with representatives from MayStreet
Jan. 26, 2022 Memorandum from the Office of the Chairman regarding a January 26, 2022 meeting with Representatives of NYSE
Jan. 25, 2022 Memorandum from the Office of the Chairman regarding a January 25, 2022 meeting with Representatives of Nasdaq
Dec. 14, 2021 Memorandum from the Division of Trading and Markets regarding a December 10, 2021, meeting with representatives of FINRA
Nov. 18, 2021 Memorandum from the Division of Trading and Markets regarding a November 18, 2021, meeting with representatives of FINRA
Oct. 22, 2021 Memorandum from the Policy Counsel Office regarding an October 22, 2021, meeting with representatives from the Securities Industry and Financial Markets Association
Oct. 18, 2021 Memorandum from the Division of Trading and Markets regarding an October 14, 2021, meeting with representatives of FINRA
Sep. 8, 2021 Memorandum from the Division of Trading and Markets regarding a September 7, 2021, meeting with Representatives of FINRA
Aug. 4, 2021 Memorandum from the Division of Trading and Markets regarding a June 24, 2021, meeting with Representatives of FINRA
Apr. 23, 2021 Memorandum from the Office of the Investor Advocate regarding an April 23, 2021 meeting with the Council of Institutional Investors
Feb. 22, 2021 Memorandum from the Office of Commissioner Elad Roisman regarding a February 8, 2021, meeting with Representatives of SIFMA
Feb. 8, 2021 Memorandum from the Division of Trading and Markets regarding a February 3, 2021, meeting with Representatives of the Securities Industry and Financial Markets Association
Dec. 9, 2020 Memorandum from the Division of Trading and Markets regarding a November 16, 2020, meeting with Representatives of Amazon Web Services, Inc.
Dec. 8, 2020 Memorandum from the Division of Trading and Markets regarding a September 11, 2020, meeting with Representatives of the Securities Industry and Financial Markets Association
May 6, 2024 Page Update