Comments on FICC Rulemaking

Notice of Filing of Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment Theodore Bragg, Vice President, Strategic Planning, Nasdaq
Public Comment Robert E. Pooler, Chief Financial Officer, Ronin Capital, LLC
Public Comment Alan Levy, Managing Director, Industrial and Commercial Bank of China Financial Services, LLC
Public Comment Robert E. Pooler, Chief Financial Officer, Ronin Capital, LLC
Public Comment Timothy J. Cuddihy, Managing Director, Financial Risk Management, Fixed Income Clearing Corporation
Public Comment Alan Levy, Managing Director, Industrial and Commercial Bank of China Financial Services LLC, et al.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 15, 2017, meeting with representatives of the Industrial and Commercial Bank of China Financial Services LLC, Ronin Capital LLC, Rosenthal Collins Group LLC, and Cadwalader, Wickersham & Taft LLP
Public Comment Robert E. Pooler, Chief Financial Officer, Ronin Capital, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 2, 2017, meeting with representatives of South Street Securities, LLC
Public Comment Alan B. Levy, Managing Director, Industrial and Commercial Bank of China Financial Services LLC, et al.
Public Comment Timothy J. Cuddihy, Managing Director, Financial Risk Management, Fixed Income Clearing Corporation
Public Comment Robert E. Pooler, Jr., CFO, Ronin Capital, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FICC-2017-002
Release Number
34-80234
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