Comments on CBOE Rulemaking
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
[Release No. 34-80785; File No. SR-CBOE-2017-040]
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(Click here for meetings with SEC officials)
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| Jan. 12, 2018 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Dec. 22, 2017 | Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Nov. 2, 2017 | Michael Simon, Chair, CAT NMS Plan Operating Committee |
| Jul. 28, 2017 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jul. 28, 2017 | Theodore R. Lazo, Managing Director, Associate General Counsel, SIFMA |
| Jul. 28, 2017 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Jul. 28, 2017 | Kevin Coleman, General Counsel & Chief Compliance Officer, Belvedere Trading LLC |
| Jul. 27, 2017 | W. Hardy Callcott, Sidney Austin LLP, on behalf of Wolverine Trading, LLC, Susquehanna International Group, LLP, IMC Financial Markets, and Optiver US, LLC |
| Jun. 29, 2017 | CAT NMS Plan Participants |
| Jun. 23, 2017 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jun. 22, 2017 | Joanna Mallers, Secretary, FIA Principal Traders Group |
| Jun. 12, 2017 | Patricia L. Cerny and Steven O'Malley, Compliance Consultants |
| Jun. 6, 2017 | Theodore R. Lazo, Managing Director and Associate General Counsel, and Ellen Greene, Managing Director, Financial Services Operations, SIFMA |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 12, 2017 |
Memorandum from the Division of Trading and Markets regarding a December 11, 2017, meeting with representatives of the SROs and counsel to the SROs
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| Sep. 6, 2017 |
Memorandum from the Division of Trading and Markets regarding a September 6, 2017, telephone conference with representatives of Sidley Austin LLP, Counsel to Wolverine Trading, LLC, Susquehanna International Group, LLP, IMC Financial Markets and Optiver US, LLC
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| Jun. 29, 2017 |
Memorandum from the Division of Trading and Markets regarding a June 29, 2017, telephone conference with representatives of OTC Markets Group Inc.
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