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Comments on NYSE Amex LLC 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 Amex Equities Traded Securities
[Release No. 34-65671; File No. SR-NYSEAmex-2011-84]
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| Apr. 10, 2012 | Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, Legal & Government Affairs, NYSE Euronext |
| Mar. 23, 2012 | Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA |
| Mar. 21, 2012 | Kurt Schacht, CFA, Managing Director; James Allen, CFA, Head, Capital Markets Policy; Rhodri Preece, CFA, Director, Capital Markets Policy; CFA Institute |
| Mar. 20, 2012 | Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext |
| Mar. 7, 2012 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
| Jan. 3, 2012 | Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext |
| Nov. 30, 2011 | Shannon Jennewein |
| Nov. 30, 2011 | Christopher Nagy, Managing Director Order Routing and Market Data Strategy, TD Ameritrade |
| Nov. 30, 2011 | Kurt Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute |
| Nov. 28, 2011 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
Meetings with SEC Officials
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| Jul. 31, 2012 | Memorandum from the Division of Trading and Markets regarding a July 24, 2012, meeting with representatives of CFA Institute |
| Mar. 13, 2012 | Memorandum from the Office of Commissioner Walter regarding a March 12, 2012, meeting with representatives of NYSE Euronext |
| Jan. 25, 2012 | Memorandum from the Division of Trading and Markets regarding a January 24, 2012, telephonic meeting with representatives of SIFMA and SIFMA members |
| Nov. 16, 2011 | Memorandum from the Office of Commissioner Walter regarding a November 2, 2011, meeting with representatives of NYSE Euronext |
http://www.sec.gov/comments/sr-nyseamex-2011-84/nyseamex201184.shtml
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