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Proposed Rule: Regulation of Non-Public Trading Interest
[Release No. 34-60997; File No. S7-27-09]
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| Oct. 25, 2011 | 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 |
| May 20, 2011 | Howard Meyerson, General Counsel, and Vlad Khandros, Corporate Strategy Director, Liquidnet, Inc. |
| Feb. 24, 2011 | Memorandum from the Office of Commissioner Walter regarding a February 24, 2011, meeting with representatives of Goldman Sachs |
| Jan. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a January 14, 2011 meeting with representatives of Headlands Technologies LLC |
| Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 16, 2010 | Memorandum from the Office of Commissioner Walter regarding a December 16, 2010, meeting with representatives of Credit Suisse |
| Nov. 12, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a November 10, 2010, meeting with representatives of NASDAQ OMX |
| Sep. 21, 2010 | Memorandum from the Office of Commissioner Paredes regarding an September 21, 2010, meeting with representatives of Pipeline Trading Systems |
| Sep. 15, 2010 | Memorandum from the Office of Commissioner Paredes regarding a September 8, 2010, meeting with representatives of Credit Suisse |
| Sep. 1, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of Liquidnet, Inc. |
| Aug. 31, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 31, 2010, meeting with representatives of Liquidnet |
| 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. 5, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 21, 2010, meeting with representatives of Penson Financial Services |
| Aug. 5, 2010 | Sen. Edward E. Kaufman, United States Senate |
| Aug. 3, 2010 | Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of Liquidnet, Inc. |
| Jul. 29, 2010 | Memorandum from the Office of the Chairman regarding a July 28, 2010, meeting with representatives of Instinet, Nomura and Promontory Financial |
| Jul. 28, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 28, 2010, meeting with representatives of Instinet, LLC and Promontory Financial Group, LLC |
| Jun. 21, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 17, 2010, telephone call with a representative of Southeastern Asset Management |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group |
| Jun. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group |
| Apr. 28, 2010 | Memorandum from the Office of Commissioner Walter regarding a meeting with representatives of Liquidnet and Morgan Lewis |
| Apr. 16, 2010 | Memorandum from the Office of Commissioner Paredes regarding a meeting with representatives of the Nasdaq OMX |
| Apr. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a April 6, 2010 Meeting with Representatives of Liquidnet |
| Apr. 7, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a March 26, 2010 Meeting with Representatives of the Managed Funds Association |
| Apr. 7, 2010 | 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 |
| Mar. 15, 2010 | Mark Nielson, Ph.D. |
| Mar. 15, 2010 | 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 |
| Mar. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a March 11, 2010, Meeting with Representatives of the Security Traders Association |
| 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 March 4, 2010, Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP |
| Mar. 9, 2010 | Memorandum from the Office of the Chairman regarding a Meeting with Representatives of BNY ConvergeEx Group and SchiffHardin LLP |
| Mar. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a February 18, 2010, Meeting with Representatives of Proprietary Trading Firms |
| Mar. 4, 2010 | William P. Neuberger, Managing Director, Global Co-Head of Morgan Stanley Electronic Trading and Andrew F. Silverman, Managing Dircctor, Global Co-Head of Morgan Stanley Electronic Trading |
| Feb. 25, 2010 | Kevin Foley, President and CEO, AQUA Securities LLC, New York, New York |
| Feb. 25, 2010 | Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York |
| Jan. 25, 2010 | Memorandum from the Division of Trading and Markets regarding a January 19, 2010, meeting with representatives of Schroders Investment Management, Turner Investment Partners, The Boston Company, Janus Capital Group, and Atlanta Capital |
| Feb. 24, 2010 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Feb. 24, 2010 | George Fowler, Private Investor, New York, New York |
| Feb. 23, 2010 | Scott C. Goebel, Senior Vice President, General Counsel, FMR Co., Fidelity Investments |
| Feb. 23, 2010 | John C. Nagel, Managing Director and General Counsel, Asset Management and Markets, Citadel Investment Group, L.L.C. |
| Feb. 22, 2010 | John Ingrilli, Managing Director, COO, UBS Equities - Americas, Stamford, Connecticut |
| Feb. 22, 2010 | Janet M. Kissane, Senior Vice President – Legal & Corporate Secretary Office of the General Counsel, NYSE Euronext |
| Feb. 22, 2010 | Gregory A. Baer, Deputy General Counsel, Corporate Law, Bank of America |
| Feb. 22, 2010 | Christopher Nagy, Managing Director Order Strategy, TD AMERITRADE, Inc. |
| Feb. 22, 2010 | John A. McCarthy, General Counsel, GETCO, LLC |
| Feb. 22, 2010 | Brett F. Mock, Chairman and John C. Giesea, President & CEO, Security Traders Association |
