Proposed Rule: Regulation of Non-Public Trading Interest

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Date Received
Date Letter Type Commenter Name
Public Comment Vivian A. Maese, Esq., General Counsel and Corporate Secretary, BIDS Trading, LP, New York, New York
Public Comment Dan Mathisson, Managing Director, Credit Suisse Securities (USA) LLC, New York, New York
Public Comment Greg Tusar, Managing Director, Goldman Sachs Execution & Clearing, L.P. and Matthew Lavicka, Managing Director, Goldman Sachs & Co.
Public Comment Kimberly Unger, Esq., Executive Director, Security Traders Association of New York, Inc., New York, New York
Public Comment Jeffrey D. Morgan, CAE, President & CEO, National Investor Relations Institute
Public Comment Rex A. Staples, General Counsel, North American Securities Administrators Association, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 27, 2010, meeting with representatives of the Investment Technology Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 29, 2010, meeting with representatives of Morgan Stanley & Co. Incorporated
Public Comment Richard E. K. Brawn, Private Investor, Petaluma, California
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a meeting with representatives of Morgan Stanley
Public Comment Patrick D. Armstrong, Co-President, Alliance of Floor Brokers, New York, New York
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a January 13, 2010, meeting with representatives of BNY ConvergEx Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a January 19, 2010, meeting with representatives of Certain Institutional Traders
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 15, 2010, meeting with representatives of Liquidnet
Public Comment Christopher Krause, Madison, Wisconsin
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a January 14, 2010, meeting with representatives of Charles River Brokerage, LLC
Public Comment Steve Wunsch, Wunsch Auction Associates, LLC, New York, New York
Public Comment John Karnes, Oviedo, Florida
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 8, 2010, meeting with representatives of the Investment Company Institute
Public Comment Aston Susilovic, Capital Alternative Investment Management GmbH, Switzerland
Public Comment Daniel B. Kester, Burlington, Colorado
Public Comment Matt K.
Public Comment 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.
Public Comment Janice B. Campbell, Chief Compliance Officer, John A. Wolfe Associates, Inc., Portage, Michigan
Public Comment Tom Garcia, Ph.D., Professor (retired), University of Chicago, Booth Business School, Rancho Santa Fe, California
Public Comment Brian Klaus
Public Comment Ken Blanton
Public Comment Larry Tabb, CEO, TABB Group, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets concerning a December 2, 2009, meeting with representatives of Knight Capital

Last Reviewed or Updated: Dec. 18, 2025

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