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Comments on NASDAQ Rulemaking

Notice of Filing of Proposed Rule Change to Adopt a Modified Sponsored Access Rule

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Date Sort descending	Letter Type	Commenter Name
Nov. 23, 2009	Public Comment	Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Nov. 19, 2009	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 18, 2009 meeting with representatives of BNY ConvergEx
Nov. 19, 2009	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a November 19, 2009 conference call with representatives of SIFMA and SIFMA Member Firms
June 30, 2009	Public Comment	John N. Jacobs, Chief Operations Officer, Lime Brokerage LLC, New York, New York
June 15, 2009	Public Comment	Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York
May 11, 2009	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 30, 2009 meeting with representatives of SIFMA and SIFMA Member Firms
April 29, 2009	Public Comment	Gary LaFever, Chief Corporate Development Officer, FTEN, Inc.
April 20, 2009	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding an April 16, 2009 meeting with representatives of FTEN
March 19, 2009	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a March 10, 2009 conference call with representatives of the Investment Company Institute
Feb. 27, 2009	Public Comment	Nicole Harner Williams, Vice President, Associate General Counsel, Penson Financial Services, Inc.
Feb. 26, 2009	Public Comment	Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Feb. 24, 2009	Public Comment	Stuart J. Kaswell, Executive Vice President & General Counsel, Managed Funds Association
Feb. 23, 2009	Public Comment	Jeff Bell, Executive Vice President, Clearing and Technology Group, Wedbush Morgan Securities, Los Angeles, California
Feb. 23, 2009	Public Comment	Michael A. Barth, Executive Vice President, OES MarketGroup, Newark, New Jersey
Feb. 19, 2009	Public Comment	Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Feb. 19, 2009	Public Comment	Ted Myerson, President, FTEN, Inc.
Feb. 17, 2009	Public Comment	John N. Jacobs, Director of Operations, Lime Brokerage LLC, New York, New York
Feb. 5, 2009	Public Comment	Harvey Cloyd, Chief Executive Officer, Electronic Transaction Clearing, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-NASDAQ-2008-104

Release Number

34-59275

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