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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
(Release No. 34-69451; File No. SR-NSCC-2013-802)
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(Click here for meetings with SEC officials)
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Nov. 5, 2013 | Scott C. Goebel, SVP, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
Nov. 1, 2013 | 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 |
Sep. 11, 2013 | Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc. |
Sep. 5, 2013 | John Nagel, Managing Director and General Counsel, Citadel Securities, Chicago, Illinois |
Aug. 20, 2013 | Thompson E. Larry, Managing Director and DTCC General Counsel, New York, New York |
Aug. 7, 2013 | Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA |
Aug. 5, 2013 | John C. Nagel, Managing Director and General Counsel, Citadel Securities |
Aug. 5, 2013 | Paul T. Clark and Anthony C.J. Nuland, Seward & Kissel, LLP |
Aug. 5, 2013 | Mark Solomon, Managing Director and Deputy General Counsel, Investment Technology Group, Inc., New York, New York |
Aug. 5, 2013 | Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc. |
Jun. 26, 2013 | Scott C. Goebel, Deputy General Counsel, Fidelity Investments, Boston, Massachusetts |
Jun. 24, 2013 | Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA |
Jun. 13, 2013 | John C. Nagel, Esq., Managing Director and General Counsel, Citadel Securities, Chicago, Illinois |
Jun. 10, 2013 | Larry E. Thompson, Managing Director and General Counsel, DTCC, New York, New York |
May 22, 2013 | Christopher M. Springer, CFO, ConvergEx Execution Solutions LLC, New York, New York |
May 2, 2013 | Christopher M. Springer, Chief Financial Officer & Executive Managing Director, ConvergEx Execution Solutions LLC |
May 1, 2013 | Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc. |
Apr. 25, 2013 | Julian Rainero, Bracewell & Giuliani LLP, on behalf of ITG Inc. |
Apr. 25, 2013 | Scott C. Goebel, Senior Vice President, General Counsel, Fidelity Management & Research Co., Boston, Massachusetts |
Apr. 25, 2013 | Giovanni Favretti, CFA, Managing Director, Deutsche Bank |
Apr. 25, 2013 | Leonard J. Amoruso, Executive Vice-President, General Counsel, Knight Capital Group, Inc., and Matthew S. Levine, Managing Director, Co-Chief Compliance Officer, Knight Capital Americas LLC |
Apr. 23, 2013 | Thomas Price, Managing Director, Operations, Technology & BCP, SIFMA |
Apr. 22, 2013 | Peter Morgan, Senior Vice President & Deputy General Counsel, Charles Schwab & Co., Inc. |
Apr. 18, 2013 | John C. Nagel, Esq., Managing Director and General Counsel, Citadel Securities, Chicago, Illinois |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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Oct. 2, 2013 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an October 2, 2013, meeting with representatives of The Depository Trust and Clearing Corporation |
Sep. 17, 2013 | Memorandum from the Division of Trading and Markets regarding an September 17, 2013, meeting with representatives of the National Securities Clearing Corporation |
Sep. 12, 2013 | Memorandum from the Division of Trading and Markets regarding an September 12, 2013, meeting with representatives of The Depository Trust and Clearing Corporation |
Aug. 20, 2013 | Memorandum from the Division of Trading and Markets regarding an August 20, 2013, meeting with representatives of SIFMA |
Aug. 12, 2013 |
Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 12, 2013 meeting with representatives from ConvergEx |
Aug. 12, 2013 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 25, 2013 meeting with representatives from Citadel |
Aug. 12, 2013 | 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 |
Aug. 6, 2013 | Memorandum from the Office of Commissioner Walter regarding a July 26, 2013, meeting with representatives of Citadel |
Aug. 6, 2013 | Memorandum from the Office of Commissioner Walter regarding a July 30, 2013, meeting with representatives of ConvergEx |
Jul. 30, 2013 | Memorandum from the Division of Trading and Markets regarding a July 30, 2013, meeting with representatives of ConvergEx |
Jul. 19, 2013 | Memorandum from the Division of Trading and Markets regarding a July 18, 2013, conference call with representatives of Charles Schwab |
Jun. 25, 2013 | Memorandum from the Office of Commissioner Paredes regarding a June 25, 2013, meeting with representatives of Citadel |
Jun. 18, 2013 | Memorandum from the Division of Trading and Markets regarding a June 18, 2013, meeting with representatives of Citadel |
Apr. 16, 2013 | Memorandum from the Division of Trading and Markets regarding an April 10, 2013, meeting with representatives of Fidelity Investments and Charles Schwab |
http://www.sec.gov/comments/sr-nscc-2013-802/nscc2013802.shtml
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