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

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a July 24, 2012, meeting with representatives of CFA Institute
Public Comment Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, Legal & Government Affairs, NYSE Euronext
Public Comment Ann L. Vlcek, Managing Director and Associate General Counsel, SIFMA
Public Comment Kurt Schacht, CFA, Managing Director; James Allen, CFA, Head, Capital Markets Policy; Rhodri Preece, CFA, Director, Capital Markets Policy; CFA Institute
Public Comment Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a March 12, 2012, meeting with representatives of NYSE Euronext
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 24, 2012, telephonic meeting with representatives of SIFMA and SIFMA members
Public Comment Janet McGinness, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Public Comment Christopher Nagy, Managing Director Order Routing and Market Data Strategy, TD Ameritrade
Public Comment Kurt Schacht, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute
Public Comment Shannon Jennewein
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a November 2, 2011, meeting with representatives of NYSE Euronext

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSEAmex-2011-84
Release Number
34-65671
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