Comments on Proposed Rule: Disclosure of Order Handling Information

[Release No. 34-78309; File No. S7-14-16]

Submitted Comments

(Click here for meetings with SEC officials)
Dec. 8, 2017 Andres A. Casellas, University of Notre Dame
Dec. 8, 2017 Taylor Klawunder
Dec. 8, 2017 Paul LoVullo, Student, University of Notre Dame
Dec. 8, 2017 Carlos Covarrubias
Dec. 8, 2017 Christopher W. Flood, Student, University of Notre Dame
Dec. 8, 2017 Evan Feeney, Student, University of Notre Dame
Dec. 8, 2017 Nicholas C. Homolka, Finance Major, University of Notre Dame
Dec. 8, 2017 James Y. Jang, Student, University of Notre Dame
Dec. 8, 2017 Kaitlin R. Klawunder, University of Notre Dame
Dec. 7, 2017 Juan C. Mendez, Student, University of Notre Dame
Dec. 7, 2017 Maria F. Alfaro, Student
Dec. 7, 2017 Austin G. Yellen, Student, University of Notre Dame
Dec. 7, 2017 William Carney
Dec. 7, 2017 Maria P. Morales, Student, University of Notre Dame
Dec. 6, 2017 Abigail Mines, Finance Major, University of Notre Dame
Dec. 6, 2017 John Travisano
Dec. 6, 2017 John Walsh, Student, University of Notre Dame
Dec. 6, 2017 John F O'Brien, Student, University of Notre Dame
Dec. 3, 2017 Kyle Crotty
Dec. 2, 2017 Joseph Krause
Dec. 1, 2017 Andrew C. Foster, Student, University of Notre Dame
Dec. 1, 2017 Kai Yun Toh
Dec. 1, 2017 Casey Dugan, Student, University of Notre Dame
Nov. 29, 2017 Stephen Muldoon
May 18, 2017 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Apr. 11, 2017 Jon Schneider, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
Feb. 3, 2017 David M. Weisberger, President, Exquam LLC
Jan. 24, 2017 Suzanne Shatto
Jan. 6, 2017 Tyler Gellasch, and Chris Nagy, Director, Healthy Markets Association
Dec. 8, 2016 Patrick J. Darché, University of Notre Dame Class of 2017
Dec. 8, 2016 Robert B. Butler, Student, University of Notre Dame, South Bend, Indiana
Dec. 8, 2016 Devon Roura
Dec. 8, 2016 Matthew Noone
Dec. 8, 2016 David Harvan, Student, University of Notre Dame, Notre Dame, Indiana
Dec. 8, 2016 Michelle Lacouture
Dec. 8, 2016 Morgan M. Kavanaugh, University of Notre Dame
Dec. 8, 2016 Paul Seo, University of Notre Dame
Dec. 7, 2016 Sarah F. Haley, Notre Dame, Indiana
Dec. 7, 2016 Kevin A. Hart, University of Notre Dame, South Bend, Indiana
Dec. 7, 2016 Michaela McInerney
Nov. 22, 2016 Adam C. Turner, Notre Dame, Indiana
Nov. 7, 2016 Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Oct. 31, 2016 John A. McCarthy, General Counsel, KCG Holdings, Inc.
Oct. 31, 2016 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Oct. 18, 2016 Joseph J. Kinahan, Managing Director, Client Advocacy and Market Structure, TD Ameritrade, Chicago, Illinois
Oct. 17, 2016 Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Oct. 13, 2016 Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel Securities, Chicago, Illinois
Oct. 7, 2016 Timothy J. Mahoney, CEO, BIDS Trading L.P., New York, New York
Sep. 30, 2016 Matt D. Lyons, Global Trading Manager, et al., The Capital Group Companies
Sep. 28, 2016 Abraham Kohen, President, AK Financial Engineering Consultants, LLC, New York, New York
Sep. 26, 2016 Jeff Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab, Washington, District of Columbia
Sep. 26, 2016 Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Sep. 26, 2016 Nathaniel Evarts, State Street Global Advisors
Sep. 26, 2016 John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association, New York, New York
Sep. 26, 2016 Tyler Gellasch, Executive Director, Healthy Markets Association
Sep. 26, 2016 Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Sep. 26, 2016 Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Sep. 26, 2016 Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Sep. 26, 2016 Greg Babyak Head, Global Regulatory and Policy Group, Bloomberg LP, and Gary Stone, Market Structure Strategy, Bloomberg Tradebook and Bloomberg LP
Sep. 26, 2016 Erin K. Preston, CCO/Associate General Counsel, Dash Financial LLC, New York, New York
Sep. 26, 2016 David Weisberger, Managing Director, IHS Markit, New York, New York
Sep. 26, 2016 Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York
Sep. 26, 2016 Micah Hauptman, Financial Services Counsel, Consumer Federation of America
