Comments on NASDAQ Rulemaking

Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) to Add Securities Included in the Russell 1000® Index ("Russell 1000") and Specified Exchange Traded Products ("ETP") to the Pilot Rule

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an September 28, 2010, meeting with representatives of EWT, LLC
Public Comment Michael A. Petronella, President, CME Group Index Services, LLC
Public Comment Thomas Moran, The NASDAQ OMX Group, Rockville, Maryland
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an August 16, 2010, meeting with representatives of NASDAQ OMX Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 4, 2010, meeting with representatives of the CME Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 3, 2010, meeting with representatives of SIFMA
Public Comment Craig Donohue, Chief Executive Officer, CME Group Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 27, 2010, meeting with representatives of Instinet, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a July 27, 2010, meeting with representatives of Instinet Incorporated, Instinet, LLC and Nomura Holding America, Inc.
Public Comment Paul Schott Stevens, President and CEO, The Investment Company Institute
Public Comment Geva Patz, Android Alpha Fund LLC, New York, New York
Public Comment Jose Marques, Managing Director, Global Head of Electronic Equity Trading, Deutsche Bank Securities Inc., New York, New York
Public Comment Alexander M. Cutler, Chair, Business Roundtable Corporate Leadership Initiative
Public Comment David C. Cushing, Director of Global Equity Trading, Wellington Management Company, LLP
Public Comment Ira P. Shapiro, Managing Director, BlackRock, Inc., San Francisco, California
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University
Public Comment Karrie McMillan, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 13, 2010, meeting with representatives of CME Group Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 14, 2010, meeting with representatives of the Securities Traders Association
Public Comment Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, Washington, District of Columbia
Public Comment Patrick J. Healy, CEO, Issuer Advisory Group, LLC, Washington, District of Columbia
Public Comment Julie S. Sweet, General Counsel, Secretary, Chief Compliance Officer, Accenture plc
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a July 13, 2010, meeting with representatives of the Securities Traders Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a July 13, 2010, meeting with representatives of the CME Group
Public Comment Peter Skopp, President, Molinete Trading Inc.
Public Comment Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Craig S. Donohue, Chief Executive Officer, CME Group, Inc.
Public Comment Paul Schott Stevens, President & CEO, Investment Company Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASDAQ-2010-079
Release Number
34-62414
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