|
|
 |
Proposed Rule: Elimination of Flash Order Exception From Rule 602 of Regulation NMS
[Release No. 34-60684; File No. S7-21-09]
|
| Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 8, 2010 | Memorandum from the Office of the Chairman regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 3, 2010 | William J. Brodsky, Chairman and Chief Executive Officer, CBOE, Chicago, Illinois |
| Nov. 18, 2010 | John C. Nagel, Managing Director and Deputy General Counsel, Head of Global Compliance, Citadel Investment Group, L.L.C. |
| Nov. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a November 9, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Nov. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a November 9, 2010, meeting with representatives of IMC Financial |
| Oct. 29, 2010 | Janet L. Kissane, SVP, Legal and Corporate Secretary, NYSE Euronext |
| Oct. 22, 2010 | Chris Barnard, Germany |
| Sep. 29, 2010 | John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois |
| Sep. 7, 2010 | Memorandum from the Office of Commissioner Paredes regarding a September 7, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Sep. 7, 2010 | Memorandum from the Division of Trading and Markets regarding a September 7, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Aug. 31, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an August 27, 2010, meeting with representatives of NASDAQ OMX PHLX |
| Aug. 24, 2010 | Jerry O'Connell, Chief Compliance Officer, Susquehanna International Group, LLP, Bala Cynwyd, Pennsylvania |
| Aug. 23, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an August 23, 2010, meeting with representatives of GETCO LLC and NYSE Euronext |
| Aug. 23, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 23, 2010, meeting with representatives of GETCO |
| Aug. 20, 2010 | Memorandum from the Office of Commissioner Walter regarding an August 16, 2010, meeting with representatives of Nasdaq OMX |
| Aug. 19, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 19, 2010, meeting with representatives of NASDAQ OMX |
| Aug. 18, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of NASDAQ OMX Group |
| Aug. 16, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq |
| Aug. 15, 2010 | Steve Jackson, Media, Pennsylvania |
| Aug. 11, 2010 | Steven M. Vannelli, Investment Advisor, San Francisco, California |
| Aug. 11, 2010 | Thomas H. Brasso, Jr., Owasso, Oklahoma |
| Aug. 10, 2010 | Thomas F. Price, Managing Director, Operations,Technology & BCP, Securities Industry and Financial Markets Association |
| Aug. 10, 2010 | John A. McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois |
| Aug. 9, 2010 | Christopher Nagy, Managing Director Order Strategy, TD AMERITRADE, Inc. |
| Aug. 9, 2010 | William J. Brodsky, Chairman and CEO, Chicago Board Options Exchange, Chicago, Illinois |
| Aug. 9, 2010 | Janet McGinness Kissane, SVP & Corporate Secretary, Legal & Government Affairs, NYSE Euronext |
| Aug. 9, 2010 | Joan C. Conley, Senior VP and Corporate Secretary, The NASDAQ OMX Group, Rockville, Maryland |
| Aug. 6, 2010 | John C. Nagel, Managing Director and Deputy General Counsel, Head of Global Compliance, Citadel Investment Group, L.L.C. |
| Aug. 5, 2010 | Sen. Edward E. Kaufman, United States Senate |
| Jul. 30, 2010 | Memorandum from the Office Commissioner Walter regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Jul. 29, 2010 | Joel and Sherry Baccigalopi |
| Jul. 29, 2010 | Memorandum from the Office of the Chairman regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Jul. 28, 2010 | Memorandum from the Division of Trading and Markets regarding a July 28, 2010, meeting with representatives of the SIFMA Equity Options Trading Committee |
