Comments on NYSE Rulemaking

Notice of Filing of Proposed Rule Change Amending its Rules Establishing Maximum Fee Rates to be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Paul S. Mishkin, Davis Polk & Wardell LLP on behalf of the New York Stock Exchange LLC
Meeting with SEC Officials Memorandum from the Office of Market Supervision, Division of Trading and Markets regarding a February 15, 2022, conference call with representatives from Broadridge Financial Solutions, Inc.
Meeting with SEC Officials Memorandum from the Office of Market Supervision, Division of Trading and Markets regarding a February 10, 2022, conference call with representatives from Broadridge Financial Solutions, Inc.
Public Comment Heidi Hardin, Executive Vice President and General Counsel, MFS Investment Management
Public Comment Thomas F. Price, Managing Director Operations, Technology, Cyber & BCP, SIFMA
Public Comment Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc.
Public Comment Gary A. LaBranche, President and CEO, National Investor Relations Institute and Darla C. Stuckey, President and Chief Executive Officer, Society for Corporate Governance
Public Comment Susan Olson, General Counsel, Investment Company Institute; Dorothy Donohue, Deputy General Counsel, Securities Regulation, Investment Company Institute; and Sarah Bessin, Associate General Counsel, Securities Regulation, Investment Company Institute
Public Comment Timothy W. McHale, Senior Vice President and Senior Counsel, Fund Business Management Group
Public Comment John Endean, American Business Conference
Public Comment Robert Colby, Executive Vice President and Chief Legal Officer, FINRA
Meeting with SEC Officials Memorandum from Megan Mitchell, Office of Market Supervision, Division of Trading and Markets regarding a Oct. 5, 2021, conference call with representatives from the Investment Company Institute
Public Comment Eric J. Pan, President & CEO, Investment Company Institute
Public Comment Eric J. Pan, President & CEO, Investment Company Institute
Meeting with SEC Officials Memorandum from Megan Mitchell, Office of Market Supervision, Division of Trading and Markets regarding a Jun. 17, 2021, conference call with representatives from the Investment Company Institute
Public Comment Heidi Hardin, Executive Vice President and General Counsel, MFS Investment Management
Public Comment The Capital Group Companies, Inc.
Public Comment Sarah Bessin, Associate General Counsel, Securities Regulation, Investment Company Institute and Joanne Kane, Senior Director, Operations and Transfer Agency, Investment Company Institute
Public Comment John Carey, Senior Director, NYSE
Public Comment Marcia E. Asquith, Executive Vice President, Board & External Relations, FINRA
Public Comment Paul Conn, President, Global Capital Markets, Computershare Limited
Public Comment Thomas F. Price, Managing Director, Operations, Technology, Cyber & BCP", SIFMA
Public Comment Todd J. May, President, Securities Transfer Association
Public Comment Todd J. May, President, Securities Transfer Association
Public Comment Niels Holch, Executive Director, Shareholder Communications Coalition
Public Comment Noah Hamman, Chief Executive Officer, AdvisorShares Investments, LLC
Public Comment Thomas E. Faust Jr., Chairman and Chief Executive Officer, Eaton Vance Corp.
Public Comment Basil K. Fox, Jr., President, Franklin Templeton Investor Services, LLC
Public Comment Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors
Public Comment Heidi Hardin, Executive Vice President and General Counsel, MFS Investment Management

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2020-96
Release Number
34-90677
Related Materials
How to submit comments