Statements on File No. SR-BatsBZX-2017-34

Order Granting Petitions for Review and Scheduling Filing of Statements

[Release No. 34-82794; File No. SR-BatsBZX-2017-34]

Comments on File No. SR-BatsBZX-2017-3

Notice of Filing of a Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28

[Release No. 34-80683; File No. SR-BatsBZX-2017-34]

Submitted Comments

(Click here for meetings with SEC officials)
(Click here for SEC Staff Studies and Reports)
Oct. 4, 2018 Adrian Griffiths, Assistant General Counsel, Cboe Global Markets
Jan. 12, 2018 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Jan. 12, 2018 Joanne Moffic-Silver, Executive Vice President, General Counsel and Corp, Cboe Global Markets, Inc.
Jan. 3, 2018 Joanne Moffic-Silver, Executive Vice President, General Counsel, Cboe Global Markets, Inc.
Dec. 21, 2017 Jeffrey S. Davis, Vice President and Deputy General Counsel, Nasdaq, Inc.
Dec. 8, 2017 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Nov. 3, 2017 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Oct. 11, 2017 Joanne Moffic-Silver, Executive Vice President, General Counsel, and Corporate Secretary, Bats Global Markets, Inc., a CBOE Company
Sep. 18, 2017 Edward S. Knight, Executive Vice President and General Counsel, Nasdaq, Inc.
Sep. 12, 2017 Gabrielle Rabinovitch, VP, Investor Relations, PayPal Holdings, Inc.
Aug. 18, 2017 Sarah A. O'Dowd, Senior Vice President, Chief Legal Officer & Secretary, Lam Research Corporation
Aug. 18, 2017 Donald Bollerman
Aug. 18, 2017 Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Aug. 17, 2017 Patrick L. Donnelly, Executive Vice President & General Counsel, Sirius XMHoldings Inc.
Aug. 17, 2017 Mike Gregoire, CEO, CA Technologies
Aug. 17, 2017 Cameron Bready, Senior Executive VP, Chief Financial Officer, Global Payments Inc.
Aug. 17, 2017 Ari M. Rubenstein, Co-Founder and Chief Executive Officer, GTS Securities, LLC
Aug. 17, 2017 Theodore Jenkins, Senior Director, Investor Relations and Communications, Corbus Pharmaceuticals, Inc.
Aug. 16, 2017 Steve Paladino, Executive Vice President and Chief Financial Officer, Henry Schein, Inc.
Aug. 15, 2017 Raiford Garrabrant, Director, Investor Relations, Cree, Inc.
Aug. 15, 2017 William A. Backus, Chief Financial Officer and Treasurer, Balchem Corporation
Aug. 11, 2017 Barry Zwarenstein, Chief Financial Officer, Five9, Inc.
Aug. 11, 2017 Micheal J. Chewens, Senior Vice President and Chief Financial Officer, NBT Bancorp Inc.
Aug. 9, 2017 Reps. Sean P. Duffy and Gregory W. Meeks, Members of Congress
Aug. 9, 2017 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Aug. 3, 2017 Charles Beck, Chief Financial Officer, Digimarc Corporation
Aug. 3, 2017 David M. Weisberger, Head of Equities, ViableMkts
Aug. 2, 2017 Joanne Moffic-Silver, Executive Vice President, General Counsel, and Corporate Secretary, Bats Global Markets, Inc.
Jul. 31, 2017 Peter Campbell, Chief Financial Officer, Mimecast Limited
Jul. 31, 2017 Jon Stonehouse, CEO, and Tom Staab, CFO, BioCryst Pharmaceuticals, Inc.
Jul. 30, 2017 James J. Angel, Associate Professor, McDonough School of Business, Georgetown University
Jul. 26, 2017 Jeff Green, Founder, Chief Executive Officer and Chairman of the Board of Directors, The Trade Desk Inc.
Jul. 24, 2017 M. Farooq Kathwari, Chairman, President and CEO, Ethan Allen Interiors, Inc.
Jul. 19, 2017 John L. Killea, Chief Legal Officer, Stewart Information Services
Jul. 18, 2017 Alexander J. Matturri, CEO, SP Dow Jones Indices
Jul. 14, 2017 Mickey Foster, Vice President, Investor Relations, FedEx Corporation
Jul. 14, 2017 Sally J. Curley, Senior Vice President, Investor Relations, Cardinal Health, Inc.
Jul. 15, 2017 Christopher A. Iacovella, Chief Executive Officer, Equity Dealers of America
Jul. 12, 2017 Rob Bernshteyn, Chief Executive Officer, Chairm Board of Directors, Coupa Software Inc.
Jul. 12, 2017 Jon R. Moeller, Vice Chair and Chief Financial Officer, and Deborah J. Majoras, Vice Chair and Chief Financial Officer, The Procter & Gamble Company
Jul. 12, 2017 Mark A. Stegeman, Senior Vice President & CFO, Turning Point Brands, Inc.
Jul. 7, 2017 David L. Dragics, Senior Vice President, Investor Relations, CACI International Inc.
Jul. 7, 2017 Mehmet Kinak, Head of Global Equity Market Structure & Electroni, et al., T. Rowe Price Associates, Inc.
Jul. 6, 2017 Cole Stevens, Investor Relations Associate, Nobilis Health
Jul. 5, 2017 Daniel S. Tucker, Senior Vice President and Treasurer, Southern Company
Jun. 30, 2017 Andrew Stevens, General Counsel, IMC Financial Markets
Jun. 29, 2017 Robert F. McCadden, Executive Vice President and Chief Financial Officer, Pennsylvania Real Estate Investment Trust
Jun. 29, 2017 Steven C. Lilly, Chief Financial Officer, Triangle Capital Corporation
Jun. 29, 2017 Sherri Brillon, Executive Vice-President & Chief Financial Officer, Encana Corporation
Jun. 28, 2017 Kieran O'Sullivan, Chairman, President and CEO, CTS Corporation
Jun. 27, 2017 Joanne Freiberger, Vice president, Treasurer, Masonite International Corporation
Jun. 27, 2017 David B. Griffith, Investor Relations Manager, Orion Group Holdings, Inc.
Jun. 27, 2017 Jay S. Sidhu, Chairman, Chief Executive Officer, Customers Bancorp, Inc.
Jun. 23, 2017 John Ramsay, Chief Market Policy Officer, Investors Exchange LLC
Jun. 22, 2017 Ari M. Rubenstein, Co-Founder and Chief Executive Officer, GTS Securities LLC
Jun. 16, 2017 Fady Tanios, Chief Executive Officer, and Brian Fraioli, Compliance Officer, Americas Executions, LLC
Jun. 16, 2017 Jonathan D. Corpina, Senior Managing Partner, Meridian Equity Partners
Jun. 14, 2017 John M. Bowers, Bowers Securities
Jun. 13, 2017 Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange
Jun. 13, 2017 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Jun. 12, 2017 Venu Palaparthi, SVP, Compliance, Regulatory and Government Affairs, Virtu Financial
Jun. 12, 2017 Ray Ross, Chief Technology Officer, Clearpool Group
Jun. 12, 2017 Edward S. Knight, Executive Vice President and General Counsel, Nasdaq, Inc.
Jun. 6, 2017 Donald K. Ross, Jr., Executive Chairman, PDQ Enterprises, LLC

