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Comments on NASDAQ Rulemaking
Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability
(Release No. 34-67507; File No. SR-NASDAQ-2012-090)
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(Click here for meetings with SEC officials)
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| Dec. 7, 2012 | Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX |
| Nov. 23, 2012 | Mark Shelton, Group Managing Director, General Counsel UBS Americas, UBS Securities LLC |
| Nov. 23, 2012 | Tim Mann |
| Nov. 23, 2012 | 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 |
| Nov. 21, 2012 | Jeremy Abelson, MJA Capital |
| Nov. 20, 2012 | Theodore R. Lazo, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
| Nov. 13, 2012 | John Robinson |
| Sep. 17, 2012 | Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX |
| Aug. 29, 2012 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Aug. 23, 2012 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business, Washington, D.C. |
| Aug. 22, 2012 | 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 |
| Aug. 22, 2012 | Andrew J. Entwistle, Esq. and Vincent R. Cappucci, Esq., Entwistle & Cappucci LLP |
| Aug. 22, 2012 | Mark Shelton, General Counsel, UBS Americas |
| Aug. 22, 2012 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Aug. 22, 2012 | Daniel Keegan, Managing Director, Citigroup Global Markets Inc. |
| Aug. 22, 2012 | Benjamin Bram, Watermill Institutional Trading LLC, New York, New York |
| Aug. 21, 2012 | John C. Nagel, Managing Director and General Counsel, Citadel Securities |
| Aug. 21, 2012 | Eugene P. Torpey, Chief Compliance Officer, Vandham Securities Corp. |
| Aug. 20, 2012 | Sis DeMarco, Chief Compliance Officer, Triad Securities Corp. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jan. 7, 2013 | Memorandum from the Division of Trading and Markets regarding a January 7, 2013, meeting with representatives of UBS Securities LLC |
| Oct. 25, 2012 | Memorandum from the Division of Trading and Markets regarding an October 25, 2012, meeting with representatives of NASDAQ OMX |
| Sept. 21, 2012 | Memorandum from the Division of Trading and Markets regarding a September 19, 2012, meeting with representatives from Citigroup Global Markets Inc. |
| Sept. 13, 2012 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a September 11, 2012, meeting with representatives of NASDAQ OMX |
| Aug. 30, 2012 | Memorandum from the Division of Trading and Markets regarding an August 29, 2012, telephone conversation with a representative of Knight Capital Group, Inc. |
http://www.sec.gov/comments/sr-nasdaq-2012-090/nasdaq2012090.shtml
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