Comments on NASDAQ Rulemaking

Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 7, 2013, meeting with representatives of UBS Securities LLC
Public Comment Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX
Public Comment Douglas G. Thompson, Jr., Michael G. McLellan, and Robert O. Wilson, Finkelstein Thompson LLP; Christopher Lovell, Victor E. Stewart and Fred T. Isquith, Lovell Stewart Halebian Jacobson LLP; and Jacob H. Zamansky and Edward H. Glenn, Jr., Zamansky & Associates LLC
Public Comment Mark Shelton, Group Managing Director, General Counsel UBS Americas, UBS Securities LLC
Public Comment Tim Mann
Public Comment Jeremy Abelson, MJA Capital
Public Comment Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment John Robinson
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 25, 2012, meeting with representatives of NASDAQ OMX
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 19, 2012, meeting with representatives from Citigroup Global Markets Inc.
Public Comment Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a September 11, 2012, meeting with representatives of NASDAQ OMX
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 29, 2012, telephone conversation with a representative of Knight Capital Group, Inc.
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business, Washington, D.C.
Public Comment Andrew J. Entwistle, Esq. and Vincent R. Cappucci, Esq., Entwistle & Cappucci LLP
Public Comment Benjamin Bram, Watermill Institutional Trading LLC, New York, New York
Public Comment Daniel Keegan, Managing Director, Citigroup Global Markets Inc.
Public Comment Douglas G. Thompson, Jr., Michael G. McLellan, and Robert O. Wilson, Finkelstein Thompson LLP; Christopher Lovell, Victor E. Stewart, and Fred T. Isquith, Lovell Stewart Halebian Jacobson LLP; Jacob H. Zamansky and Edward H. Glenn, Jr., Zamansky & Associates LLC
Public Comment Mark Shelton, General Counsel, UBS Americas
Public Comment Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Public Comment Eugene P. Torpey, Chief Compliance Officer, Vandham Securities Corp.
Public Comment John C. Nagel, Managing Director and General Counsel, Citadel Securities
Public Comment Sis DeMarco, Chief Compliance Officer, Triad Securities Corp.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASDAQ-2012-090
Release Number
34-67507
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