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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
(Release No. 34-70676; File No. SR-FINRA-2013-042)
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(Click here for meetings with SEC officials)
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| Feb. 1, 2014 | Tim Quast, President, ModernIR |
| Jan. 15, 2014 | Brant K. Brown, Associate General Counsel, FINRA |
| Nov. 15, 2013 | Janet McGinness, EVP and Corporate Secretary, NYSE Euronext |
| Nov. 12, 2013 | Elizabeth K. King, Global Head of Regulatory Affairs, KCG Holdings, Jersey City, New Jersey |
| Nov. 12, 2013 | William White, Head of Electronic Trading, Barclays Capital Inc. |
| Nov. 12, 2013 | Manisha Kimmel, Executive Director, Financial Information Forum |
| Nov. 12, 2013 | Ari Burstein, Senior Counsel, Securities Regulation - Capital Markets, Investment Company Institute |
| Nov. 12, 2013 | Howard Meyerson, General Counsel, Liquidnet, Inc., New York, New York |
| Nov. 12, 2013 | Thomas M. Carter, Chairman of the Board, and James Toes, President & CEO, Security Traders Association
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| Nov. 12, 2013 | Scott C. Goebel, SVP, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
| Nov. 11, 2013 | Donald Bollerman, Head of Market Operations, IEX Group, Inc., New York, New York |
| Nov. 11, 2013 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Mar. 11, 2014 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a March 11, 2014, meeting with IEX Services LLC |
http://www.sec.gov/comments/sr-finra-2013-042/finra2013042.shtml
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