Comments on BX Rulemaking

Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. to Adopt Rule 4120(a)(11) Concerning Individual Stock Trading Pauses and to Adopt Related IM-4120-3

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding an August 16, 2010, meeting with representatives of Nasdaq OMX
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 28, 2010, meeting with representatives of Instinet, LLC and Promontory Financial Group, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 30, 2010, meeting with representatives of the Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a July 8, 2010, meeting with representatives of Headlands Technologies
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 16, 2010, meeting with representatives of Knight Capital Group Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 10, 2010, meeting with representatives of NYSE Euronext
Public Comment John A. McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a June 9, 2010, meeting with representatives of Direct Edge
Public Comment Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Public Comment Liam Connell, Allston Trading, LLC; Richard B. Gorelick, RGM Advisors, LLC; Adam Nunes, Hudson River Trading LLC; and Cameron Smith, Quantlab Financial, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 4, 2010, telephone call with a representative of Accenture plc
Public Comment Daniel Mathisson, Manager Director, Credit Suisse Securities (USA) LLC
Public Comment Jon Robson, Global Head, Enterprise Division, Thomson Reuters
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Public Comment Christopher Nagy, Managing Director, Order Routing Strategy, TD Ameritrade
Public Comment George U. Sauter, Managing Director and Chief Investment Officer, The Vanguard Group, Inc.
Public Comment Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, New York, New York
Public Comment Julie Sweet, Accenture plc
Public Comment Karrie McMillan, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a June 1, 2010, telephone call with a representative of Accenture
Public Comment Hal McIntyre, Managing Partner, The Summit Group, New York, New York
Public Comment Ira P. Shapiro, Managing Director, BlackRock, Inc., San Francisco, California
Public Comment Patrick J. Healy, CEO, Issuer Advisory Group, LLC
Public Comment Rep. Melissa L. Bean, U.S. House of Representatives
Public Comment Judith Kittinger
Public Comment Larry Harris, Fred V. Keenan Chair in Finance, USC Marshall School of Business, Los Angeles, California
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-BX-2010-037
Release Number
34-62124
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