| Jul. 27, 2010 | Memorandum from the Division of Trading and Markets regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Jul. 27, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a July 27, 2010, meeting with representatives of the Chicago Board Options Exchange |
| Jul. 26, 2010 | Tim G. Mooring |
| Jul. 21, 2010 | Shane Hertel, Director Of Operations, Sigdestad Financial, San Diego, California |
| Jul. 18, 2010 | Bryant Washington |
| Jul. 15, 2010 | George Noble |
| Jul. 15, 2010 | Harry Morton, individual investor, Midland, Michigan |
| Jul. 12, 2010 | John R. Marecek |
| Jul. 10, 2010 | Steven M. Vannelli |
| Jul. 8, 2010 | Norman P. Quinn |
| Jul. 8, 2010 | George B. Determann, Louisville, Kentucky |
| Jun. 10, 2010 | Frances Borda |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a March 25, 2010 Meeting with Representatives of High Frequency Trading Firms |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a March 31, 2010 Meeting with Representatives of NYSE Euronext |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Paredes regarding a March 31, 2010 Meeting with Representatives of NYSE Euronext |
| Apr. 2, 2010 | Memorandum from the Office of the Chairman regarding a March 31, 2010 Meeting with Representatives of NYSE ARCA Options and NYSE’s Global Legal Department |
| Mar. 24, 2010 | Memorandum from the Division of Trading and Markets regarding a Meeting with Representatives of Bright Trading LLC |
| Mar. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a February 23, 2010, Meeting with Representatives of NASDAQ OMX Group Inc. |
| Mar. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a March 1, 2010, Meeting with Representatives of Direct Edge |
| Mar. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a February 3, 2010, Meeting with Representatives of SIFMA Options Committee |
| Mar. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a February 18, 2010, Meeting with Representatives of Proprietary Trading Firms |
| Feb. 18, 2010 | Matt Amsden |
| Jan. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley |
| Jan. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 22, 2010 meeting with representatives of Barclays Capital |
| Jan. 13, 2010 | Kim N. Vincent, Burnaby, Canada |
| Jan. 5, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 9, 2009 meeting with representatives of Direct Edge Holdings, LLC |
| Jan. 5, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 1, 2009 meeting with representatives of Chicago Board Options Exchange |
| Dec. 17, 2009 | Edward E. Kaufman, U.S. Senator |
| Dec. 14, 2009 | George Ruhana, CEO, OptionsHouse, LLC |
| Dec. 10, 2009 | Memorandum from the Office of the Chairman regarding a December 9, 2009 Meeting with Representatives of Direct Edge |
| Dec. 8, 2009 | Anthony J. Saliba, Chief Executive Officer, LiquidPoint, LLC, Chicago, Illinois |
| Dec. 8, 2009 | Ryan Fisher, New York, New York |
| Dec. 8, 2009 | Ken Blanton |
| Dec. 4, 2009 | Memorandum from the Division of Trading and Markets concerning an October 28, 2009, meeting with representatives of NYSE Euronext |
| Dec. 4, 2009 | Memorandum from the Division of Trading and Markets concerning an October 19, 2009, meeting with representatives of Morgan Stanley |
| Dec. 4, 2009 | Memorandum from the Division of Trading and Markets concerning a December 2, 2009, meeting with representatives of Knight Capital |
| Dec. 4, 2009 | Memorandum from the Division of Trading and Markets concerning an October 28, 2009, meeting with representatives of Direct Edge |
