Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail

[Release No. 34-80710; File No. SR-FINRA-2017-011]

Submitted Comments

(Click here for meetings with SEC officials)
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
Aug. 18, 2017 Joseph Molluso, Executive Vice President and CFO, Virtu Financial
Aug. 10, 2017 John Kinahan, Chief Executive Officer, Group One Trading, L.P.
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. 13, 2017 Daniel Zinn, General Counsel, OTC Markets Group Inc.
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)
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
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
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.