SEC Staff Studies and Reports

(Click here for submitted comments from the public)
Dec. 1, 2017 Memorandum from the Division of Economic and Risk Analysis

Meetings with SEC Officials

(Click here for submitted comments from the public)
Jan. 12, 2018 Memorandum from the Office of Commissioner Kara Stein regarding a January 10, 2018, meeting with representatives of NASDAQ
Jan. 5, 2018 Memorandum from the Division of Trading and Markets regarding a January 5, 2018, conference call with representatives of Nasdaq
Dec. 22, 2017 Memorandum from the Division of Trading and Markets regarding a December 21, 2017, meeting with representatives of Cboe Global Markets
Nov. 3, 2017 Memorandum from the Division of Trading and Markets regarding a November 3, 2017, meeting with representatives of Cboe Global Markets
Oct. 25, 2017 Memorandum from the Division of Trading and Markets regarding an October 25, 2017, meeting with representatives of Nasdaq
Oct. 11, 2017 Memorandum from the Division of Trading and Markets regarding an October 11, 2017, meeting with representatives of Nasdaq
Aug. 17, 2017 Memorandum from the Office of the Chairman regarding an August 16, 2017, meeting with representatives of CBOE
Aug. 17, 2017 Memorandum from the Office of the Chairman regarding a July 20, 2017, meeting with representatives of GTS Securities LLC
Aug. 17, 2017 Memorandum from the Office of the Chairman regarding a June 28, 2017, meeting with representatives of GTS Securities LLC
Aug. 9, 2017 Memorandum from the Division of Trading and Markets regarding an August 9, 2017, conference call with representatives of Bats Global Markets, Inc.
Aug. 8, 2017 Memorandum from the Division of Trading and Markets regarding an August 8, 2017, meeting with representatives of Global Trading Systems