Regulation Best Execution

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
(S7-29-22 form letter E; S7-30-22 form letter G; S7-31-22 form letter I; S7-32-22 form letter F): 652
(S7-30-22 form letter F; S7-32-22 form letter D): 1,703
A: 16
B: 47
C: 42
E: 13
G: 11
H: 51
I: 4

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Date Received
Date Letter Type Commenter Name
Public Comment Patrick Sexton, EVP, General Counsel, Corporate Secretary, Cboe Global Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a August 18, 2023 virtual meeting with representatives of National Financial Services, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a August 18, 2023 virtual meeting with representatives of RBC Capital Markets, LLC
Public Comment Eric J. Pan, President & CEO and Susan Olson, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 15, 2023 meeting with representatives of Citadel Securities LLC
Public Comment Jared Albert
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an August 9, 2023 meeting with Nasdaq
Public Comment Emily Brock, Director, Federal Liaison Center, Government Finance Officers Association
Meeting with SEC Officials Memorandum from Office of the Chair regarding an August 7, 2023 meeting with NYSE
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a July 31, 2023 virtual meeting with Optiver
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an August 3, 2023 meeting with representatives of the IEX Group, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a August 2, 2023 meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office Of Commissioner Hester M. Peirce regarding a July 25, 2023 meeting with representatives of the Futures Industry Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 25, 2023 meeting with representatives of the FIA Principal Traders Group
Meeting with SEC Officials Memorandum from the Office Of Public Engagement regarding a July 20, 2023 virtual meeting with representatives of the New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a July 24, 2023, meeting with representatives of Hudson River Trading, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 21, 2023 meeting with Ty Gellasch of Healthy Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 20, 2023 meeting with representatives of Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 6, 2023 meeting with The Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a July 18, 2023 meeting with representatives of Chicago Trading Company and Delta Strategy Group
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a July 14, 2023 meeting with the Americans for Financial Reform, Better Markets, and the Council of Institutional Investors
Meeting with SEC Officials Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a June 5, 2023 meeting with representatives of Robinhood
Meeting with SEC Officials Memorandum from the Office Of Commissioner Caroline Crenshaw regarding a June 5, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 16, 2023 meeting with representatives of Citadel Securities
Public Comment Jonathan Brogaard, Professor of Finance, University of Utah
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 11, 2023 meeting with Two Sigma
Public Comment Travis L. Johnson, Associate Professor of Finance, The University of Texas at Austin
Public Comment Daniel Zinn, General Counsel, and Cass Sanford, Deputy General Counsel, OTC Markets Group Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 15, 2023 meeting with representatives of the Chicago Trading Company
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 9, 2023 meeting with representatives of CBOE

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-32-22
Release Number
34-96496
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