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Comments on NASDAQ Rulemaking
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products
(Release No. 34-67411; File No. SR-NASDAQ-2012-043)
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| Sept. 7, 2012 | Jurij Trypupenko, Esq., NASDAQ Stock Market LLC |
| Aug. 30, 2012 | Joan C. Conley, Senior Vice President & Corporate Secretary, NASDAQ OMX LLC |
| Aug. 16, 2012 | Andrew Stevens, Legal Counsel, IMC Chicago, LLC d/b/a IMC Financial Markets |
| Aug. 16, 2012 | Ari Burstein, Senior Counsel, Investment Company Institute, Washington, District of Columbia |
| Aug. 16, 2012 | F. William McNabb, Chairman and Chief Executive Officer, Vanguard |
| Aug. 16, 2012 | James E. Ross, State Street Global Advisors |
| Aug. 15, 2012 | Stanislav Dolgopolov, Assistant Adjunct Professor, UCLA School of Law, Los Angeles, California |
| Jul. 11, 2012 | Joseph Cavatoni, Managing Director, and Joanne Medero, Managing Director, BlackRock, Inc. |
Meetings with SEC Officials
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| Oct. 18, 2012 | Memorandum from the Division of Trading and Markets regarding a September 11, 2012, meeting with representatives of NASDAQ OMX Group |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
(Release No. 34-66765; File No. SR-NASDAQ-2012-043)
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(Click here for meetings with SEC officials)
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| Jul. 6, 2012 | Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX LLC |
| Jul. 3, 2012 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Jun. 20, 2012 | Rey Ramsey, Mullins, President and CEO, TechNet, Washington, District of Columbia |
| Jun. 11, 2012 | Gary L. Gastineau, ETF Consultants LLC, Short Hillls, New Jersey |
| May 4, 2012 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| May 3, 2012 | Gus Sauter, Managing Director and Chief Investment Officer, Vanguard |
| May 3, 2012 | Ari Burstein, Senior Counsel, Investment Company Institute |
| May 2, 2012 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University |
| May 2, 2012 | Albert J. Menkveld, Associate Professor of Finance, VU University Amsterdam |
| Apr. 29, 2012 | Amber Anand, Associate Professor of Finance, Syracuse University, Syracuse, New York |
| Apr. 26, 2012 | Timothy Quast, Managing Director, Modern Networks IR LLC, Denver, Colorado |
| Apr. 26, 2012 | Daniel G. Weaver, Ph.D., Professor of Finance, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers Business School, Rutgers University |
| Apr. 19, 2012 | Mark Connell, Attorney, Normandy Beach , New Jersey |
| Apr. 18, 2012 | Anonymous, Amherst, Massachussetts |
| Apr. 18, 2012 | Kathryn Keita, Investor Relations Officer for a large-cap company, Hopkinton, Massachusetts |
| Apr. 15, 2012 | Dezso J. Szalay, Commercial Trader, Chicago, Illinois |
| Apr. 14, 2012 | Jeremiah OConnor, III, Trader, Chicago, Illinois |
| Apr. 14, 2012 | Christopher J. Csicsko, Fort Wayne, Indiana |
| Apr. 13, 2012 | Frank Choi |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 29, 2012 | Memorandum from the Division of Trading and Markets regarding a June 27, 2012, meeting with representatives of various ETF Companies |
http://www.sec.gov/comments/sr-nasdaq-2012-043/nasdaq2012043.shtml
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