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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
(Release No. 34-68936; File No. SR-NYSE-2013-07)
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(Click here for meetings with SEC officials)
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| Oct. 18, 2013 | Darla C. Stuckey, Senior Vice President, Policy & Advocacy, Society of Corporate Secretaries and Governance Professionals |
| Oct. 15, 2013 | Paul F. Washington |
| Oct. 1, 2013 | Janet McGinness, EVP & Corporate Secretary, NYSE Euronext |
| Sep. 9, 2013 | Janet McGinness, EVP & Corporate Secretary, NYSE Euronext |
| Jul. 12, 2013 | Michael J. Hogan, Chief Executive Officer, FOLIOfn Investments, Inc. |
| Jul. 9, 2013 | Janet McGinness, EVP & Corporate Secretary, NYSE Euronext |
| Jul. 5, 2013 | James J. Angel, Visiting Associate Professor, University of Pennsylvania, The Wharton School |
| Jul. 5, 2013 | Charles V. Rossi, President, The Securities Transfer Association, Inc. |
| Jul. 5, 2013 | Brandon Rees, Acting Director, AFL-CIO Office of Investment |
| Jul. 3, 2013 | Lisa Lindsley, Director, Capital Strategies Program, American Federation of State, County and Municipal Employees (AFSCME) |
| Jun. 20, 2013 | Dorothy M. Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Jun. 20, 2013 | Dieter Waizenegger, Executive Director, CtW Investment Group |
| Jun. 18, 2013 | Harold Westervelt, President, INVeSHARE |
| Jun. 18, 2013 | Paul J. Torre, Executive Vice President, AST Fund Solutions, LLC |
| Jun. 18, 2013 | Michael J. Hogan, Chief Executive Officer, FOLIOfn Investments, Inc. |
| Jun. 17, 2013 | Loren Hanson, Assistant Secretary/Assistant Treasurer, Otter Tail Corporation, Fergus Falls, Minnesota |
| Jun. 12, 2013 | Katie J. Sevcik, Senior Vice President, Head of Operations and Product Development, Wells Fargo Shareowner Services |
| May 23, 2013 | Senator Charles E. Schumer, U.S. Senate |
| May 20, 2013 | John M. Payne, Chief Executive Officer, Zumbox, Inc. |
| May 17, 2013 | Ann Yerger, Executive Director, Council of Institutional Investors |
| May 17, 2013 | Dieter Waizenegger, Executive Director, CtW Investment Group, Washington, District of Columbia |
| May 17, 2013 | Janet McGinness, EVP & Corporate Secretary, NYSE Euronext |
| May 16, 2013 | Paul Torre, Executive Vice President, AST Fund Solutions, LLC, Lyndhurst, New Jersey |
| Apr. 5, 2013 | Jeff Mahoney, General Counsel, Council of Institutional Investors |
| Mar. 28, 2013 | Michael S. O'Brien, Vice President, Corporate Governance Officer, BNY Mellon Depositary Receipts, New York, New York |
| Mar. 18, 2013 | Tom Price, Managing Director, Operations, Technology & BCP, SIFMA |
| Mar. 18, 2013 | John Endean, President, American Business Conference |
| Mar. 15, 2013 | Laura Berry, Executive Director, Interfaith Center on Corporate Responsibility |
| Mar. 15, 2013 | Brad Phillips, Treasurer, Darling International Inc. |
| Mar. 15, 2013 | Charles V. Callan, Senior Vice President, Regulatory Affairs, Broadridge Financial Solutions, Inc. |
| Mar. 15, 2013 | John Harrington, Harrington Investments, Inc. |
| Mar. 15, 2013 | Tom Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Mar. 15, 2013 | Argus I. Cunningham, Chief Executive Officer, Sharegate Inc. |
| Mar. 15, 2013 | Dorothy M. Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute |
| Mar. 15, 2013 | Clare A. Kretzman, Associate General Counsel, Gartner, Inc. |
| Mar. 14, 2013 | James McRitchie, Shareowner and Publisher, Corporate Governance (CorpGov.net) |
| Mar. 13, 2013 | Paul E. Martin, Chief Financial Officer, Perficient, Inc. |
| Mar. 13, 2013 | Geoffrey M. Dugan, General Counsel, Corporate & Secretary, iStar Financial Inc. |
| Mar. 13, 2013 | Dennis E. Nixon, President, International Bancshares Corporation |
| Mar. 12, 2013 | Niels Holch, Executive Director, Shareholder Communications Coalition |
| Mar. 7, 2013 | Kenneth Bertsch, President & CEO, Society of Corporate Secretaries & Governance Professionals, New York, New York |
| Mar. 7, 2013 | Jeffrey D. Morgan, President CEO, National Investor Relations Institute, Alexandria, Virginia |
| Mar. 7, 2013 | Stephen P. Norman, Chair, The Independent Steering Committee of Broadridge; President, S.P. Norman & Company, LLC |
| Mar. 6, 2013 | Jeanne M. Schafer, Mount Pleasant, Michigan |
| Mar. 6, 2013 | David W. Lovatt, Leamington, United Kingdom |
| Mar. 4, 2013 | Charles V. Rossi, President, The Securities Transfer Association, Inc., Hazlet, New Jersey |
| Mar. 4, 2013 | Karen V. Danielson, President, Shareholder Services Association |
| Feb. 20, 2013 | Charles V. Rossi, President, Securities Transfer Association Inc., Hazlet, New Jersey |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 17, 2013 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an October 11, 2013, meeting with representatives of Broadridge Financial Solutions, Inc. |
| Oct. 2, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding an October 1, 2013, meeting with representatives of Broadridge Financial Solutions, Inc. |
| Oct. 2, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 16, 2013, meeting with a representative of Foliofn, Inc. |
| Sep. 16, 2013 | Memorandum from the Office of Commissioner Michael S. Piwowar regarding a September 16, 2013, meeting with a representative of Foliofn, Inc. |
| Aug. 23, 2013 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 7, 2013, meeting with Steven Wallman |
| Aug. 1, 2013 | 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. |
| Jul. 16, 2013 | Memorandum from the Division of Trading and Markets regarding a July 12, 2013, meeting with representatives of the Shareholder Services Association |
| Jul. 11, 2013 | Memorandum from the Division of Trading and Markets regarding a July 8, 2013, telephone call with a representative of FOLIOfn, Inc. |
| Jul. 5, 2013 | 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 |
| May 7, 2013 | Memorandum from the Division of Trading and Markets regarding an April 30, 2013, meeting with representatives of NYSE and its Proxy Fee Advisory Committee |
http://www.sec.gov/comments/sr-nyse-2013-07/nyse201307.shtml
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