Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant

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Date Received
Date Letter Type Commenter Name
Public Comment Ari Burstein, General Counsel, Imperative Execution
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 9, 2025 meeting with representatives of Citadel Securities
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 7, 2025 meeting with representatives of Investors Exchange LLC ("IEX")
Public Comment R. T. Leuchtkafer
Public Comment Anna Kurzrok, Managing Director, Head of Market Structure, and Jatin Suryawanshi, Managing Director, Head of Global Quantitative Strategies, Jefferies LLC
Public Comment Eric Swanson, XTX Markets LLC
Public Comment Sri Chandrasekar, Point72 Private Investments
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 22, 2025 meeting with representatives of Investors Exchange LLC (IEX) and Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 17, 2025 meeting with representatives of IntelligentCross LLC
Public Comment Daniel Schlaepfer, President, Select Vantage Inc.
Public Comment Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel Securities
Public Comment Stephen Sikes, Chief Executive Officer, Open to the Public Investing Inc
Public Comment Tyler Gellasch, President and CEO, Healthy Markets Association
Public Comment Robert McNamee, Vice President and Associate General Counsel, FINRA
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an October 30, 2024 meeting with representatives of IntelligentCross LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 12, 2024, meeting with representatives of XTX
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 23, 2024 meeting with representatives of Panorama Financial Markets
Public Comment R. T. Leuchtkafer
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a January 22, 2024 meeting with Intelligent Cross LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a January 18, 2024 meeting with representatives of Imperative Execution
Meeting with SEC Officials Memorandum from the Office of Market Supervision, Division of Trading and Markets regarding a January 17, 2024, conference call with representatives of the Panorama Financial Markets Advisory
Public Comment Tyler Gellasch, President & CEO, Healthy Markets Association and Christopher Iacovella, President & CEO, American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a December 20, 2023 meeting with representatives of Panorama Financial Markets Advisory
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a December 20, 2023 meeting with Panorama Financial Markets Advisory
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 29, 2023 meeting with representatives of IEX
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a November 28, 2023 meeting with representatives of the Healthy Markets Association
Public Comment Joanna Mallers, Executive Director, FIA Principal Traders Group
Public Comment Stephen W. Hall, Legal Director and Securities Specialist, Better Markets, Inc. and Scott Farnin, Legal Counsel, Better Markets, Inc.
Public Comment Ari Burstein, General Counsel, Imperative Execution
Public Comment Stephen John Berger, Managing Director, Global Head of Government & Regulatory Policy, Citadel, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2022-032
Release Number
34-96550
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