Comments on Investors Exchange LLC Rulemaking
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
[Release No. 34-80692; File No. SR-IEX-2017-16]
(Click here for meetings with SEC officials)
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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 |
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. 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)
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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
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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
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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.
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