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Proposed Rule: Regulation of Non-Public Trading Interest

[Release No. 34-60997; File No. S7-27-09]


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

Modified: 11/16/2011