Comments on NYSE Rulemaking

Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities

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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 July 24, 2012, meeting with representatives of CFA Institute
Public Comment James Toes, President & CEO, and Jennifer Green Setzenfand, Chairman, Security Traders Association, New York, New York
Public Comment Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, Legal & Government Affairs, NYSE Euronext
Public Comment Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA
Public Comment Kurt Schacht, CFA, Managing Director; James Allen, CFA, Head, Capital Markets Policy; Rhodri Preece, CFA, Director, Capital Markets Policy; CFA Institute
Public Comment Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a March 12, 2012, meeting with representatives of NYSE Euronext
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 24, 2012, telephonic meeting with representatives of SIFMA and SIFMA members
Public Comment Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Public Comment Al Patten
Public Comment Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Eric Swanson, Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Public Comment Dr. Larry J. Paden, Ph.D., J.D., Bright Trading, Pryor, Oklahoma
Public Comment Thomas Dercks, Manhattan, New York
Public Comment Bodil Jelsness, Oslo, Norway
Public Comment Bosier Parsons, Bright Trading LLC, Colorado Springs, Colorado
Public Comment Christopher Nagy, Managing Director, Order Routing and Market Data Strategy, TD Ameritrade
Public Comment David Green, Bright Trading, Santa Cruz, California
Public Comment Kurt Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute
Public Comment Laura Kenney
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of Knight Capital Group, Inc.
Public Comment Mike Stewart, Head of Global Equities, UBS, New York, New York
Public Comment Robert A. Bright, Chief Executive Officer, and Dennis Dick, CFA, Market Structure Consultant, Bright Trading LLC, Las Vegas, Nevada
Public Comment Suhas Daftuar, Hudson River Trading LLC, New York, New York
Public Comment Aaron Shafter, President, Great Mountain Capital Management LLC, Lincolnwood, Illinois
Public Comment Jordan Wollin, Las Vegas, Nevada
Public Comment Wayne Koch, Trader, Bright Trading, Rockford, Illinois
Public Comment A. Joseph, Spring Lake, Michigan
Public Comment J. Fournier

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2011-55
Release Number
34-65672
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