Comments on Proposed Rule: Disclosure of Order Handling Information

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Date Received
Date Letter Type Commenter Name
Public Comment Paul Seo, University of Notre Dame
Public Comment Robert B. Butler, Student, University of Notre Dame, South Bend, Indiana
Public Comment Kevin A. Hart, University of Notre Dame, South Bend, Indiana
Public Comment Michaela McInerney
Public Comment Sarah F. Haley, Notre Dame, Indiana
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 30, 2016, meeting with representatives of Healthy Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a November 22, 2016, meeting with representatives of the Security Traders Association
Public Comment Adam C. Turner, Notre Dame, Indiana
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 22, 2016, meeting with representatives of the Security Traders Association
Public Comment Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Public Comment Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Public Comment John A. McCarthy, General Counsel, KCG Holdings, Inc.
Public Comment Joseph J. Kinahan, Managing Director, Client Advocacy and Market Structure, TD Ameritrade, Chicago, Illinois
Meeting with SEC Officials 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
Public Comment Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment Adam C. Cooper, Senior Managing Director and Chief Legal Officer, Citadel Securities, Chicago, Illinois
Public Comment Timothy J. Mahoney, CEO, BIDS Trading L.P., New York, New York
Public Comment Matt D. Lyons, Global Trading Manager, et al., The Capital Group Companies
Public Comment Abraham Kohen, President, AK Financial Engineering Consultants, LLC, New York, New York
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 26, 2016, meeting with representatives of Managed Funds Association and institutional investors
Meeting with SEC Officials 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
Public Comment Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Public Comment Courtney D. McGuinn, Operations Director, FIX Trading Community, New York, New York
Public Comment David W. Blass, General Counsel, Investment Company Institute
Public Comment David Weisberger, Managing Director, IHS Markit, New York, New York
Public Comment Dennis M. Kelleher, President & CEO, et al., Better Markets, Inc.
Public Comment Erin K. Preston, CCO/Associate General Counsel, Dash Financial LLC, New York, New York
Public Comment Greg Babyak Head, Global Regulatory and Policy Group, Bloomberg LP, and Gary Stone, Market Structure Strategy, Bloomberg Tradebook and Bloomberg LP
Public Comment Jeff Brown, Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab, Washington, District of Columbia
Public Comment John Russell, Chairman of the Board, and James Toes, President & CEO, Security Traders Association, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

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