Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)

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Date Received
Date Letter Type Commenter Name
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 Walter regarding a July 27, 2010, meeting with representatives of Instinet, LLC
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
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Public Comment Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Manisha Kimmel, Executive Director, Financial Information Forum
Public Comment Ira P. Shapiro, Managing Director, BlackRock, Inc., San Francisco, California
Public Comment John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Public Comment David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP
Public Comment Gary DeWaal, Senior Managing Director and Group General Counsel, Newedge USA, LLC
Public Comment Karrie McMillan, General Counsel, Investment Company Institute
Public Comment Peter A. Ianello, Chicago, Illinois

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2010-032
Release Number
34-62341
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