|
|
 |
Comments on NYSE Arca Rulemaking
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of First Trust Horizon Managed Volatility Domestic ETF and First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600
[Release No. 34-78191; File No. SR-NYSEArca-2016-103]
|
|
|
| Jan. 16, 2017 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Nov. 4, 2016 | Michele Van Tassel, President, Association of Registration Management (ARM), New York, New York |
| Oct. 26, 2016 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Oct. 19, 2016 | Kevin A. Zambrowicz, Managing Director & Associate General Counsel, SIFMA |
| Oct. 3, 2016 | Rick A. Fleming, SEC Investor Advocate, and Tracey L. McNeil, SEC Ombudsman
|
Meetings with SEC Officials
|
| Oct. 14, 2016 | Memorandum from the Office of the Investor Advocate regarding an October 13, 2016, conference call with representatives of North American Securities Administrators Association |
http://www.sec.gov/comments/sr-nysearca-2016-103/nysearca2016103.shtml
|