| Feb. 22, 2010 | Kim Bang, Bloomberg L.P. |
| Feb. 22, 2010 | Karrie McMillan, General Counsel, Investment Company Institute |
| Feb. 22, 2010 | P. Mats Goebels, Managing Director and General Counsel, Investment Technology Group, Inc. |
| Feb. 22, 2010 | Nicholaus Carmi, CEO and Stephen Murphy, CCO, SpreadZero |
| Feb. 22, 2010 | Richard L. West, General Counsel, Pipeline Trading Systems LLC |
| Feb. 22, 2010 | Britt Harris, Chief Investment Officer, Teacher Retirement System of Texas, Austin, Texas |
| Feb. 22, 2010 | Leslie Seff, President, Matthew B. Management, Inc., New York, New York |
| Feb. 22, 2010 | Robert A. Schwartz, Marvin M. Speiser Professor of Finance, Zicklin School of Business, Baruch College, CUNY, New York, New York |
| Feb. 22, 2010 | Joseph M. Velli, Chairman and CEO, BNY ConvergEx Group, LLC, New York, New York |
| Feb. 22, 2010 | Randall M. Woith, Frisco, Texas |
| Feb. 19, 2010 | Christopher Lees, Vice President, Assent LLC |
| Feb. 19, 2010 | Morgan Hunter |
| Feb. 18, 2010 |
Ann Vlcek, Managing Director and
Associate General Counsel, Securities Industry and Financial Markets Association |
| Feb. 18, 2010 |
Vivian A. Maese, Esq., General Counsel and Corporate Secretary, BIDS Trading, LP, New York, New York |
| Feb. 17, 2010 | Dan Mathisson, Managing Director, Credit Suisse Securities (USA) LLC, New York, New York |
| Feb. 17, 2010 |
Greg Tusar, Managing Director,
Goldman Sachs Execution & Clearing, L.P. and Matthew Lavicka, Managing Director, Goldman Sachs & Co. |
| Feb. 17, 2010 | Kimberly Unger, Esq., Executive Director, Security Traders Association of New York, Inc., New York, New York |
| Feb. 16, 2010 | Rex A. Staples, General Counsel, North American Securities Administrators Association, Washington, District of Columbia |
| Feb. 16, 2010 | Jeffrey D. Morgan, CAE, President & CEO, National Investor Relations Institute |
| Feb. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a January 29, 2010, meeting with representatives of Morgan Stanley & Co. Incorporated |
| Feb. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a January 27, 2010, meeting with representatives of the Investment Technology Group |
| Jan. 31, 2010 | Richard E. K. Brawn, Private Investor, Petaluma, California |
| Jan. 29, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley |
| Jan. 29, 2010 | Patrick D. Armstrong, Co-President, Alliance of Floor Brokers, New York, New York |
| Jan. 20, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 19, 2010, meeting with representatives of Certain Institutional Traders |
| Jan. 20, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group |
| Jan. 15, 2010 | Memorandum from the Division of Trading and Markets regarding a January 15, 2010, meeting with representatives of Liquidnet |
| Jan. 14, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a January 14, 2010, meeting with representatives of Charles River Brokerage, LLC |
| Jan. 14, 2010 | Steve Wunsch, Wunsch Auction Associates, LLC, New York, New York |
| Jan. 14, 2010 | Christopher Krause, Madison, Wisconsin |
| Jan. 13, 2010 | John Karnes, Oviedo, Florida |
| Jan. 11, 2010 | Memorandum from the Division of Trading and Markets regarding a January 8, 2010, meeting with representatives of the Investment Company Institute |
| Jan. 8, 2010 | Aston Susilovic, Capital Alternative Investment Management GmbH, Switzerland |
| Dec. 28, 2009 | Daniel B. Kester, Burlington, Colorado |
| Dec. 28, 2009 | Matt K. |
| Dec. 21, 2009 | Seth Merrin, Chief Executive Officer; Anthony Barchetto, Head of Trading Strategy; Jay Biancamano, Global Head of Marketplace; VIad Khandros, Market Structure Analyst; Howard Meyerson, General Counsel; Liquidnet, Inc. |
| Dec. 14, 2009 | Janice B. Campbell, Chief Compliance Officer, John A. Wolfe Associates, Inc., Portage, Michigan |
| Dec. 11, 2009 | Tom Garcia, Ph.D., Professor (retired), University of Chicago, Booth Business School, Rancho Santa Fe, California |
| Dec. 10, 2009 | Brian Klaus |
| Dec. 8, 2009 | Larry Tabb, CEO, TABB Group, LLC |
| 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 |
| Nov. 29, 2009 | Narotam S. Sambyal, Jammu, India |
| Nov. 28, 2009 | Jack G. Levy, Jr., Indianapolis, Indiana |
| Nov. 24, 2009 | Jack Thomas |
| Nov. 18, 2009 | Memorandum from the Division of Trading and Markets concerning a November 10, 2009, meeting with representatives of Instinet |
| Nov. 20, 2009 | James A. Swiatek, Newaygo, Michigan |
| Nov. 17, 2009 | William A. Thayer, San Diego, California |
| Nov. 8, 2009 | Bob O., Plymouth, Minnesota |
| Oct. 27, 2009 | Malcolm L. Kantzler |
| Oct. 27, 2009 | Karl Denninger, Author of The Market Ticker, Niceville, Florida |
| Oct. 27, 2009 | David Blumenthal, MD |
| Oct. 27, 2009 | Memorandum from the Office of Division of Trading and Markets concerning an October 27, 2009, meeting with representatives of BIDS Trading |
| Oct. 23, 2009 | Matthew K. Samelson, Principal, Woodbine Associates, Stamford, Connecticut |
| Oct. 21, 2009 | L.A. T.C., Vienna, Austria |
| Oct. 20, 2009 | Mary K. Blasy, Esq., Scott + Scott, LLP |
| Oct. 19, 2009 | Memorandum from the Office of Commissioner Paredes concerning an October 19, 2009, meeting with representatives of Morgan Stanley |
http://www.sec.gov/comments/s7-27-09/s72709.shtml
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