Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility

Filter comments


Date Sort descending	Letter Type	Commenter Name
Jan. 23, 2014	Public Comment	Stephanie M. Dumont, Senior Vice President and D1rector of Capital Markets Policy, FINRA
Jan. 7, 2014	Public Comment	Janet McGinness, EVP and Corporate Secretary, New York Stock Exchange LLC
Dec. 11, 2013	Public Comment	Stephanie M. Dumont, Financial Industry Regulatory Authority, Washington, District of Columbia
Nov. 26, 2013	Public Comment	David Harris, CEO, The National Stock Exchange, Inc., New Jersey, New Jersey
Oct. 25, 2013	Public Comment	Stephanie M. Dumont, Senior Vice President and Director of Capital Markets Policy, Financial Industry Regulatory Authority, Washington, District of Columbia
Sept. 26, 2013	Meeting with SEC Officials	Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 26, 2013, meeting with representatives of the National Stock Exchange, Inc.
Sept. 9, 2013	Public Comment	David Harris, Chairman and CEO, National Stock Exchange, Inc.
July 31, 2013	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a July 31, 2013, conference call with representatives from National Stock Exchange, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-FINRA-2013-031

Release Number

34-70048

How to submit comments