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Comments on Proposed Rule: Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments

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Date Sort descending	Letter Type	Commenter Name
Dec. 17, 2019	Meeting with SEC Officials	Memorandum from the Office of the Investor Advocate regarding a December 10, 2019, meeting with representatives of Healthy Markets Association
Dec. 12, 2019	Public Comment	Tyler Gellasch, Executive Director, Healthy Markets Association
Dec. 10, 2019	Public Comment	Dennis M. Kelleher, President & CEO, and Lev Bagramian, Senior Securities Policy Advisor, Better Markets Inc.
Dec. 10, 2019	Public Comment	Derrick Chan, Head of Equities Trading and Sales, Fidelity Capital Markets
Dec. 10, 2019	Public Comment	Dorothy M. Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Dec. 10, 2019	Public Comment	Greg Babyak, Global Head of Regulatory Affairs, Bloomberg L.P.
Dec. 10, 2019	Public Comment	Joan C. Conley, Senior Vice President and Corporate Secretary, Nasdaq
Dec. 10, 2019	Public Comment	Joanna Mallers, Secretary, FIA Principal Traders Group
Dec. 10, 2019	Public Comment	Ray Ross, Chief Technology Officer, Clearpool Group
Dec. 10, 2019	Public Comment	Rich Steiner, Head of Client Advocacy and Market Innovation, RBC Capital Markets
Dec. 9, 2019	Public Comment	Howard Kramer and James Dombach, Murphy & McGonigle; Robert B. Wilcox, Jr. and Chris L. Bollinger, Schiff Hardin LLP
Dec. 6, 2019	Public Comment	Mark D. Epley, Executive Vice President & Managing Director, General Counsel, and Jennifer W. Han, Associate General Counsel; Managed Funds Association
Dec. 6, 2019	Public Comment	Theodore D. Lazo, Managing Director, Associate General Counsel, SIFMA
Dec. 5, 2019	Public Comment	Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors
Nov. 3, 2019	Public Comment	Ruben Castro Medina, Student, Metropolitan State University of Denver
Oct. 28, 2019	Meeting with SEC Officials	Memorandum from the Office of the Chairman regarding an October 28, 2019, meeting with representatives of the Managed Funds Association
Oct. 3, 2019	Meeting with SEC Officials	Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 3, 2019, meeting with representatives of Nasdaq

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-15-19

Release Number

34-87193

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