Comments on Proposed Rule: Disclosure of Order Handling Information

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 23, 2018, call with representatives of Charles Schwab & Co.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 23, 2018, call with representatives of Citadel Securities
Meeting with SEC Officials Memorandum from the Office of Commissioner Stein regarding an October 30, 2018, meeting with representatives of RBC Capital Markets, et al.
Public Comment Jeff Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab and Co.
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding an October 30, 2018, meeting with representatives of RBC and others
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 27, 2018, meeting with a representative of the American Securities Association
Public Comment Stephen Berger, Managing Director, Government and Regulatory Policy, Citadel Securities
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 3, 2018, meeting with representatives of SIFMA and SIFMA Member Firms
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 Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 28, 2018, meeting with representatives of Security Traders Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 19, 2018, meeting with representatives of Investment Company Institute and AssetManagement Representatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 5, 2018, meeting with representatives of Rosenblatt Securities and Asset Management Representatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2018, meeting with representatives of Charles Schwab & Co., Inc.
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 1, 2018, meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 26, 2018, meeting with representatives of Virtu Financial
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 16, 2018, meeting with representatives of Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a March 14, 2018, meeting with representatives of Healthy Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 26, 2018, with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 28, 2018, meeting with representatives of Clearpool Group, Inc.
Public Comment Andres A. Casellas, University of Notre Dame
Public Comment Carlos Covarrubias
Public Comment Christopher W. Flood, Student, University of Notre Dame
Public Comment Evan Feeney, Student, University of Notre Dame
Public Comment James Y. Jang, Student, University of Notre Dame
Public Comment Kaitlin R. Klawunder, University of Notre Dame
Public Comment Nicholas C. Homolka, Finance Major, University of Notre Dame
Public Comment Paul LoVullo, Student, University of Notre Dame

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-14-16
Release Number
34-78309
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