Comments on NYSE MKT LLC Rulemaking

Notice of Filing of Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Public Comment Michele Van Tassel, President, Association of Registration Management (ARM), New York, New York
Public Comment Mike Rothman, President, NASAA President and Minnesota Commissioner of Commerce
Public Comment Edwin L. Reed, Deputy Director, Alabama Securities Commission, Montgomery, Alabama
Public Comment Michele Van Tassel, President, Association of Registration Management (ARM), New York, New York
Public Comment Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Public Comment Kevin A. Zambrowicz, Managing Director & Associate General Counsel, SIFMA
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an October 13, 2016, conference call with representatives of North American Securities Administrators Association
Public Comment Rick A. Fleming, SEC Investor Advocate, and Tracey L. McNeil, SEC Ombudsman
Public Comment Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange
Public Comment Judith Shaw, President, North American Securities Administrators Association (NASAA) and Maine Securities Administrator
File Number
SR-NYSEMKT-2016-52
Release Number
34-78198
How to submit comments