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Comments on Proposed Rule on Consolidated Audit Trail

[Release No. 34-62174; File No. S7-11-10]


Submitted Comments

(Click here for meetings with SEC officials)
Mar. 14, 2012 Dr. Gil Van Bokkelen Chairman & CEO, Athersys, Inc.
Mar. 7, 2012 Jennifer Setzenfand, Chairman, and James A. Toes, President and CEO, Security Traders Association, New York, New York
Mar. 2, 2012 Manisha Kimmel, Executive Director, Financial Information Forum
Feb. 22, 2012 John M. Damgard, President, Futures Industry Association, Washington, District of Columbia
Feb. 7, 2012 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Nov. 29, 2011 Geraldine M. Lettieri, New York, New York
Nov. 18, 2011 Joan C. Conley, Senior Vice President, The NASDAQ OMX Group, Inc., Rockville, Maryland
May 9, 2011 Charles Schumer, United States Senator
Apr. 6, 2011 Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA
Apr. 6, 2011 Michael Belanger, President, Jarg Corporation; Joseph Carrabis, CRO and Founder, NextStage Evolution; Wayne Ginion, Vice President, Enterprise Infrastructure Services, New York Times Company; David Morf, Partner, Senior Regional Economics Advisor, and Founding Member, Center for Adaptive Solutions
Mar. 30, 2011 Michael Belanger, President, Jarg Corporation; Joseph Carrabis, CRO and Founder, NextStage Evolution; Wayne Ginion, Vice President, Enterprise Infrastructure Services, New York Times Company; David Morf, Partner, Senior Regional Economics Advisor, and Founding Member, Center for Adaptive Solutions
Feb. 4, 2011 Dan K. Connell, CEO, New York, New York
Feb. 9, 2011 Richard A. Ross, Founder, High Speed Analytics, Weston, Connecticut
Jan. 12, 2011 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Dec. 6, 2010 Richard A. Ross, Weston, Connecticut
Nov. 24, 2010 Bonnie K. Wachtel, Wachtel & Co., Inc, Washington, District of Columbia
Nov. 24, 2010 Terry Keene, Chief Executive Officer, Integration Systems LLC
Aug. 30, 2010 Mike Riley, CEO, Endace Technology Ltd., Auckland, New Zealand
Aug. 17, 2010 James T. McHale, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Aug. 15, 2010 Patrick J. Healy, CEO, Issuer Advisory Group LLC, Chevy Chase, Maryland
Aug. 5, 2010 Sen. Edward E. Kaufman, United States Senate
Aug. 12, 2010 Joan Conley, Corporate Secretary, The NASDAQ OMX Group, Inc., Rockville, Maryland
Aug. 12, 2010 Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Aug. 12, 2010 John Harris, Chief Executive Officer, BondMart Technologies, Inc., Millington, New Jersey
Aug. 11, 2010 Edward J. Joyce, President and Chief Operating Officer, Chicago Board Options Exchange, Chicago, Illinois
Aug. 11, 2010 Jose Manso, EVP, Sales & Marketing, Middle Office Solutions LLC
Aug. 11, 2010 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Aug. 10, 2010 Michael Erlanger, Managing Principal, Marketcore, Inc.
Aug. 10, 2010 John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Aug. 9, 2010 Ted Myerson, Doug Kittelsen, and M. Gary LaFever, FTEN, Inc.