Sep. 26, 2016 Richard Foster, Senior Vice President and Senior Counsel for Regulatory and Legal Affairs, Financial Services Roundtable, Washington, District of Columbia
Sep. 26, 2016 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Sep. 26, 2016 Richie Prager, Senior Managing Director, Head of Trading, Liquidity & Investments Platform, et al., BlackRock, Inc.
Sep. 26, 2016 Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Sep. 26, 2016 David W. Blass, General Counsel, Investment Company Institute
Sep. 23, 2016 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Sep. 23, 2016 Joanna Mallers, Secretary, FIA Principal Traders Group
Aug. 26, 2016 James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 3, 2018 Memorandum from the Division of Trading and Markets regarding an October 3, 2018, meeting with representatives of SIFMA and SIFMA Member Firms
Sep. 21, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 5, 2018, meeting with representatives of Healthy Markets
Jul. 31, 2018 Memorandum from the Office of Commissioner Hester M. Peirce regarding a July 23, 2018, meeting with representatives of Fidelity
Jul. 23, 2018 Memorandum from the Division of Trading and Markets regarding a July 23, 2018, meeting with representatives of Fidelity Investments
Jun. 29, 2018 Memorandum from the Division of Trading and Markets regarding a June 28, 2018, meeting with representatives of 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 AssetManagement 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 31, 2018 Memorandum from the Division of Trading and Markets regarding a May 31, 2018, meeting with representatives of Charles Schwab & Co., Inc.
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. 26, 2018 Memorandum from the Division of Trading and Markets regarding an April 26, 2018, meeting with representatives of Virtu Financial
Mar. 16, 2018 Memorandum from the Division of Trading and Markets regarding a March 16, 2018, meeting with representatives of Better Markets, Inc.
Mar. 14, 2018 Memorandum from the Office of Commissioner Kara M. Stein regarding a March 14, 2018, meeting with representatives of Healthy Markets
Feb. 28, 2018 Memorandum from the Division of Trading and Markets regarding a February 28, 2018, meeting with representatives of Clearpool Group, Inc.
Feb. 28, 2018 Memorandum from the Division of Trading and Markets regarding a February 26, 2018, with representatives of Morgan Stanley
Jun. 6, 2017 Memorandum from the Division of Trading and Markets regarding a June 6, 2017, meeting with representatives of Rosenblatt Securities Inc., et al.
May 17, 2017 Memorandum from the Division of Trading and Markets regarding a May 17, 2017, meeting with representatives of the Healthy Markets Association, et al.
Feb. 6, 2017 Memorandum from the Office of the Chairman regarding a February 2, 2017, meeting with representatives of Clearpool Group, Inc.
Nov. 30, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a November 30, 2016, meeting with representatives of Healthy Markets
Nov. 23, 2016 Memorandum from the Office of Commissioner Kara Stein regarding a November 22, 2016, meeting with representatives of the Security Traders Association
Nov. 22, 2016 Memorandum from the Division of Trading and Markets regarding a November 22, 2016, meeting with representatives of the Security Traders Association
Oct. 18, 2016 Memorandum from the Division of Trading and Markets regarding an October 18, 2016, conference call with members of the Customer Issues Subcommittee of the Equity Market Structure Advisory Committee
Sep. 27, 2016 Memorandum from the Division of Trading and Markets regarding a September 27, 2016, meeting with representatives of Royal Bank of Canada and buy-side representatives
Sep. 27, 2016 Memorandum from the Division of Trading and Markets regarding a September 26, 2016, meeting with representatives of Managed Funds Association and institutional investors
Sep. 21, 2016 Memorandum from the Division of Trading and Markets regarding a September 21, 2016, meeting with representatives of BIDS Trading, L.P.
Sep. 13, 2016 Memorandum from the Office of the Investor Advocate regarding a September 13, 2016, conference call with representatives of Investment Company Institute