Proposed Rule: Regulation of Non-Public Trading Interest

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 25, 2011, meeting with Mark J. Ready, finance professor at the University of Wisconsin School of Business
Public Comment Howard Meyerson, General Counsel, and Vlad Khandros, Corporate Strategy Director, Liquidnet, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with representatives of Headlands Technologies LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a December 16, 2010, meeting with representatives of Credit Suisse
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a November 10, 2010, meeting with representatives of NASDAQ OMX
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 21, 2010, meeting with representatives of NYSE
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a September 8, 2010, meeting with representatives of Credit Suisse
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of Liquidnet, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding an August 31, 2010, meeting with representatives of Liquidnet
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of NASDAQ OMX Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services
Public Comment Sen. Edward E. Kaufman, United States Senate
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of Liquidnet, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a July 28, 2010, meeting with representatives of Instinet, Nomura and Promontory Financial
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 28, 2010, meeting with representatives of Instinet, LLC and Promontory Financial Group, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a June 17, 2010, telephone call with a representative of Southeastern Asset Management, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of Southeastern Asset Management, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Liquidnet and Morgan Lewis
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the Nasdaq OMX
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a April 6, 2010 Meeting with Representatives of Liquidnet
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a March 26, 2010 Meeting with Representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding an April 6, 2010 Meeting with Representatives of Davis Polk & Wardwell LLP and Credit Suisse Securities (USA) LLC
Public Comment Mark Nielson, Ph.D.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 1, 2010, meeting with representatives of Prudential Financial Inc. and Porterfield, Lowenthals & Fettig LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 11, 2010, Meeting with Representatives of the Security Traders Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-27-09
Release Number
34-60997
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