Comments on NSCC Rulemaking

Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs

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Date Received
Date Letter Type Commenter Name
Public Comment Scott C. Goebel, SVP, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Public Comment James P. Selway III, Managing Director, Head of Electronic Brokerage, and Mark Solomon, Managing Director and Deputy General Counsel; Investment Technology Group, Inc., New York, New York
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding an October 2, 2013, meeting with representatives of The Depository Trust and Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an September 17, 2013, meeting with representatives of the National Securities Clearing Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an September 12, 2013, meeting with representatives of The Depository Trust and Clearing Corporation
Public Comment Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Public Comment John Nagel, Managing Director and General Counsel, Citadel Securities, Chicago, Illinois
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 20, 2013, meeting with representatives of SIFMA
Public Comment Thompson E. Larry, Managing Director and DTCC General Counsel, New York, New York
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an August 12, 2013, meeting with staff from the U.S. House of Representatives Committee on Financial Services Subcommittee on Oversight and Investigations
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 25, 2013 meeting with Representatives from Citadel
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 12, 2013 meeting with Representatives from ConvergEx
Public Comment Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 26, 2013, meeting with representatives of Citadel
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a July 30, 2013, meeting with representatives of ConvergEx
Public Comment John C. Nagel, Managing Director and General Counsel, Citadel Securities
Public Comment Mark Solomon, Managing Director and Deputy General Counsel, Investment Technology Group, Inc., New York, New York
Public Comment Paul T. Clark and Anthony C.J. Nuland, Seward & Kissel, LLP
Public Comment Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with representatives of ConvergEx
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 18, 2013, conference call with representatives of Charles Schwab
Public Comment Scott C. Goebel, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a June 25, 2013, meeting with representatives of Citadel
Public Comment Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of Citadel
Public Comment John C. Nagel, Esq., Managing Director and General Counsel, Citadel Securities, Chicago, Illinois
Public Comment Larry E. Thompson, Managing Director and General Counsel, DTCC, New York, New York
Public Comment Christopher M. Springer, CFO, ConvergEx Execution Solutions LLC, New York, New York
Public Comment Christopher M. Springer, Chief Financial Officer & Executive Managing Director, ConvergEx Execution Solutions LLC
Public Comment Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NSCC-2013-802
Release Number
34-69451
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