Aug. 9, 2010 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University, Washington D.C.
Aug. 9, 2010 Karrie McMillan, General Counsel, Investment Company Institute
Aug. 9, 2010 Christopher Nagy, Managing Director, Order Strategy, Co-Head, Government Relations, and John Markle, Deputy General Counsel, Co-Head Government Relations, TD AMERITRADE, Inc.
Aug. 9, 2010 Marcia Asquith, Senior Vice President and Corporate Secretary, FINRA, Washington, District of Columbia
Aug. 9, 2010 Peter A. Bloniarz, George Berg, and Sandor P. Schuman, University at Albany/SUNY, Albany, New York
Aug. 9, 2010 Marcia Asquith and Janet Kissane, Joint Letter from FINRA, NYSE, NYSE Arca and NYSE Amex, Washington, District of Columbia
Aug. 9, 2010 Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Aug. 9, 2010 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Aug. 9, 2010 Andrew Small, General Counsel, Scottrade, Inc.
Aug. 9, 2010 Eric Swanson, General Counsel, BATS Exchange, Inc., Lenexa, Kansas
Aug. 9, 2010 Devin Wenig, Chief Executive Officer, Market Division, Thomson Reuters
Aug. 9, 2010 Jon Feigelson, Senior Vice President, General Counsel & Head of Corporate Governance, TIAA-CREF Individual & Institutional Services, LLC
Aug. 9, 2010 Charlie J. Marchesani, President, Securities Processing Solutions U.S., Broadridge Financial Solutions, Inc.
Aug. 9, 2010 Anthony D. McCormick, Chief Executive Officer, Boston Options Exchange, Group LLC
Aug. 9, 2010 Mahesh Kumaraguru, FIXProtocol Java programmer, Stamford, Connecticut
Aug. 9, 2010 Eric W. Hess, Esq., General Counsel, Direct Edge, Jersey City, New Jersey
Aug. 9, 2010 Dror Segal and Lou Pizzo, Mansfield Consulting, LLC, New York, New York
Aug. 8, 2010 Horst Simon, Ph.D and David Leinweber, Ph.D., Lawrence Berkeley National Laboratory, Berkeley, California
Aug. 6, 2010 R. T. Leuchtkafer
Aug. 5, 2010 Courtney D. McGuinn, Operations Director, FIX Protocol Ltd., New York, New York
Aug. 3, 2010 Justin S. Magruder, President, Noetic Partners, Inc.
Jul. 28, 2010 Martin Koopman, Director, Aditat, New York, New York
Jul. 22, 2010 Justin S. Magruder, President, Noetic Partners, Inc.
Jul. 19, 2010 Howard Meyerson, General Counsel, and Vlad Khandros, Market Structure and Public Policy Analyst, Liquidnet, New York, New York
Jul. 8, 2010 Sam Balabon, CEO, Deep Liquidity, Inc., Austin, Texas
Jun. 16, 2010 John McCrary
Jun. 11, 2010 Clyde C. Grady, II, Jacksonville, Arkansas
Jun. 9, 2010 Ning Wen, Sales Director, Know More Software, Inc.
Jun. 7, 2010 Simhan Mandyam, MS,MPM, Managing Partner, Triage Life Sciences LLC, Camarillo, California
Jun. 6, 2010 Nicos K. Anastasopoulos, New York, New York
Jun. 5, 2010 Dan T. Nguyen, Wealth Management Company, Wausau, Wisconsin
Jun. 4, 2010 Alexander A. Kondracki
Jun. 1, 2010 Chandler Green
May 28, 2010 Paul Drescher, Registered Principal, Foothill Securities, Inc., Soquel, California
May 28, 2010 Steve H. Ericson, Tampa, Florida
May 26, 2010 Norris W. Beach, Illinois
May 26, 2010 Steven Vannelli
May 20, 2010 Rep. Melissa L. Bean, U.S. House of Representatives