| Dec. 4, 2009 | Lawrence Harris, Professor of Finance and Business Economics, USC Marshall School of Business, Los Angeles, California |
| Dec. 1, 2009 | Thomas F. Price, Managing Director, Securities Industry and Financial Markets Association, New York, New York |
| Nov. 28, 2009 | Jack G. Levy, Jr., Indianapolis, Indiana |
| Nov. 25, 2009 | Peter Bottini, EVP Trading and Customer Service, and Hillary Victor, Associate General Counsel, optionsXpress, Inc., Chicago, Illinois |
| Nov. 23, 2009 | Douglas J. Engmann, President, Engmann Options, Inc. |
| Nov. 23, 2009 | Michael Vitek, President and COO, X-Change Financial Access LLC |
| Nov. 23, 2009 | John A. McCarthy, General Counsel, Global Electronic Trading Company LLC |
| Nov. 23, 2009 | Janet M. Kissane, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext |
| Nov. 23, 2009 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Nov. 23, 2009 | Christopher Nagy, Managing Director Order Strategy, TD AMERITRADE, Inc. |
| Nov. 23, 2009 | Karrie McMillan, General Counsel, Investment Company Institute |
| Nov. 23, 2009 | Tony McCormick, CEO, Boston Options Exchange, Chicago, Illinois |
| Nov. 23, 2009 | Richard S. Rosenblatt, CEO, Rosenblatt Securities Inc. |
| Nov. 23, 2009 | Michael J. Simon, Secretary, International Securities Exchange, LLC, New York, New York |
| Nov. 21, 2009 | S. F., Connecticut |
| Nov. 20, 2009 | George Gasparini, President, Casey Securities, LLC |
| Nov. 20, 2009 | Eric Hess, General Counsel, Direct Edge Holdings LLC |
| Nov. 20, 2009 | John C. Nagel, Managing Director and Deputy General Counsel, Head of Global Compliance, Citadel Investment Group, L.L.C. |
| Nov. 20, 2009 | Eric Swanson, BATS Exchange, Inc., Lenexa, Kansas |
| Nov. 20, 2009 | David W. Colwick, Esq., LL.M Candidate, Banking, Corporate and Finance Law, New York, New York |
| Nov. 18, 2009 | William J. Brodsky, Chairman and CEO, Chicago Board Options Exchange, Inc., Chicago, Illinois |
| Nov. 17, 2009 | Memorandum from the Office of Commissioner Aguilar concerning an October 19, 2009, meeting with representatives of Morgan Stanley |
| Nov. 17, 2009 | William A. Thayer, San Diego, California |
| Nov. 16, 2009 | William E. McDonnell, Jr., CCO, Atherton Lane Advisers, LLC, Menlo Park, California |
| Nov. 12, 2009 | Rex Urich DVM, Bend, Oregon |
| Nov. 12, 2009 | Kenton C. Blanton, Fremont, California |
| Nov. 8, 2009 | Bob O., Plymouth, Minnesota |
| Nov. 6, 2009 | Seth Merrin, CEO, Liquidnet, New York, New York |
| Nov. 3, 2009 | Raghavan Guruswami, Ph.D, Hyderabad, India |
| Nov. 2, 2009 | Memorandum from the Office of Commissioner Aguilar concerning an October 16, 2009, meeting with representatives of the International Securities Exchange |
| Nov. 1, 2009 | Dennis B. Fowler, Anderson, South Carolina |
| Oct. 30, 2009 | Jess L. Haberman, West Orange, New Jersey |
| Oct. 30, 2009 | Heinz Geyer, London, United Kingdom |
| Oct. 29, 2009 | Wallace Ungles |
| Oct. 29, 2009 | Bob G. Mall |
| Oct. 29, 2009 | Laurent Mayer, Atherton, California |
| Oct. 28, 2009 | Sue Schneider |
| Oct. 27, 2009 | Matthew A. Haley, Great Falls, Virginia |
| Oct. 27, 2009 | Steven U. Leitner, Esquire, New York, New York |
| Oct. 27, 2009 | Dave R. Kliman, Glen Cove, New York |
| Oct. 27, 2009 | David Blumenthal |
| Oct. 25, 2009 | Timothy J. Moeller |
| Oct. 24, 2009 | Evan Sabattus |
| Oct. 22, 2009 | Memorandum from the Office of Commissioner Aguilar regarding a September 24, 2009, meeting with representatives of Goldman Sachs |
| Oct. 22, 2009 | Memorandum from the Office of the Chairman regarding an October 16, 2009, meeting with representatives of the International Securities Exchange |
