Comments on NSCC Rulemaking

Notice of Filing of Proposed Rule Change Relating to Trade Submission Requirements and Fees and Pre-Netting

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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 June 30, 2008, meeting with representatives from Knight Capital Group, Automated Trading Desk, BNY/ConvergeX, BATS, Wedbush Morgan Securities, and NSCC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a April 29, 2008, meeting with representatives from Knight Capital Group, Automated Trading Desk, BNY/ConvergeX, Citadel Investment Group, Direct Edge ECN, GETCO LLC, Penson Financial Services, Inc., and Wedbush Morgan Securities
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 29, 2008, teleconference with staff from Wedbush Morgan Securities
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 26, 2008, teleconference with staff from UBS Securities, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 28, 2008, meeting with staff from Citigroup Global Markets, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 28, 2008, teleconference with staff from BATS Trading, Inc.
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a October 15, 2007, meeting with representatives of the National Securities Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a October 2, 2007, meeting with representatives of Knight Capital Group, Automated Trading Desk, BNY Brokerage, Citadel Group, BATS Trading, Direct Edge ECN, UBS Securities, and Wedbush Morgan Securities
Public Comment Jim Richards, Executive Vice President, Wedbush Morgan Securities, Los Angeles, California
Public Comment Steve Swanson, President and CEO, Automated Trading Desk, LLC
Public Comment Norman Eaker, Principal, Operations Division, Edward Jones, St. Louis, Missouri
Meeting with SEC Officials Memorandum from the Office of Commissioner Atkins regarding a September 14, 2006 meeting with representatives of the Depository Trust and Clearing Corporation
Public Comment Larry E. Thompson, General Counsel, National Securities Clearing Corporation
Public Comment Barclay M. Frey, Managing Director, BNY Brokerage Inc.
Public Comment Keith F. Karlawish, CFA, BB&T Asset Management
Public Comment Robert Alumbaugh, Chief Executive Officer, Tradebot Systems, Inc.
Public Comment Leonard J. Amoruso, Senior Managing Director and Chief Compliance Officer, Knight Capital Group, Inc., Jersey City, New Jersey
Public Comment Matthew Price, Executive Director, UBS Securities LLC, Stamford, Connecticut
Public Comment Steve Swanson, CEO and President, Automated Trading Desk, LLC, Mt. Pleasant, South Carolina
Public Comment R. J. Richards, Executive Vice President, Wedbush Morgan Securities, Los Angeles, California
Public Comment Stephen Schuler, Managing Member/Co-founder, Getco Holding Company

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NSCC-2006-04
Release Number
34-53742
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