Comments on Proposed Rule: Amendments to Regulation SHO and Rule 10a-1

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Date Received
Date Letter Type Commenter Name
Public Comment Dave Patch
Public Comment Bruce Thompson, Trenton, Florida
Public Comment Claire P. McGrath, Senior Vice President and General Counsel, American Stock Exchange, New York, New York
Public Comment Ira D. Hammerman, Managing Director and General Counsel, SIFMA
Public Comment Gerard S. Citera, Executive Director, UBS Securities LLC, Stamford, Connecticut
Public Comment James J. Angel, Ph.D., Associate Professor of Finance, McDonough School of Business, Georgetown University
Public Comment Mary Yeager, Assistant Secretary, New York Stock Exchange LLC
Public Comment H. Glenn Bagwell, Jr., Attorney, Raleigh, North Carolina
Public Comment John G. Gaine, President, Managed Funds Association
Public Comment Lisa M. Utasi, Chairman of the Board, and John C. Giesea, President and CEO, Security Traders Association
Public Comment Carl Z. Giannone
Public Comment David Schwarz, Registered Representative
Public Comment Hillary Thomas, Curency Trader, Golden Valley, Minnesota
Public Comment Lars D. Roose, Inventor, Albuquerque, New Mexico
Public Comment S. Kevin An, Deputy General Counsel, E*TRADE Brokerage Holdings, Inc.
Public Comment William C. Bitting, Retired, St. Louis, Missouri
Public Comment Howard Teitelman, CSO, Trillium Trading
Public Comment Shawn P. Brandom, investor, Stanwood, Washington
Public Comment Joan O'Leary
Public Comment Candice Grant
Public Comment Charles P. Bennett, MD, Fond du Lac, Wisconsin
Public Comment Carlos Molina, Venice Beach, California
Public Comment David Patch
Public Comment Roland L. Pitts, Private Investor, Mechanicsville, Virginia
Public Comment Jim Ferguson
Public Comment Peter J. Chepucavage, General Counsel, Plexus Consulting, on behalf of International Association of Small Broker-Dealers and Advisors
Public Comment Dave Patch, Investor Advocate

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-21-06
Release Number
34-54891
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