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Comments on NASDAQ Rulemaking
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
(Release No. 34-72350; File No. SR-NASDAQ-2014-020)
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| Oct. 31, 2014 | Thomas E. Faust, Jr., Chairman and Chief Executive Officer, Eaton Vance Corp., Boston, Massachusetts |
| Oct. 30, 2014 | Daniel J. McCabe, Chief Executive Officer, Precidian Investments LLC |
| Sep. 12, 2014 | Jonathan Cayne, Sr. Associate General Counsel, NASDAQ OMX LLC, Rockville, Maryland |
| Jul. 3, 2014 | Thomas E. Faust Jr., Chairman & Chief Executive Officer, Eaton Vance Corp. |
Meetings with SEC Officials
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| Oct. 31, 2014 | Memorandum from the Office of Commissioner Kara Stein regarding an October 31, 2014, telephone call with Nick Dunbar |
Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
(Release No. 34-71657; File No. SR-NASDAQ-2014-020)
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| Apr. 1, 2014 | Eric W. Noll, President and Chief Executive Officer, ConvergEx Group, LLC |
| Apr. 1, 2014 | Avi Nachmany, Co-Founder, Director of Research, E.V.P., Strategic Insight, New York NY, New York |
| Mar. 31, 2014 | Robert S. Tull, Jr., Consultant to Financial Service companies and governments, Levittown, Pennsylvania |
| Mar. 27, 2014 | Christopher L. Davis, President, Money Management Institute |
http://www.sec.gov/comments/sr-nasdaq-2014-020/nasdaq2014020.shtml
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