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Oct. 3, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 3, 2013 meeting with representatives of Tradeworx, Inc.
Sep. 26, 2013 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 26, 2013, meeting with representatives of the National Stock Exchange, Inc.
May 14, 2013 Memorandum from the Office of Commissioner Paredes regarding a May 14, 2013, meeting with representatives of Direct Edge
May 8, 2013 Memorandum from the Office of Commissioner Walter regarding a May 7, 2013, meeting with representatives of the Security Traders Association (STA) and the Financial Information Forum (FIF)
Apr. 18, 2012 Memorandum from the Office of Commissioner Walter regarding a February 1, 2012 meeting with representatives of Direct Edge
Apr. 18, 2012 Memorandum from the Office of Commissioner Walter regarding a February 29, 2012 meeting with representatives of Security Traders Association and the Financial Information Forum
Apr. 17, 2012 Memorandum from the Division of Trading and Markets regarding January 23, 2012 and February 29, 2012 telephone conferences with representatives of FINRA
Feb. 29, 2012 Memorandum from the Division of Trading and Markets regarding a February 29, 2012, meeting with representatives of the Financial Information Forum
Feb. 2, 2012 Memorandum from the Office of the Chairman regarding a February 1, 2012, meeting with representatives of Direct Edge
Feb. 2, 2012 Memorandum from the Office of Commissioner Aguilar regarding a February 1, 2012, meeting with representatives of Direct Edge
Jan. 20, 2012 Memorandum from the Division of Trading and Markets regarding a January 20, 2012, meeting with representatives of the Securities Industry and Financial Markets Association
Jan. 12, 2012 Memorandum from the Office of the Chairman regarding a January 12, 2012, meeting with representatives of the Chicago Board Options Exchange
Dec. 5, 2011 Memorandum from the Division of Trading and Markets regarding a telephone conference with a representative of the Securities Industry and Financial Markets Association
Dec. 2, 2011 Memorandum from the Division of Trading and Markets regarding a November 7, 2011, telephone conference with a representative of FINRA
Nov. 16, 2011 Memorandum from the Office of Commissioner Walter regarding a November 16, 2011, meeting and conference call with representatives of the Securities Industry and Financial Markets Association
Nov. 8, 2011 Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a November 1, 2011, meeting with representatives of the Securities Industry and Financial Markets Association and JP Morgan Chase & Co.
Nov. 1, 2011 Memorandum from the Office of the Chairman regarding a November 1, 2011, meeting with representatives of SIFMA
Oct. 25, 2011 Memorandum from the Division of Trading and Markets regarding an October 20, 2011, telephone conference with representatives of FINRA
Aug. 1, 2011 Memorandum from the Office of Commissioner Paredes regarding an August 1, 2011, meeting with representatives of FINRA
Jul. 12, 2011 Memorandum from the Office of Commissioner Paredes regarding a July 12, 2011, telephonic meeting with representatives of SIFMA
Jun. 30, 2011 Memorandum from the Office of Commissioner Paredes regarding a June 30, 2011, telephonic meeting with representatives of FINRA
May 19, 2011 Memorandum from the Division of Trading and Markets regarding a May 3, 2011, meeting with representatives of FINRA
Mar. 9, 2011 Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives of Correlix, Inc.
Jan. 26, 2011 Memorandum from the Division of Trading and Markets regarding a January 14, 2011, meeting with representatives of Citadel
Jan. 26, 2011 Memorandum from the Division of Trading and Markets regarding a January 7, 2011, meeting with representatives of Ameritrade
Jan. 12, 2011 Memorandum from the Division of Trading and Markets regarding a January 11, 2011, telephonic conference call with representatives of Nasdaq OMX Group, Inc.
Jan. 6, 2011 Memorandum from the Division of Trading and Markets regarding a January 6, 2011, meeting with representatives of Thomson Reuters
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 1, 2010, meeting with representatives of FINRA
Dec. 21, 2010 Memorandum from the Division of Trading and Markets regarding a December 21, 2010 telephone conference with representatives of Nasdaq OMX Group, Inc.
Dec. 21, 2010 Memorandum from the Division of Trading and Markets regarding a December 21, 2010 telephone conference with representatives of Morgan Stanley
Dec. 21, 2010 Memorandum from the Division of Trading and Markets regarding a December 21, 2010 telephone conference with representatives of BATS Exchange, Inc.
Dec. 14, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding a November 30, 2010 meeting with representatives of TD Ameritrade
Dec. 13, 2010 Memorandum from the Division of Trading and Markets regarding a December 13, 2010 telephonic conference call with Rajendra Pradhan
Nov. 1, 2010 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2010 meeting with representatives of FINRA
Oct. 20, 2010 Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Securities Industry and Financial Markets Association
Oct. 13, 2010 Memorandum from the Office of Commissioner Walter regarding a October 4, 2010, meeting with representatives of the Investment Company Institute
Oct. 5, 2010 Memorandum from the Office of Commissioner Aguilar regarding a September 30, 2010, meeting with representatives of the Nasdaq OMX Group and SMARTS Group, Inc.
Oct. 1, 2010 Memorandum from the Office of Commissioner Walter regarding an October 1, 2010, meeting with representatives of Nasdaq OMX
Sep. 30, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010, meeting with representatives of Nasdaq OMX
Sep. 27, 2010 Memorandum from the Division of Enforcement regarding a September 14, 2010, telephonic conference call with representatives of the Technology Subgroup of the Intermarket Surveillance Group
Jul. 29, 2010 Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of FTEN, Inc.
Jul. 28, 2010 Memorandum from the Division of Trading and Markets regarding a July 28, 2010, meeting with representatives of the SIFMA Equity Options Trading Committee
Jul. 27, 2010 Memorandum from the Division of Trading and Markets regarding a July 27, 2010, meeting with Noetic Partners, XtremeData, Greener & Hook, and Gorman & Associates
Jul. 26, 2010 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Jul. 19, 2010 Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 8, 2010, meeting with representatives of Headlands Technologies LLC
Jul. 19, 2010 Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch
Jul. 16, 2010 Memorandum from the Division of Trading and Markets regarding a July 16, 2010, meeting with representatives from Broadridge Financial Solutions, Inc.
Jun. 28, 2010 Memorandum from the Office of the Chairman regarding a June 24, 2010, meeting with representatives of Virtu Financial LLC
Jun. 21, 2010 Memorandum from the Office of Commissioner Aguilar regarding a June 17, 2010, telephone call with a representative of Southeastern Asset Management
Jun. 10, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 10, 2010, meeting with representatives of NYSE Euronext
Jun. 9, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
Jun. 9, 2010 Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Jun. 9, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a June 9, 2010, meeting with representatives of Direct Edge

 

http://www.sec.gov/comments/s7-11-10/s71110.shtml

Modified: 10/16/2014