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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)


Submitted Comments

(Click here for meetings with SEC officials)
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)
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

Modified: 10/16/2014