Comments on Proposed Rule: Regulation of NMS Stock Alternative Trading Systems

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 10, 2018, meeting with representatives of various buy-side firms
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 8, 2018, meeting with representatives of Aesthetic Integration Limited
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 2, 2018, meeting with representatives of Liquidnet, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 29, 2018, meeting with representatives of BIDS Trading, L.P.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 20, 2018, meeting with representatives of J.P. Morgan
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding a March 14, 2018, meeting with representatives of Healthy Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Market regarding a February 26, 2018, meeting with representatives of Morgan Stanley
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Trading and Market regarding a February 6, 2017, meeting with representatives of the Equity Market Structure Advisory Committee
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 21, 2016, meeting with representatives of BIDS Trading, L.P.
Public Comment Rick A. Fleming, Investor Advocate, U.S. Securities and Exchange Commission
Public Comment John F. Linares, General Counsel, LeveL ATS
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a July 26, 2016, meeting with representatives of Morgan Stanley
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a Jul. 27, 2016, meeting with representatives of Morgan Stanley & Co. LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a Jul. 18, 2016, meeting with representatives of Liquidnet, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a Jul. 13, 2016, meeting with representatives of Securities Traders Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 20, 2016, meeting with representatives of UBS Securities, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 14, 2016, meeting with representatives of Rosenblatt Securities and Buy-Side Representatives
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a June 9, 2016, conference call with representatives of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 3, 2016, meeting with representatives and members of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an April 11, 2016, meeting with representatives of BIDS Trading L.P.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 2, 2016, meeting with representatives of Investment Technology Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 2, 2016, meeting with representatives of Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an June 2, 2016, meeting with representatives of Investment Technology Group
Public Comment William Neuberger and Andrew F. Silverman, Managing Directors and Global Co-Heads, Morgan Stanley Electronic Trading
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 28, 2016, meeting with representatives of Liquidnet, Inc.
Public Comment David Weisberger, Managing Director, Markit, New York, New York
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 11, 2016, meeting with representatives of BIDS Trading
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an April 11, 2016, meeting with representatives of BIDS Trading

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-23-15
Release Number
34-76474
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