| Oct. 20, 2009 | George Determann |
| Oct. 19, 2009 | Memorandum from the Office of Commissioner Paredes concerning an October 19, 2009, meeting with representatives of Morgan Stanley |
| Oct. 19, 2009 | Thomas H. Brasso, Jr., Owasso, Oklahoma |
| Oct. 16, 2009 | Peter J. Chepucavage, The International Association of Small Broker Dealers and Advisors |
| Oct. 16, 2009 | Memorandum from the Division of Trading and Markets regarding an October 16, 2009, meeting with representatives of the International Securities Exchange |
| Oct. 16, 2009 | Memorandum from the Office of Commissioner Casey regarding an October 16, 2009, meeting with representatives of the International Securities Exchange |
| Oct. 14, 2009 | Joseph Affrunti, Great River, New York |
| Oct. 12, 2009 | Mark Nielson, Ph.D., MacroEcon LLC |
| Oct. 10, 2009 | Mark Nielson, Ph.D., MacroEcon LLC, New York |
| Oct. 9, 2009 | Paul M. Graham, Seattle, Washington |
| Oct. 7, 2009 | David Kim |
| Oct. 7, 2009 | Michael E. Russell, Largo, Florida |
| Oct. 6, 2009 | Richard S. Zbyszynski, MBA, Freehold, New Jersey |
| Oct. 6, 2009 | Jeffrey Gross |
| Oct. 5, 2009 | W. Hardy Callcott |
| Oct. 4, 2009 | Bhanu Saini, Purdue University, Columbia University, New York, New York |
| Oct. 3, 2009 | Robert L. Annear, Jr., Engineering, Portland, Oregon |
| Oct. 3, 2009 | Jerry Flores, San Jose, California |
| Oct. 2, 2009 | Memorandum from the Office of the Chairman regarding a September 30, 2009 meeting with repensentatives form the Managed Funds Association |
| Sep. 30, 2009 | Michael Trocchio, Individual Investor |
| Sep. 30, 2009 | William A. Thayer, Certified Financial Planner (retired), San Diego, California |
| Sep. 29, 2009 | Robert Baron |
| Sep. 29, 2009 | Walter Chanter, III, Sharholder, Lake Oswego, Oregon |
| Sep. 26, 2009 | Roy Malis, Certified Financial Planner, Wyncote, Pennsylvania |
| Sep. 25, 2009 | Scott Lederman, Livingston, New Jersey |
| Sep. 25, 2009 | Angelo P. Datis, Los Angeles, California |
| Sep. 25, 2009 | Jeffrey L. Stang |
| Sep. 24, 2009 | Jeffrey Hunt Mantel, The Mantel Group |
| Sep. 24, 2009 | Charles Pierson, III |
| Sep. 24, 2009 | Ken Yu, Shenzhen, China |
| Sep. 24, 2009 | J. J. Tucson |
| Sep. 24, 2009 | Kirill Miroshnychenko, Kyiv, Ukraine |
| Sep. 23, 2009 | Garth Illingworth, Ph. D., University of California |
| Sep. 23, 2009 | Douglas Johnson, Raleigh, North Carolina |
| Sep. 23, 2009 | Matt Knickerbocker |
| Sep. 22, 2009 | Jerry Charlton, Calgary, Canada |
| Sep. 21, 2009 | Michael Doyle, Youngstown, Ohio |
| Sep. 20, 2009 | Anonymous |
| Sep. 20, 2009 | Richard S. Barkley, Phoenixville, Pennsylvania |
| Sep. 19, 2009 | Ted Wolf |
| Sep. 19, 2009 | Junius W. Peake, Monfort Distinguished Professor Emeritus of Finance, University of Northern Colorado, Greeley, Colorado |
| Sep. 19, 2009 | Bobby Johnson, CPA, Huffman, Texas |
| Sep. 19, 2009 | Edward J. Culotta, Cumming, Georgia |
| Sep. 19, 2009 | Christopher J. Wiltse, Lethbridge, Canada |
| Sep. 18, 2009 | Paul Balliet, Cuyahoga Falls, Ohio |
| Sep. 18, 2009 | Greg B. Gilbert, President, Infinity Financial Services |
| Sep. 18, 2009 | Kevin P. Quinn, Los Angeles, California |
| Sep. 18, 2009 | Aadil Farid, Naperviile, Illinois |
| Sep. 18, 2009 | Robert Haley, Network Engineer, Shelbyville, Kentucky |
| Sep. 18, 2009 | Adam Gretzinger, Beaverton, Oregon |
| Sep. 18, 2009 | Richard Gorton, SMTS, AMD, Framingham, Massachusetts |
| Sep. 18, 2009 | Allen A. She, Washington, District of Columbia |
http://www.sec.gov/comments/s7-21-09/s72109.shtml
|
