Comments on NYSE Rulemaking

Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform

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Date Received
Date Letter Type Commenter Name
Public Comment Darla C. Stuckey, Senior Vice President, Policy & Advocacy, Society of Corporate Secretaries and Governance Professionals
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 11, 2013, meeting with representatives of Broadridge Financial Solutions, Inc.
Public Comment Paul F. Washington
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 16, 2013, meeting with a representative of Foliofn, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of Broadridge Financial Solutions, Inc.
Public Comment Janet McGinness, EVP & Corporate Secretary, NYSE Euronext
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 16, 2013, meeting with a representative of Foliofn, Inc.
Public Comment Janet McGinness, EVP & Corporate Secretary, NYSE Euronext
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 7, 2013, meeting with Steven Wallman
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 23, 2013, conference call with representatives of NYSE and its Proxy Fee Advisory Committee, and Broadridge Financial Solutions Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 12, 2013, meeting with representatives of the Shareholder Services Association
Public Comment Michael J. Hogan, Chief Executive Officer, FOLIOfn Investments, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 8, 2013, telephone call with a representative of FOLIOfn, Inc.
Public Comment Janet McGinness, EVP & Corporate Secretary, NYSE Euronext
Public Comment Brandon Rees, Acting Director, AFL-CIO Office of Investment
Public Comment Charles V. Rossi, President, The Securities Transfer Association, Inc.
Public Comment James J. Angel, Visiting Associate Professor, University of Pennsylvania, The Wharton School
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 27, 2013, conference call with representatives of NYSE and its Proxy Fee Advisory Committee
Public Comment Lisa Lindsley, Director, Capital Strategies Program, American Federation of State, County and Municipal Employees (AFSCME)
Public Comment Dieter Waizenegger, Executive Director, CtW Investment Group
Public Comment Dorothy M. Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute
Public Comment Harold Westervelt, President, INVeSHARE
Public Comment Michael J. Hogan, Chief Executive Officer, FOLIOfn Investments, Inc.
Public Comment Paul J. Torre, Executive Vice President, AST Fund Solutions, LLC
Public Comment Loren Hanson, Assistant Secretary/Assistant Treasurer, Otter Tail Corporation, Fergus Falls, Minnesota
Public Comment Katie J. Sevcik, Senior Vice President, Head of Operations and Product Development, Wells Fargo Shareowner Services
Public Comment Senator Charles E. Schumer, U.S. Senate
Public Comment John M. Payne, Chief Executive Officer, Zumbox, Inc.
Public Comment Ann Yerger, Executive Director, Council of Institutional Investors
Public Comment Dieter Waizenegger, Executive Director, CtW Investment Group, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2013-07
Release Number
34-68936
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